# Official Journal C 285/29 A

| | ISSN 1977-091X |
| --- | --- |
| Official Journal
  of the European Union | C 285 |
| | |
| English edition | Information and Notices | Volume 6029 August 2017 |

ISSN 1977-091X

Official Journal

of the European Union

C 285

English edition

Information and Notices

Volume 6029 August 2017

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| Notice No | Contents | page |
| --- | --- | --- |
| | |
| | EUROPEAN PARLIAMENT
  2013-2014 SESSIONSittings of 24 to 27 February 2014The Minutes of this session have been published in OJ C 61, 19.2.2015 .TEXTS ADOPTED | 1 |

Notice No

Contents

page

EUROPEAN PARLIAMENT
  2013-2014 SESSIONSittings of 24 to 27 February 2014The Minutes of this session have been published in OJ C 61, 19.2.2015 .TEXTS ADOPTED

EUROPEAN PARLIAMENT

OJ C 61, 19.2.2015

1

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| | I   Resolutions, recommendations and opinions |
| --- | --- |
| | RESOLUTIONS |
| | European Parliament |
| | Tuesday 25 February 2014 |
| 2017/C 285/01 | European Parliament resolution of 25 February 2014 with recommendations to the Commission on combating Violence Against Women (2013/2004(INL)) | 2 |
| 2017/C 285/02 | European Parliament resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (2012/2323(INI)) | 11 |
| 2017/C 285/03 | European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Annual Growth Survey 2014 (2013/2157(INI)) | 18 |
| 2017/C 285/04 | European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Employment and Social Aspects in the Annual Growth Survey 2014 (2013/2158(INI)) | 24 |
| 2017/C 285/05 | European Parliament resolution of 25 February 2014 on Single Market governance within the European Semester 2014 (2013/2194(INI)) | 40 |
| 2017/C 285/06 | European Parliament resolution of 25 February 2014 on plant breeding: what options to increase quality and yields? (2013/2099(INI)) | 47 |
| | Wednesday 26 February 2014 |
| 2017/C 285/07 | European Parliament resolution of 26 February 2014 on the European Commission’s 7th and 8th progress reports on the EU Cohesion Policy and the Strategic Report 2013 on programme implementation 2007-2013 (2013/2008(INI)) | 52 |
| 2017/C 285/08 | European Parliament resolution of 26 February 2014 on optimising the potential of outermost regions by creating synergies between the Structural Funds and other European Union programmes (2013/2178(INI)) | 58 |
| 2017/C 285/09 | European Parliament resolution of 26 February 2014 on the evaluation of the Union’s finances based on the results achieved: a new tool for the European Commission’s improved discharge procedure (2013/2172(INI)) | 68 |
| 2017/C 285/10 | European Parliament resolution of 26 February 2014 on long-term financing of the European economy (2013/2175(INI)) | 71 |
| 2017/C 285/11 | European Parliament resolution of 26 February 2014 on sexual exploitation and prostitution and its impact on gender equality (2013/2103(INI)) | 78 |
| 2017/C 285/12 | European Parliament resolution of 26 February 2014 on promoting development through responsible business practices, including the role of extractive industries in developing countries (2013/2126(INI)) | 87 |
| | Thursday 27 February 2014 |
| 2017/C 285/13 | European Parliament resolution of 27 February 2014 on SOLVIT (2013/2154(INI)) | 96 |
| 2017/C 285/14 | European Parliament resolution of 27 February 2014 on the situation in Ukraine (2014/2595(RSP)) | 102 |
| 2017/C 285/15 | European Parliament resolution of 27 February 2014 on the situation in Iraq (2014/2565(RSP)) | 106 |
| 2017/C 285/16 | European Parliament resolution of 27 February 2014 on the use of armed drones (2014/2567(RSP)) | 110 |
| 2017/C 285/17 | European Parliament resolution of 27 February 2014 on the situation of fundamental rights in the European Union (2012) (2013/2078(INI)) | 112 |
| 2017/C 285/18 | European Parliament resolution of 27 February 2014 with recommendations to the Commission on the review of the European Arrest Warrant (2013/2109(INL)) | 135 |
| 2017/C 285/19 | European Parliament resolution of 27 February 2014 on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (2013/2990(RSP)) | 141 |
| 2017/C 285/20 | European Parliament resolution of 27 February 2014 on the situation in Venezuela (2014/2600(RSP)) | 145 |
| 2017/C 285/21 | European Parliament resolution of 27 February 2014 on the future of EU visa policy (2014/2586(RSP)) | 147 |
| 2017/C 285/22 | European Parliament resolution of 27 February 2014 on specific actions in the Common Fisheries Policy for developing the role of women (2013/2150(INI)) | 150 |
| 2017/C 285/23 | European Parliament resolution of 27 February 2014 on private copying levies (2013/2114(INI)) | 156 |

I   Resolutions, recommendations and opinions

RESOLUTIONS

European Parliament

Tuesday 25 February 2014

2017/C 285/01

European Parliament resolution of 25 February 2014 with recommendations to the Commission on combating Violence Against Women (2013/2004(INL))

2

2017/C 285/02

European Parliament resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (2012/2323(INI))

11

2017/C 285/03

European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Annual Growth Survey 2014 (2013/2157(INI))

18

2017/C 285/04

European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Employment and Social Aspects in the Annual Growth Survey 2014 (2013/2158(INI))

24

2017/C 285/05

European Parliament resolution of 25 February 2014 on Single Market governance within the European Semester 2014 (2013/2194(INI))

40

2017/C 285/06

European Parliament resolution of 25 February 2014 on plant breeding: what options to increase quality and yields? (2013/2099(INI))

47

Wednesday 26 February 2014

2017/C 285/07

European Parliament resolution of 26 February 2014 on the European Commission’s 7th and 8th progress reports on the EU Cohesion Policy and the Strategic Report 2013 on programme implementation 2007-2013 (2013/2008(INI))

52

2017/C 285/08

European Parliament resolution of 26 February 2014 on optimising the potential of outermost regions by creating synergies between the Structural Funds and other European Union programmes (2013/2178(INI))

58

2017/C 285/09

European Parliament resolution of 26 February 2014 on the evaluation of the Union’s finances based on the results achieved: a new tool for the European Commission’s improved discharge procedure (2013/2172(INI))

68

2017/C 285/10

European Parliament resolution of 26 February 2014 on long-term financing of the European economy (2013/2175(INI))

71

2017/C 285/11

European Parliament resolution of 26 February 2014 on sexual exploitation and prostitution and its impact on gender equality (2013/2103(INI))

78

2017/C 285/12

European Parliament resolution of 26 February 2014 on promoting development through responsible business practices, including the role of extractive industries in developing countries (2013/2126(INI))

87

Thursday 27 February 2014

2017/C 285/13

European Parliament resolution of 27 February 2014 on SOLVIT (2013/2154(INI))

96

2017/C 285/14

European Parliament resolution of 27 February 2014 on the situation in Ukraine (2014/2595(RSP))

102

2017/C 285/15

European Parliament resolution of 27 February 2014 on the situation in Iraq (2014/2565(RSP))

106

2017/C 285/16

European Parliament resolution of 27 February 2014 on the use of armed drones (2014/2567(RSP))

110

2017/C 285/17

European Parliament resolution of 27 February 2014 on the situation of fundamental rights in the European Union (2012) (2013/2078(INI))

112

2017/C 285/18

European Parliament resolution of 27 February 2014 with recommendations to the Commission on the review of the European Arrest Warrant (2013/2109(INL))

135

2017/C 285/19

European Parliament resolution of 27 February 2014 on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (2013/2990(RSP))

141

2017/C 285/20

European Parliament resolution of 27 February 2014 on the situation in Venezuela (2014/2600(RSP))

145

2017/C 285/21

European Parliament resolution of 27 February 2014 on the future of EU visa policy (2014/2586(RSP))

147

2017/C 285/22

European Parliament resolution of 27 February 2014 on specific actions in the Common Fisheries Policy for developing the role of women (2013/2150(INI))

150

2017/C 285/23

European Parliament resolution of 27 February 2014 on private copying levies (2013/2114(INI))

156

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| | II   Information |
| --- | --- |
| | INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
| | European Parliament |
| | Tuesday 25 February 2014 |
| 2017/C 285/24 | European Parliament decision of 25 February 2014 on the request for waiver of the immunity of Tadeusz Cymański (2013/2278(IMM)) | 161 |
| 2017/C 285/25 | European Parliament decision of 25 February 2014 on amendment of Rule 136 of Parliament's Rules of Procedure on the attendance of Members at sittings (2013/2033(REG)) | 163 |
| | Wednesday 26 February 2014 |
| 2017/C 285/26 | European Parliament decision of 26 February 2014 extending Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term (2014/2585(RSO)) | 164 |
| 2017/C 285/27 | European Parliament decision of 26 February 2014 on amendment of Rule 166 of Parliament's Rules of Procedure concerning the final vote and Rule 195(3) concerning voting in committee (2014/2001(REG)) | 166 |

II   Information

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Parliament

Tuesday 25 February 2014

2017/C 285/24

European Parliament decision of 25 February 2014 on the request for waiver of the immunity of Tadeusz Cymański (2013/2278(IMM))

161

2017/C 285/25

European Parliament decision of 25 February 2014 on amendment of Rule 136 of Parliament's Rules of Procedure on the attendance of Members at sittings (2013/2033(REG))

163

Wednesday 26 February 2014

2017/C 285/26

European Parliament decision of 26 February 2014 extending Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term (2014/2585(RSO))

164

2017/C 285/27

European Parliament decision of 26 February 2014 on amendment of Rule 166 of Parliament's Rules of Procedure concerning the final vote and Rule 195(3) concerning voting in committee (2014/2001(REG))

166

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| | III   Preparatory acts |
| --- | --- |
| | EUROPEAN PARLIAMENT |
| | Tuesday 25 February 2014 |
| 2017/C 285/28 | P7_TA(2014)0111Member States experiencing or threatened with serious difficulties with respect to their financial stability ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on amending Council Regulation (EC) No 1198/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability (COM(2013)0428 — C7-0178/2013 — 2013/0200(COD))P7_TC1-COD(2013)0200Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 1198/2006 on the European Fisheries Fund, as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability | 167 |
| 2017/C 285/29 | P7_TA(2014)0112Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Articles 290 and 291 TFEU) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0751 — C7-0386/2013 — 2013/0365(COD))P7_TC1-COD(2013)0365Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny | 169 |
| 2017/C 285/30 | P7_TA(2014)0113Adapting legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU)***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (COM(2013)0452 — C7-0197/2013 — 2013/0220(COD))P7_TC1-COD(2013)0220Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny | 190 |
| 2017/C 285/31 | P7_TA(2014)0114Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0451 — C7-0198/2013 — 2013/0218(COD))P7_TC1-COD(2013)0218Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny | 194 |
| 2017/C 285/32 | European Parliament decision of 25 February 2014 on the nomination of Oskar Herics as a Member of the Court of Auditors (C7-0009/2014 — 2014/0802(NLE)) | 207 |
| 2017/C 285/33 | P7_TA(2014)01172020 target to reduce CO2 emissions from new passenger cars ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars (COM(2012)0393 — C7-0184/2012 — 2012/0190(COD))P7_TC1-COD(2012)0190Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars | 208 |
| 2017/C 285/34 | P7_TA(2014)0118Community trade mark ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark (COM(2013)0161 — C7-0087/2013 — 2013/0088(COD))P7_TC1-COD(2013)0088Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark (
  1
  ) | 209 |
| 2017/C 285/35 | P7_TA(2014)0119Laws of the Member States relating to trade marks ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast) (COM(2013)0162 — C7-0088/2013 — 2013/0089(COD))P7_TC1-COD(2013)0089Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast) (
  1
  ) | 262 |
| 2017/C 285/36 | P7_TA(2014)0120Freezing and confiscation of proceeds of crime ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the freezing and confiscation of proceeds of crime in the European Union (COM(2012)0085 — C7-0075/2012 — 2012/0036(COD))P7_TC1-COD(2012)0036Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the freezing and confiscation of instrumentalities and proceeds of crime in the European Union | 287 |
| 2017/C 285/37 | P7_TA(2014)0121European Union Agency for Law Enforcement Cooperation and Training (Europol) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions 2009/371/JHA and 2005/681/JHA (COM(2013)0173 — C7-0094/2013 — 2013/0091(COD))P7_TC1-COD(2013)0091Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions Council Decision 2009/371/JHA and 2005/681/JHA [Am. 1] | 288 |
| 2017/C 285/38 | P7_TA(2014)0122Conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast) (COM(2013)0151 — C7-0080/2013 — 2013/0081(COD))P7_TC1-COD(2013)0081Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast) | 348 |
| 2017/C 285/39 | P7_TA(2014)0123European Voluntary Humanitarian Aid Corps ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council Establishing the European Voluntary Humanitarian Aid Corps — EU Aid Volunteers (COM(2012)0514 — C7-0303/2012 — 2012/0245(COD))P7_TC1-COD(2012)0245Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council establishing the European Voluntary Humanitarian Aid Corps (EU Aid Volunteers initiative) | 376 |
| 2017/C 285/40 | P7_TA(2014)0124Fund for European aid to the most deprived ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived (COM(2012)0617 — C7-0358/2012 — 2012/0295(COD))P7_TC1-COD(2012)0295Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived | 377 |
| 2017/C 285/41 | P7_TA(2014)0125Biocidal products ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products with regard to certain conditions for access to the market (COM(2013)0288 — C7-0141/2013 — 2013/0150(COD))P7_TC1-COD(2013)0150Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products, with regard to certain conditions for access to the market | 378 |
| | Wednesday 26 February 2014 |
| 2017/C 285/42 | European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, with the exception of Article 49(3) thereof (12399/2013 — C7-0425/2013 — 2012/0219A(NLE)) | 379 |
| 2017/C 285/43 | European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Member States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, as regards Article 49(3) thereof (12400/2013 — C7-0426/2013 — 2012/0219B(NLE)) | 380 |
| 2017/C 285/44 | European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision on guidelines for the employment policies of the Member States (COM(2013)0803 — C7-0417/2013 — 2013/0392(NLE)) | 381 |
| 2017/C 285/45 | European Parliament legislative resolution of 26 February 2014 on the proposal for a Council directive amending Directive 2006/112/EC on the common system of value added tax as regards a standard VAT return (COM(2013)0721 — C7-0394/2013 — 2013/0343(CNS)) | 382 |
| 2017/C 285/46 | European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2009/831/EC as regards its period of application (COM(2013)0930 — C7-0022/2014 — 2013/0446(CNS)) | 385 |
| 2017/C 285/47 | European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2004/162/EC with regard to its implementation in Mayotte from 1 January 2014 (COM(2014)0024 — C7-0031/2014 — 2014/0010(CNS)) | 386 |
| 2017/C 285/48 | European Parliament resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 – C7-0351/2013 — 2013/0120A(NLE)) | 387 |
| 2017/C 285/49 | European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of a Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 — C7-0351/2013 — 2013/0120A(NLE)) | 394 |
| 2017/C 285/50 | European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and Cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, as regards matters related to readmission (11313/2013 — C7-0356/2013 — 2013/0120B(NLE)) | 395 |
| 2017/C 285/51 | European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Agreement between the European Union and the Republic of Turkey on the readmission of persons residing without authorisation (10697/2012 — C7-0029/2014 — 2012/0122(NLE)) | 396 |
| 2017/C 285/52 | P7_TA(2014)0147Single European railway area ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure (COM(2013)0029 — C7-0025/2013 — 2013/0029(COD))P7_TC1-COD(2013)0029Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure (
  1
  ) | 397 |
| 2017/C 285/53 | P7_TA(2014)0148Domestic passenger transport services by rail ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail (COM(2013)0028 — C7-0024/2013 — 2013/0028(COD))P7_TC1-COD(2013)0028Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail (
  1
  ) | 420 |
| 2017/C 285/54 | P7_TA(2014)0149Interoperability of the rail system ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the interoperability of the rail system within the European Union (recast) (COM(2013)0030 — C7-0027/2013 — 2013/0015(COD))P7_TC1-COD(2013)0015Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the interoperability of the rail system within the European Union (Recast) (
  1
  ) | 432 |
| 2017/C 285/55 | P7_TA(2014)0150Railway safety ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on railway safety (recast) (COM(2013)0031 — C7-0028/2013 — 2013/0016(COD))P7_TC1-COD(2013)0016Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on railway safety (recast) (
  1
  ) | 485 |
| 2017/C 285/56 | P7_TA(2014)0151European Union Agency for Railways ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (COM(2013)0027 — C7-0029/2013 — 2013/0014(COD))P7_TC1-COD(2013)0014Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (
  1
  ) | 524 |
| 2017/C 285/57 | P7_TA(2014)0152Normalisation of the accounts of railway undertakings ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings (COM(2013)0026 — C7-0026/2013 — 2013/0013(COD))P7_TC1-COD(2013)0013Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings (
  1
  ) | 565 |
| 2017/C 285/58 | P7_TA(2014)0153Occurrence reporting in civil aviation ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and Commission Regulation (EC) No 1330/2007 (COM(2012)0776 — C7-0418/2012 — 2012/0361(COD))P7_TC1-COD(2012)0361Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council, and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 | 567 |
| 2017/C 285/59 | P7_TA(2014)0154Deployment of the eCall in-vehicle system ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system and amending Directive 2007/46/EC (COM(2013)0316 — C7-0174/2013 — 2013/0165(COD))P7_TC1-COD(2013)0165Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system based on the 112 service and amending Directive 2007/46/EC [Am. 1] (
  1
  ) | 568 |
| 2017/C 285/60 | Amendments adopted by the European Parliament on 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the insurance mediation (recast) (COM(2012)0360 — C7-0180/2012 — 2012/0175(COD)) | 581 |
| 2017/C 285/61 | P7_TA(2014)0156Third programme for the Union's action in the field of health (2014-2020) ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council establishing a Health for Growth Programme, the third multi-annual programme of EU action in the field of health for the period 2014-2020 (COM(2011)0709 — C7-0399/2011 — 2011/0339(COD))P7_TC1-COD(2011)0339Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of a third Programme for the Union's action in the field of health (2014-2020) and repealing Decision No 1350/2007/EC | 620 |
| 2017/C 285/62 | P7_TA(2014)0157Trans-European telecommunications networks ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on guidelines for trans- European telecommunications networks and repealing Decision No 1336/97/EC (COM(2013)0329 — C7-0149/2013 — 2011/0299(COD))P7_TC1-COD(2011)0299Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on guidelines for trans-European networks in the area of telecommunications infrastructure and repealing Decision No 1336/97/EC | 622 |
| 2017/C 285/63 | P7_TA(2014)0158Accessibility of public sector bodies' websites ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the accessibility of public sector bodies' websites (COM(2012)0721 — C7-0394/2012 — 2012/0340(COD))P7_TC1-COD(2012)0340Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the accessibility of public sector bodies' websites and websites operated by entities performing public tasks [Am. 1] (
  1
  ) | 623 |
| 2017/C 285/64 | P7_TA(2014)0159Common European Sales Law ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on a Common European Sales Law (COM(2011)0635 — C7-0329/2011 — 2011/0284(COD))P7_TC1-COD(2011)0284Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on a Common European Sales Law | 638 |
| 2017/C 285/65 | P7_TA(2014)0160Manufacture, presentation and sale of tobacco and related products ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products (COM(2012)0788 — C7-0420/2012 — 2012/0366(COD))P7_TC1-COD(2012)0366Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products and repealing Directive 2001/37/EC | 725 |
| | Thursday 27 February 2014 |
| 2017/C 285/66 | P7_TA(2014)0165European Investigation Order ***IEuropean Parliament legislative resolution of 27 February 2014 on the draft directive of the European Parliament and of the Council regarding the European Investigation Order in criminal matters (09288/2010 — C7-0185/2010 — 2010/0817(COD))P7_TC1-COD(2010)0817Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council regarding the European Investigation Order in criminal matters | 727 |
| 2017/C 285/67 | P7_TA(2014)0166Visa requirements for third-countries nationals ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (COM(2013)0853 — C7-0430/2013 — 2013/0415(COD))P7_TC1-COD(2013)0415Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement | 728 |
| 2017/C 285/68 | European Parliament legislative resolution of 27 February 2014 on the draft Council decision on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products to the European Union (11767/1/2013 — C7-0344/2013 — 2013/0205(NLE)) | 729 |
| 2017/C 285/69 | P7_TA(2014)0168Control of persons at external borders ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a decision of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Croatia and Cyprus of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and Decision No 582/2008/EC of the European Parliament and the Council (COM(2013)0441 — C7-0186/2013 — 2013/0210(COD))P7_TC1-COD(2013)0210Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Decision No .../2014/EU of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Bulgaria, Croatia, Cyprus and Romania of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and No 582/2008/EC | 730 |
| 2017/C 285/70 | P7_TA(2014)0169Third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement (COM(2012)0650 — C7-0371/2012 — 2012/0309(COD))P7_TC1-COD(2012)0309Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement | 731 |

III   Preparatory acts

EUROPEAN PARLIAMENT

Tuesday 25 February 2014

2017/C 285/28

P7_TA(2014)0111Member States experiencing or threatened with serious difficulties with respect to their financial stability ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on amending Council Regulation (EC) No 1198/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability (COM(2013)0428 — C7-0178/2013 — 2013/0200(COD))P7_TC1-COD(2013)0200Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 1198/2006 on the European Fisheries Fund, as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability

167

2017/C 285/29

P7_TA(2014)0112Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Articles 290 and 291 TFEU) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0751 — C7-0386/2013 — 2013/0365(COD))P7_TC1-COD(2013)0365Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny

169

2017/C 285/30

P7_TA(2014)0113Adapting legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU)***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (COM(2013)0452 — C7-0197/2013 — 2013/0220(COD))P7_TC1-COD(2013)0220Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny

190

2017/C 285/31

P7_TA(2014)0114Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0451 — C7-0198/2013 — 2013/0218(COD))P7_TC1-COD(2013)0218Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny

194

2017/C 285/32

European Parliament decision of 25 February 2014 on the nomination of Oskar Herics as a Member of the Court of Auditors (C7-0009/2014 — 2014/0802(NLE))

207

2017/C 285/33

P7_TA(2014)01172020 target to reduce CO2 emissions from new passenger cars ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars (COM(2012)0393 — C7-0184/2012 — 2012/0190(COD))P7_TC1-COD(2012)0190Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars

2

2

2

208

2017/C 285/34

P7_TA(2014)0118Community trade mark ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark (COM(2013)0161 — C7-0087/2013 — 2013/0088(COD))P7_TC1-COD(2013)0088Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark (
  1
  )

1

209

2017/C 285/35

P7_TA(2014)0119Laws of the Member States relating to trade marks ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast) (COM(2013)0162 — C7-0088/2013 — 2013/0089(COD))P7_TC1-COD(2013)0089Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast) (
  1
  )

1

262

2017/C 285/36

P7_TA(2014)0120Freezing and confiscation of proceeds of crime ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the freezing and confiscation of proceeds of crime in the European Union (COM(2012)0085 — C7-0075/2012 — 2012/0036(COD))P7_TC1-COD(2012)0036Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the freezing and confiscation of instrumentalities and proceeds of crime in the European Union

287

2017/C 285/37

P7_TA(2014)0121European Union Agency for Law Enforcement Cooperation and Training (Europol) ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions 2009/371/JHA and 2005/681/JHA (COM(2013)0173 — C7-0094/2013 — 2013/0091(COD))P7_TC1-COD(2013)0091Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions Council Decision 2009/371/JHA and 2005/681/JHA [Am. 1]

establishment of the

and Training

Decisions

Decision

and 2005/681/JHA

288

2017/C 285/38

P7_TA(2014)0122Conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast) (COM(2013)0151 — C7-0080/2013 — 2013/0081(COD))P7_TC1-COD(2013)0081Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast)

348

2017/C 285/39

P7_TA(2014)0123European Voluntary Humanitarian Aid Corps ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council Establishing the European Voluntary Humanitarian Aid Corps — EU Aid Volunteers (COM(2012)0514 — C7-0303/2012 — 2012/0245(COD))P7_TC1-COD(2012)0245Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council establishing the European Voluntary Humanitarian Aid Corps (EU Aid Volunteers initiative)

376

2017/C 285/40

P7_TA(2014)0124Fund for European aid to the most deprived ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived (COM(2012)0617 — C7-0358/2012 — 2012/0295(COD))P7_TC1-COD(2012)0295Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived

377

2017/C 285/41

P7_TA(2014)0125Biocidal products ***IEuropean Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products with regard to certain conditions for access to the market (COM(2013)0288 — C7-0141/2013 — 2013/0150(COD))P7_TC1-COD(2013)0150Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products, with regard to certain conditions for access to the market

378

Wednesday 26 February 2014

2017/C 285/42

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, with the exception of Article 49(3) thereof (12399/2013 — C7-0425/2013 — 2012/0219A(NLE))

379

2017/C 285/43

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Member States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, as regards Article 49(3) thereof (12400/2013 — C7-0426/2013 — 2012/0219B(NLE))

380

2017/C 285/44

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision on guidelines for the employment policies of the Member States (COM(2013)0803 — C7-0417/2013 — 2013/0392(NLE))

381

2017/C 285/45

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council directive amending Directive 2006/112/EC on the common system of value added tax as regards a standard VAT return (COM(2013)0721 — C7-0394/2013 — 2013/0343(CNS))

382

2017/C 285/46

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2009/831/EC as regards its period of application (COM(2013)0930 — C7-0022/2014 — 2013/0446(CNS))

385

2017/C 285/47

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2004/162/EC with regard to its implementation in Mayotte from 1 January 2014 (COM(2014)0024 — C7-0031/2014 — 2014/0010(CNS))

386

2017/C 285/48

European Parliament resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 – C7-0351/2013 — 2013/0120A(NLE))

387

2017/C 285/49

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of a Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 — C7-0351/2013 — 2013/0120A(NLE))

394

2017/C 285/50

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and Cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, as regards matters related to readmission (11313/2013 — C7-0356/2013 — 2013/0120B(NLE))

395

2017/C 285/51

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Agreement between the European Union and the Republic of Turkey on the readmission of persons residing without authorisation (10697/2012 — C7-0029/2014 — 2012/0122(NLE))

396

2017/C 285/52

P7_TA(2014)0147Single European railway area ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure (COM(2013)0029 — C7-0025/2013 — 2013/0029(COD))P7_TC1-COD(2013)0029Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure (
  1
  )

1

397

2017/C 285/53

P7_TA(2014)0148Domestic passenger transport services by rail ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail (COM(2013)0028 — C7-0024/2013 — 2013/0028(COD))P7_TC1-COD(2013)0028Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail (
  1
  )

1

420

2017/C 285/54

P7_TA(2014)0149Interoperability of the rail system ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the interoperability of the rail system within the European Union (recast) (COM(2013)0030 — C7-0027/2013 — 2013/0015(COD))P7_TC1-COD(2013)0015Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the interoperability of the rail system within the European Union (Recast) (
  1
  )

1

432

2017/C 285/55

P7_TA(2014)0150Railway safety ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on railway safety (recast) (COM(2013)0031 — C7-0028/2013 — 2013/0016(COD))P7_TC1-COD(2013)0016Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on railway safety (recast) (
  1
  )

1

485

2017/C 285/56

P7_TA(2014)0151European Union Agency for Railways ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (COM(2013)0027 — C7-0029/2013 — 2013/0014(COD))P7_TC1-COD(2013)0014Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (
  1
  )

1

524

2017/C 285/57

P7_TA(2014)0152Normalisation of the accounts of railway undertakings ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings (COM(2013)0026 — C7-0026/2013 — 2013/0013(COD))P7_TC1-COD(2013)0013Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings (
  1
  )

1

565

2017/C 285/58

P7_TA(2014)0153Occurrence reporting in civil aviation ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and Commission Regulation (EC) No 1330/2007 (COM(2012)0776 — C7-0418/2012 — 2012/0361(COD))P7_TC1-COD(2012)0361Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council, and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007

567

2017/C 285/59

P7_TA(2014)0154Deployment of the eCall in-vehicle system ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system and amending Directive 2007/46/EC (COM(2013)0316 — C7-0174/2013 — 2013/0165(COD))P7_TC1-COD(2013)0165Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system based on the 112 service and amending Directive 2007/46/EC [Am. 1] (
  1
  )

based on the 112 service

1

568

2017/C 285/60

Amendments adopted by the European Parliament on 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the insurance mediation (recast) (COM(2012)0360 — C7-0180/2012 — 2012/0175(COD))

581

2017/C 285/61

P7_TA(2014)0156Third programme for the Union's action in the field of health (2014-2020) ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council establishing a Health for Growth Programme, the third multi-annual programme of EU action in the field of health for the period 2014-2020 (COM(2011)0709 — C7-0399/2011 — 2011/0339(COD))P7_TC1-COD(2011)0339Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of a third Programme for the Union's action in the field of health (2014-2020) and repealing Decision No 1350/2007/EC

620

2017/C 285/62

P7_TA(2014)0157Trans-European telecommunications networks ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on guidelines for trans- European telecommunications networks and repealing Decision No 1336/97/EC (COM(2013)0329 — C7-0149/2013 — 2011/0299(COD))P7_TC1-COD(2011)0299Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on guidelines for trans-European networks in the area of telecommunications infrastructure and repealing Decision No 1336/97/EC

622

2017/C 285/63

P7_TA(2014)0158Accessibility of public sector bodies' websites ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the accessibility of public sector bodies' websites (COM(2012)0721 — C7-0394/2012 — 2012/0340(COD))P7_TC1-COD(2012)0340Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the accessibility of public sector bodies' websites and websites operated by entities performing public tasks [Am. 1] (
  1
  )

and websites operated by entities performing public tasks

1

623

2017/C 285/64

P7_TA(2014)0159Common European Sales Law ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on a Common European Sales Law (COM(2011)0635 — C7-0329/2011 — 2011/0284(COD))P7_TC1-COD(2011)0284Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on a Common European Sales Law

638

2017/C 285/65

P7_TA(2014)0160Manufacture, presentation and sale of tobacco and related products ***IEuropean Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products (COM(2012)0788 — C7-0420/2012 — 2012/0366(COD))P7_TC1-COD(2012)0366Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products and repealing Directive 2001/37/EC

725

Thursday 27 February 2014

2017/C 285/66

P7_TA(2014)0165European Investigation Order ***IEuropean Parliament legislative resolution of 27 February 2014 on the draft directive of the European Parliament and of the Council regarding the European Investigation Order in criminal matters (09288/2010 — C7-0185/2010 — 2010/0817(COD))P7_TC1-COD(2010)0817Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council regarding the European Investigation Order in criminal matters

727

2017/C 285/67

P7_TA(2014)0166Visa requirements for third-countries nationals ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (COM(2013)0853 — C7-0430/2013 — 2013/0415(COD))P7_TC1-COD(2013)0415Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement

728

2017/C 285/68

European Parliament legislative resolution of 27 February 2014 on the draft Council decision on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products to the European Union (11767/1/2013 — C7-0344/2013 — 2013/0205(NLE))

729

2017/C 285/69

P7_TA(2014)0168Control of persons at external borders ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a decision of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Croatia and Cyprus of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and Decision No 582/2008/EC of the European Parliament and the Council (COM(2013)0441 — C7-0186/2013 — 2013/0210(COD))P7_TC1-COD(2013)0210Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Decision No .../2014/EU of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Bulgaria, Croatia, Cyprus and Romania of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and No 582/2008/EC

730

2017/C 285/70

P7_TA(2014)0169Third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement ***IEuropean Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement (COM(2012)0650 — C7-0371/2012 — 2012/0309(COD))P7_TC1-COD(2012)0309Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement

731

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  - | Consultation procedure |
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| *** | Consent procedure |
| ***I | Ordinary legislative procedure: first reading |
| ***II | Ordinary legislative procedure: second reading |
| ***III | Ordinary legislative procedure: third reading |

Key to symbols used

*

Consultation procedure

***

Consent procedure

***I

Ordinary legislative procedure: first reading

***II

Ordinary legislative procedure: second reading

***III

Ordinary legislative procedure: third reading

(The type of procedure depends on the legal basis proposed by the draft act.)

Amendments by Parliament:

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  . Deletions are indicated using either the ▌symbol or strikeout. Replacements are indicated by highlighting the new text in
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(1)   Text with EEA relevance.

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| EN | |
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EN

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29.8.2017

| 29.8.2017 | EN | Official Journal of the European Union | C 285/1 |
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EN

Official Journal of the European Union

C 285/1

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EUROPEAN PARLIAMENT

2013-2014 SESSION

Sittings of 24 to 27 February 2014

The Minutes of this session have been published in
  OJ C 61, 19.2.2015
  .

TEXTS ADOPTED

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I Resolutions, recommendations and opinions

RESOLUTIONS

European Parliament

Tuesday 25 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/2 |
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29.8.2017

EN

Official Journal of the European Union

C 285/2

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P7_TA(2014)0126

Combating violence against women

European Parliament resolution of 25 February 2014 with recommendations to the Commission on combating Violence Against Women (2013/2004(INL))

(2017/C 285/01)

The European Parliament,

| — | having regard to Article 225 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Article 225 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to Articles 2 and 3 of the Treaty on European Union (TEU), |
| --- | --- |

—

having regard to Articles 2 and 3 of the Treaty on European Union (TEU),

| — | having regard to the Charter of Fundamental Rights of the European Union and namely its Articles 23, 24, and 25, |
| --- | --- |

—

having regard to the Charter of Fundamental Rights of the European Union and namely its Articles 23, 24, and 25,

| — | having regard to its resolution of 24 March 2009 on combating female genital mutilation in the EU (1), and its resolution of 14 June 2012 on ending female genital mutilation (2), |
| --- | --- |

—

having regard to its resolution of 24 March 2009 on combating female genital mutilation in the EU (1), and its resolution of 14 June 2012 on ending female genital mutilation (2),

| — | having regard to its declaration of 22 April 2009 on the ‘Say NO to Violence against Women’ campaign (3), |
| --- | --- |

—

having regard to its declaration of 22 April 2009 on the ‘Say NO to Violence against Women’ campaign (3),

| — | having regard to its resolution of 26 November 2009 on the elimination of violence against women (4), |
| --- | --- |

—

having regard to its resolution of 26 November 2009 on the elimination of violence against women (4),

| — | having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (5), |
| --- | --- |

—

having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (5),

| — | having regard to its resolution of 6 February 2013 on the 57th session on UN CSW: elimination and prevention of all forms of violence against women and girls (6), |
| --- | --- |

—

having regard to its resolution of 6 February 2013 on the 57th session on UN CSW: elimination and prevention of all forms of violence against women and girls (6),

| — | having regard to its resolution of 11 October 2007 on the murder of women (feminicide) in Mexico and Central America and the role of the European Union in fighting the phenomenon (7), |
| --- | --- |

—

having regard to its resolution of 11 October 2007 on the murder of women (feminicide) in Mexico and Central America and the role of the European Union in fighting the phenomenon (7),

| — | having regard to the Commission's Strategy for equality between women and men 2010-2015 which was presented on 21 September 2010, |
| --- | --- |

—

having regard to the Commission's Strategy for equality between women and men 2010-2015 which was presented on 21 September 2010,

| — | having regard to the Commission’s Action Plan Implementing the Stockholm Programme (COM(2010)0171), |
| --- | --- |

—

having regard to the Commission’s Action Plan Implementing the Stockholm Programme (COM(2010)0171),

| — | having regard to the 2014-2020 Rights, Equality and Citizenship Programme, |
| --- | --- |

—

having regard to the 2014-2020 Rights, Equality and Citizenship Programme,

| — | having regard to the EPSCO Council Conclusions of 8 March 2010 on the eradication of violence against women, |
| --- | --- |

—

having regard to the EPSCO Council Conclusions of 8 March 2010 on the eradication of violence against women,

| — | having regard to Directive 2011/93/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse of children and child pornography and replacing Council Framework Decision 2004/68/JHA (8), |
| --- | --- |

—

having regard to Directive 2011/93/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse of children and child pornography and replacing Council Framework Decision 2004/68/JHA (8),

| — | having regard to the opinion of the European Economic and Social Committee of 18 September 2012 on ‘Eradicating domestic violence against women’ (9), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 18 September 2012 on ‘Eradicating domestic violence against women’ (9),

| — | having regard to the EU guidelines on violence against women and girls and combating all forms of discrimination against them, |
| --- | --- |

—

having regard to the EU guidelines on violence against women and girls and combating all forms of discrimination against them,

| — | having regard to the Council of Europe Convention on preventing and combating violence against women and domestic violence (Istanbul Convention), |
| --- | --- |

—

having regard to the Council of Europe Convention on preventing and combating violence against women and domestic violence (Istanbul Convention),

| — | having regard to Article 11(1)(d) of the Convention on the Elimination of All Forms of Discrimination against Women, adopted by the UN General Assembly by Resolution 34/180 of 18 December 1979, |
| --- | --- |

—

having regard to Article 11(1)(d) of the Convention on the Elimination of All Forms of Discrimination against Women, adopted by the UN General Assembly by Resolution 34/180 of 18 December 1979,

| — | having regard to the provisions of the UN legal instruments in the sphere of human rights, in particular those concerning women’s rights, such as the UN Charter, the Universal Declaration of Human Rights, the International Covenants on Civil and Political Rights and on Economic, Social and Cultural Rights, the Convention for the Suppression of the Traffic in Persons and of the Exploitation of the Prostitution of Others, the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW) and its Optional Protocol, the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the 1951 Convention relating to the Status of Refugees, and the principle of non-refoulement, the United Nations Convention on the rights of persons with disabilities, |
| --- | --- |

—

having regard to the provisions of the UN legal instruments in the sphere of human rights, in particular those concerning women’s rights, such as the UN Charter, the Universal Declaration of Human Rights, the International Covenants on Civil and Political Rights and on Economic, Social and Cultural Rights, the Convention for the Suppression of the Traffic in Persons and of the Exploitation of the Prostitution of Others, the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW) and its Optional Protocol, the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, the 1951 Convention relating to the Status of Refugees, and the principle of non-refoulement, the United Nations Convention on the rights of persons with disabilities,

| — | having regard to other UN instruments on violence against women, such as the Vienna Declaration and Programme of Action of 25 June 1993 adopted by the World Conference on Human Rights (A/CONF. 157/23) and the Declaration on the Elimination of Violence against Women of 20 December 1993 (A/RES/48/104), |
| --- | --- |

—

having regard to other UN instruments on violence against women, such as the Vienna Declaration and Programme of Action of 25 June 1993 adopted by the World Conference on Human Rights (A/CONF. 157/23) and the Declaration on the Elimination of Violence against Women of 20 December 1993 (A/RES/48/104),

| — | having regard to the UN General Assembly resolutions of 12 December 1997 entitled ‘Crime prevention and criminal justice measures to eliminate violence against women’ (A/RES/52/86), of 18 December 2002 entitled ‘Working towards the elimination of crimes against women committed in the name of honour’ (A/RES/57/179), and of 22 December 2003 entitled ‘Elimination of domestic violence against women’ (A/RES/58/147) and of the UN General Assembly resolution of 5 March 2013 entitled ‘Intensifying global efforts for the elimination of female genital mutilations’ (A/RES/67/146), |
| --- | --- |

—

having regard to the UN General Assembly resolutions of 12 December 1997 entitled ‘Crime prevention and criminal justice measures to eliminate violence against women’ (A/RES/52/86), of 18 December 2002 entitled ‘Working towards the elimination of crimes against women committed in the name of honour’ (A/RES/57/179), and of 22 December 2003 entitled ‘Elimination of domestic violence against women’ (A/RES/58/147) and of the UN General Assembly resolution of 5 March 2013 entitled ‘Intensifying global efforts for the elimination of female genital mutilations’ (A/RES/67/146),

| — | having regard to the reports by the UN High Commissioner for Human Rights’ Special Rapporteurs on violence against women and to General Recommendation No 19 adopted by the Committee on the Elimination of Discrimination Against Women (11th session, 1992), |
| --- | --- |

—

having regard to the reports by the UN High Commissioner for Human Rights’ Special Rapporteurs on violence against women and to General Recommendation No 19 adopted by the Committee on the Elimination of Discrimination Against Women (11th session, 1992),

| — | having regard to the Beijing Declaration and Platform for Action adopted by the Fourth World Conference on Women on 15 September 1995 and to Parliament’s resolutions of 18 May 2000 on the follow-up to the Beijing Action Platform (10) and of 10 March 2005 on the follow-up to the Fourth World Conference on Women — Platform for Action (Beijing+10) (11) and of 25 February 2010 on Beijing + 15 — UN Platform for Action for Gender Equality (12), |
| --- | --- |

—

having regard to the Beijing Declaration and Platform for Action adopted by the Fourth World Conference on Women on 15 September 1995 and to Parliament’s resolutions of 18 May 2000 on the follow-up to the Beijing Action Platform (10) and of 10 March 2005 on the follow-up to the Fourth World Conference on Women — Platform for Action (Beijing+10) (11) and of 25 February 2010 on Beijing + 15 — UN Platform for Action for Gender Equality (12),

| — | having regard to the UN General Assembly resolution of 19 December 2006 entitled ‘Intensification of efforts to eliminate all forms of violence against women’ (A/RES/61/143), and to UN Security Council Resolutions 1325 and 1820 on women, peace and security, |
| --- | --- |

—

having regard to the UN General Assembly resolution of 19 December 2006 entitled ‘Intensification of efforts to eliminate all forms of violence against women’ (A/RES/61/143), and to UN Security Council Resolutions 1325 and 1820 on women, peace and security,

| — | having regard to the Conclusions of the 57th session of the Commission on the Status of Women on the elimination and prevention of all forms of violence against women and girls, |
| --- | --- |

—

having regard to the Conclusions of the 57th session of the Commission on the Status of Women on the elimination and prevention of all forms of violence against women and girls,

| — | having regard to the UN Report of the Special Rapporteur on violence against women, its causes and consequences, Rashida Manjoo, of 16 May 2012, |
| --- | --- |

—

having regard to the UN Report of the Special Rapporteur on violence against women, its causes and consequences, Rashida Manjoo, of 16 May 2012,

| — | having regard to article 5 of the Madrid International Action Plan on Ageing, |
| --- | --- |

—

having regard to article 5 of the Madrid International Action Plan on Ageing,

| — | having regard to the European Added Value Assessment (13), |
| --- | --- |

—

having regard to the European Added Value Assessment (13),

| — | having regard to Rules 42 and 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 42 and 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Women’s Rights and Gender Equality and the opinion of the Committee on Civil Liberties, Justice and Home Affairs (A7-0075/2014), |
| --- | --- |

—

having regard to the report of the Committee on Women’s Rights and Gender Equality and the opinion of the Committee on Civil Liberties, Justice and Home Affairs (A7-0075/2014),

| A. | whereas in Directive 2012/29/EU (14) establishing minimum standards on the rights, support and protection of victims of crime, gender-based violence is defined as violence that is directed against a person because of that person's gender, gender identity or gender expression or that affects persons of a particular gender disproportionately; whereas it may result in physical, sexual, emotional or psychological harm, or economic loss, to the victim and is understood to be a form of discrimination and a violation of the fundamental freedoms of the victim and includes violence in close relationships, sexual violence (including rape, sexual assault and harassment), trafficking in human beings, slavery, and different forms of harmful practices, such as forced marriages, female genital mutilation and so-called ‘honour crimes’; |
| --- | --- |

A.

whereas in Directive 2012/29/EU (14) establishing minimum standards on the rights, support and protection of victims of crime, gender-based violence is defined as violence that is directed against a person because of that person's gender, gender identity or gender expression or that affects persons of a particular gender disproportionately; whereas it may result in physical, sexual, emotional or psychological harm, or economic loss, to the victim and is understood to be a form of discrimination and a violation of the fundamental freedoms of the victim and includes violence in close relationships, sexual violence (including rape, sexual assault and harassment), trafficking in human beings, slavery, and different forms of harmful practices, such as forced marriages, female genital mutilation and so-called ‘honour crimes’;

| B. | whereas gender-based violence involves victims and perpetrators of all ages, educational backgrounds, incomes and social positions and is linked to the unequal distribution of power between women and men and to ideas and behaviours based on stereotypes in our society which need to be combated at the earliest stage with a view to changing attitudes; |
| --- | --- |

B.

whereas gender-based violence involves victims and perpetrators of all ages, educational backgrounds, incomes and social positions and is linked to the unequal distribution of power between women and men and to ideas and behaviours based on stereotypes in our society which need to be combated at the earliest stage with a view to changing attitudes;

| C. | whereas women are increasingly being subjected to violence at the hands of husbands, partners, ex-husbands, or former partners; whereas in some countries the number of victims has risen sharply and the consequences that they suffer have shown a tendency to become far more serious, extending even to death and statistics show, the number of women killed is accounting for a growing proportion of the total murders; |
| --- | --- |

C.

whereas women are increasingly being subjected to violence at the hands of husbands, partners, ex-husbands, or former partners; whereas in some countries the number of victims has risen sharply and the consequences that they suffer have shown a tendency to become far more serious, extending even to death and statistics show, the number of women killed is accounting for a growing proportion of the total murders;

| D. | whereas statistical surveys in some countries show that although the number of murders has not risen overall, the number of women killed is accounting for a growing proportion of the total, proving that violence against women is increasing; |
| --- | --- |

D.

whereas statistical surveys in some countries show that although the number of murders has not risen overall, the number of women killed is accounting for a growing proportion of the total, proving that violence against women is increasing;

| E. | whereas extreme poverty increases the risk of violence and other forms of exploitation that hamper the full participation of women in all areas of life and the achievement of gender equality; |
| --- | --- |

E.

whereas extreme poverty increases the risk of violence and other forms of exploitation that hamper the full participation of women in all areas of life and the achievement of gender equality;

| F. | whereas greater independence and social and economic involvement makes women less vulnerable and reduces gender-based violence; |
| --- | --- |

F.

whereas greater independence and social and economic involvement makes women less vulnerable and reduces gender-based violence;

| G. | whereas new stereotypes, and forms of discrimination and violence have arisen recently from the growing use of online social networks, like abusive grooming practices targeting namely teenagers; |
| --- | --- |

G.

whereas new stereotypes, and forms of discrimination and violence have arisen recently from the growing use of online social networks, like abusive grooming practices targeting namely teenagers;

| H. | whereas sexist attitudes amongst the younger generation about gender roles are persistent; young women who are victims of violence continue to be blamed and stigmatised by their peers and the rest of society; |
| --- | --- |

H.

whereas sexist attitudes amongst the younger generation about gender roles are persistent; young women who are victims of violence continue to be blamed and stigmatised by their peers and the rest of society;

| I. | whereas violence is a traumatic experience for any man, woman or child, but gender-based violence is more often inflicted by men on women and girls, and both reflects and reinforces inequalities between men and women and compromises the health, dignity, security and autonomy of its victims; |
| --- | --- |

I.

whereas violence is a traumatic experience for any man, woman or child, but gender-based violence is more often inflicted by men on women and girls, and both reflects and reinforces inequalities between men and women and compromises the health, dignity, security and autonomy of its victims;

| J. | whereas children who have witnessed violence to a close relative have to be taken into consideration and cared for from the point of view of the necessary psychological treatment and welfare provisions, furthermore whereas children who have witnessed violence are at great risk of being affected by emotional and relationship problems; |
| --- | --- |

J.

whereas children who have witnessed violence to a close relative have to be taken into consideration and cared for from the point of view of the necessary psychological treatment and welfare provisions, furthermore whereas children who have witnessed violence are at great risk of being affected by emotional and relationship problems;

| K. | whereas women victims of gender-based violence and their children often require special support and protection because of the high risk of secondary and repeat victimisation, of intimidation and of retaliation connected with such violence; |
| --- | --- |

K.

whereas women victims of gender-based violence and their children often require special support and protection because of the high risk of secondary and repeat victimisation, of intimidation and of retaliation connected with such violence;

| L. | whereas women and children who experience violence need specific shelters where they would be offered adequate health care services, legal assistance and psychological counselling and therapy; whereas women’s shelters should be given adequate funding by the Member States; |
| --- | --- |

L.

whereas women and children who experience violence need specific shelters where they would be offered adequate health care services, legal assistance and psychological counselling and therapy; whereas women’s shelters should be given adequate funding by the Member States;

| M. | whereas male violence against women alters women’s place in society and their self-determination in terms of their health, access to employment and education, integration into social and cultural activities, economic independence, participation in public and political life and decision-making, and relations with men as well as gaining self-respect; |
| --- | --- |

M.

whereas male violence against women alters women’s place in society and their self-determination in terms of their health, access to employment and education, integration into social and cultural activities, economic independence, participation in public and political life and decision-making, and relations with men as well as gaining self-respect;

| N. | whereas violence against women can leave deep physical and psychological scars, damage the general health of women and girls, including their reproductive and sexual health, and in some instances results in death, also called feminicide; |
| --- | --- |

N.

whereas violence against women can leave deep physical and psychological scars, damage the general health of women and girls, including their reproductive and sexual health, and in some instances results in death, also called feminicide;

| O. | whereas there is a need for education and training from a very young age to combat violence against women and gender based violence in general as it develops the skills for young people to treat their partners with respect regardless of their gender and to be aware of the principles of equality; |
| --- | --- |

O.

whereas there is a need for education and training from a very young age to combat violence against women and gender based violence in general as it develops the skills for young people to treat their partners with respect regardless of their gender and to be aware of the principles of equality;

| P. | whereas violence against women is assuming ever more unacceptable forms, including membership of women in groups organising the trafficking of women for sexual exploitation; |
| --- | --- |

P.

whereas violence against women is assuming ever more unacceptable forms, including membership of women in groups organising the trafficking of women for sexual exploitation;

| Q. | whereas studies on violence against women estimate that one-fifth to one-quarter of all women in Europe have experienced physical acts of violence at least once during their adult lives, and more than one-tenth have suffered sexual violence involving the use of force (15); |
| --- | --- |

Q.

whereas studies on violence against women estimate that one-fifth to one-quarter of all women in Europe have experienced physical acts of violence at least once during their adult lives, and more than one-tenth have suffered sexual violence involving the use of force (15);

| R. | whereas, according to the European Added Value Assessment, the annual cost to the EU of gender-based violence against women is estimated at EUR 228 billion in 2011 (i.e 1,8 % of EU GDP), of which EUR 45 billion a year in public and state services and EUR 24 billion of lost economic output; |
| --- | --- |

R.

whereas, according to the European Added Value Assessment, the annual cost to the EU of gender-based violence against women is estimated at EUR 228 billion in 2011 (i.e 1,8 % of EU GDP), of which EUR 45 billion a year in public and state services and EUR 24 billion of lost economic output;

| S. | whereas the Fundamental Rights Agency issued in March 2013 some preliminary results of its European survey on violence against women, showing inter alia that: four in five women did not turn to any service, such as healthcare, social services, or victim support, following the most serious incidents of violence by people other than their partners; women who sought help were most likely to turn to medical services, highlighting the need to ensure that healthcare professionals can address the needs of victims of violence; two in five women were unaware of laws or political initiatives to protect them in cases of domestic violence, and half were unaware of any preventative laws or initiatives; |
| --- | --- |

S.

whereas the Fundamental Rights Agency issued in March 2013 some preliminary results of its European survey on violence against women, showing inter alia that: four in five women did not turn to any service, such as healthcare, social services, or victim support, following the most serious incidents of violence by people other than their partners; women who sought help were most likely to turn to medical services, highlighting the need to ensure that healthcare professionals can address the needs of victims of violence; two in five women were unaware of laws or political initiatives to protect them in cases of domestic violence, and half were unaware of any preventative laws or initiatives;

| T. | whereas the Commission stressed in its Strategy for gender equality 2010-2015 that gender-based violence is one of the key problems to be addressed in order to achieve genuine gender equality; |
| --- | --- |

T.

whereas the Commission stressed in its Strategy for gender equality 2010-2015 that gender-based violence is one of the key problems to be addressed in order to achieve genuine gender equality;

| U. | whereas the legal framework defined by the Lisbon Treaty offers new opportunities for increasing cooperation on criminal justice policy at EU level, enabling institutions and Member States to work together, on firm foundations, in establishing a common EU legal culture to combat all types of violence and discrimination against women, in respect of national legal systems and traditions without replacing them; |
| --- | --- |

U.

whereas the legal framework defined by the Lisbon Treaty offers new opportunities for increasing cooperation on criminal justice policy at EU level, enabling institutions and Member States to work together, on firm foundations, in establishing a common EU legal culture to combat all types of violence and discrimination against women, in respect of national legal systems and traditions without replacing them;

| V. | whereas awareness raising and mobilization, including through media and social media, is an important component of an effective prevention strategy; |
| --- | --- |

V.

whereas awareness raising and mobilization, including through media and social media, is an important component of an effective prevention strategy;

| W. | whereas no single intervention will eliminate violence against women, but a combination of infrastructural, legal, judicial, enforcement, cultural, educational, social, health, and other service-related actions can significantly raise awareness and reduce violence and its consequences; |
| --- | --- |

W.

whereas no single intervention will eliminate violence against women, but a combination of infrastructural, legal, judicial, enforcement, cultural, educational, social, health, and other service-related actions can significantly raise awareness and reduce violence and its consequences;

| X. | whereas the six inseparable goals underlying any measures to combat violence against women are policy, prevention, protection, prosecution, provision and partnership; |
| --- | --- |

X.

whereas the six inseparable goals underlying any measures to combat violence against women are policy, prevention, protection, prosecution, provision and partnership;

| Y. | whereas it is important to step up action against the industry which perceives young girls and women as sexual objects; |
| --- | --- |

Y.

whereas it is important to step up action against the industry which perceives young girls and women as sexual objects;

| Z. | whereas women in the Union are not equally protected against male violence, due to differing policies and legislation across Member States, as regards among other the definition of offenses and the scope of the legislation, and are therefore vulnerable to such violence; |
| --- | --- |

Z.

whereas women in the Union are not equally protected against male violence, due to differing policies and legislation across Member States, as regards among other the definition of offenses and the scope of the legislation, and are therefore vulnerable to such violence;

| AA. | whereas, due to factors such as race, ethnicity, religion or belief, health, civil status, housing, migration status, age, disability, class, sexual orientation and gender identity, women may have special needs and be more vulnerable to multiple discriminations; |
| --- | --- |

AA.

whereas, due to factors such as race, ethnicity, religion or belief, health, civil status, housing, migration status, age, disability, class, sexual orientation and gender identity, women may have special needs and be more vulnerable to multiple discriminations;

| AB. | whereas in many cases women fail to lodge complaints against acts of gender-based violence against them, for reasons that are complex and diverse and include psychological, economic, social and cultural factors, and because they may also lack trust in the ability of the police, the legal system, and social and health services to concretely help them; whereas in some cases the authorities consider gender-based violence to be a family problem and hence one that can be resolved at that level; |
| --- | --- |

AB.

whereas in many cases women fail to lodge complaints against acts of gender-based violence against them, for reasons that are complex and diverse and include psychological, economic, social and cultural factors, and because they may also lack trust in the ability of the police, the legal system, and social and health services to concretely help them; whereas in some cases the authorities consider gender-based violence to be a family problem and hence one that can be resolved at that level;

| AC. | whereas reproductive health policy should be at the heart of this debate; |
| --- | --- |

AC.

whereas reproductive health policy should be at the heart of this debate;

| AD. | whereas it is essential to gather comparable disaggregated qualitative and quantitative data, covering all aspects of the problem, in order to comprehend the real extent of violence against women in the Union and hence produce effective policies; |
| --- | --- |

AD.

whereas it is essential to gather comparable disaggregated qualitative and quantitative data, covering all aspects of the problem, in order to comprehend the real extent of violence against women in the Union and hence produce effective policies;

| AE. | whereas the rejection on 12 December 2012 by the European Parliament of the Commission's proposal for a regulation of the European Parliament and of the Council on European statistics on safety from crime (16) reiterates the need for a new proposal for EU legislation which establishes a coherent system for collecting statistics on violence against women in the Member States, and whereas the Council, in its conclusions of December 2012, called for improvements to the collection and dissemination of comparable, reliable and regularly updated data concerning all forms of violence against women at both national and EU level; |
| --- | --- |

AE.

whereas the rejection on 12 December 2012 by the European Parliament of the Commission's proposal for a regulation of the European Parliament and of the Council on European statistics on safety from crime (16) reiterates the need for a new proposal for EU legislation which establishes a coherent system for collecting statistics on violence against women in the Member States, and whereas the Council, in its conclusions of December 2012, called for improvements to the collection and dissemination of comparable, reliable and regularly updated data concerning all forms of violence against women at both national and EU level;

| AF. | whereas Female Genital Mutilations (FGM) is recognised internationally as a violation of human rights, a form of torture against girls and women, and reflects a deep-rooted inequality between the sexes; whereas FGM constitutes an extreme form of discrimination against women, is nearly always carried out on minors and is a violation of the rights of children; |
| --- | --- |

AF.

whereas Female Genital Mutilations (FGM) is recognised internationally as a violation of human rights, a form of torture against girls and women, and reflects a deep-rooted inequality between the sexes; whereas FGM constitutes an extreme form of discrimination against women, is nearly always carried out on minors and is a violation of the rights of children;

| AG. | whereas prostitution may be viewed as a type of violence against women, owing to the effect this has on their physical and mental health, especially in cases of forced prostitution and of trafficking in women for the purpose of prostitution; |
| --- | --- |

AG.

whereas prostitution may be viewed as a type of violence against women, owing to the effect this has on their physical and mental health, especially in cases of forced prostitution and of trafficking in women for the purpose of prostitution;

| AH. | whereas there is an increasing dangerous trend of honour killings within the borders of the Union, a trend which mostly affects young girls; |
| --- | --- |

AH.

whereas there is an increasing dangerous trend of honour killings within the borders of the Union, a trend which mostly affects young girls;

| AI. | whereas elder abuse is recognized internationally as a violation of human rights of older women, as well as the need to prevent and fight elder abuse in all EU countries; |
| --- | --- |

AI.

whereas elder abuse is recognized internationally as a violation of human rights of older women, as well as the need to prevent and fight elder abuse in all EU countries;

| AJ. | whereas the adoption of EU guidelines on Violence against Women and girls and combating all forms of discrimination against them as well as the specific chapter on the protection of women against gender-based violence in the EU Human Rights Strategic Framework and Action Plan are marking the EU’s clear political will to treat the subject of women’s rights as a priority and to take long-term action in that field; whereas coherence between the internal and external dimensions in polices concerning human rights can sometimes expose a gap between rhetoric and behaviour; |
| --- | --- |

AJ.

whereas the adoption of EU guidelines on Violence against Women and girls and combating all forms of discrimination against them as well as the specific chapter on the protection of women against gender-based violence in the EU Human Rights Strategic Framework and Action Plan are marking the EU’s clear political will to treat the subject of women’s rights as a priority and to take long-term action in that field; whereas coherence between the internal and external dimensions in polices concerning human rights can sometimes expose a gap between rhetoric and behaviour;

| AK. | whereas, according to the Commission and to Amnesty International reports, FGM concern hundreds of thousands of women and girls in Europe and the figure of 500 000 victims is commonly cited; whereas the disparities between legal provisions in Member States are leading to the phenomenon of so-called cross border ‘FGM tourism’ within the EU; |
| --- | --- |

AK.

whereas, according to the Commission and to Amnesty International reports, FGM concern hundreds of thousands of women and girls in Europe and the figure of 500 000 victims is commonly cited; whereas the disparities between legal provisions in Member States are leading to the phenomenon of so-called cross border ‘FGM tourism’ within the EU;

| AL. | whereas there is a continuing need for the EU to work with third countries to eradicate the violent practice of FGM; whereas those Member States and third countries with national legislation criminalising FGM should act on this legislation; |
| --- | --- |

AL.

whereas there is a continuing need for the EU to work with third countries to eradicate the violent practice of FGM; whereas those Member States and third countries with national legislation criminalising FGM should act on this legislation;

| 1. | Requests the Commission to submit, by the end of 2014, on the basis of Article 84 TFEU, a proposal for an act establishing measures to promote and support the action of Member States in the field of prevention of violence against women and girls (VAWG), following the detailed recommendations set out in the Annex hereto; |
| --- | --- |

1.

Requests the Commission to submit, by the end of 2014, on the basis of Article 84 TFEU, a proposal for an act establishing measures to promote and support the action of Member States in the field of prevention of violence against women and girls (VAWG), following the detailed recommendations set out in the Annex hereto;

| 2. | Calls on the Commission to submit a revised proposal for a Regulation on European statistics that would target violent crimes and include a coherent system for collecting statistics on gender-based violence in the Member States; |
| --- | --- |

2.

Calls on the Commission to submit a revised proposal for a Regulation on European statistics that would target violent crimes and include a coherent system for collecting statistics on gender-based violence in the Member States;

| 3. | Asks the Council to activate the passerelle clause, by adopting a unanimous decision identifying violence against women and girls (and other forms of gender based violence) as an area of crime listed in Article 83(1) TFEU; |
| --- | --- |

3.

Asks the Council to activate the passerelle clause, by adopting a unanimous decision identifying violence against women and girls (and other forms of gender based violence) as an area of crime listed in Article 83(1) TFEU;

| 4. | Calls on the Commission to promote national ratifications and launch the procedure for the accession of the EU to the Istanbul Convention on violence against women, once it has evaluated the impact and added value the latter would have; |
| --- | --- |

4.

Calls on the Commission to promote national ratifications and launch the procedure for the accession of the EU to the Istanbul Convention on violence against women, once it has evaluated the impact and added value the latter would have;

| 5. | Requests the Commission to present an EU-wide Strategy and an Action Plan to combat all forms of violence against women and girls (VAWG), as foreseen in 2010 in the Action plan implementing the Stockholm programme, with the aim of protecting women’s integrity, equality (Article 2 TEU), and well-being (Article 3(1) TEU) tangibly and effectively in an area of freedom, security and justice, focusing in particular on making women aware of their rights and men and boys (from an early age) of the need to respect women’s physical and psychological integrity, in order to help prevent such violence, stressing the need for police and judicial services to be given proper training in dealing with the specific challenges of gender-based violence, and encouraging Member States to make arrangements to help victims rebuild their lives and recover their self-confidence, so as to guard against future vulnerability or dependence; considers that such strategy should devote particular attention to vulnerable groups such as older persons, people with disabilities, immigrants and LGBT (lesbian, gay, bisexual and transgender) persons and that it should also comprise measures to support children who have witnessed violence and recognise them as victims of crime; |
| --- | --- |

5.

Requests the Commission to present an EU-wide Strategy and an Action Plan to combat all forms of violence against women and girls (VAWG), as foreseen in 2010 in the Action plan implementing the Stockholm programme, with the aim of protecting women’s integrity, equality (Article 2 TEU), and well-being (Article 3(1) TEU) tangibly and effectively in an area of freedom, security and justice, focusing in particular on making women aware of their rights and men and boys (from an early age) of the need to respect women’s physical and psychological integrity, in order to help prevent such violence, stressing the need for police and judicial services to be given proper training in dealing with the specific challenges of gender-based violence, and encouraging Member States to make arrangements to help victims rebuild their lives and recover their self-confidence, so as to guard against future vulnerability or dependence; considers that such strategy should devote particular attention to vulnerable groups such as older persons, people with disabilities, immigrants and LGBT (lesbian, gay, bisexual and transgender) persons and that it should also comprise measures to support children who have witnessed violence and recognise them as victims of crime;

| 6. | Calls on the Commission to promote the collaboration between Member States and women NGOs and organisations in order to prepare and implement an efficient strategy to eliminate violence against women; |
| --- | --- |

6.

Calls on the Commission to promote the collaboration between Member States and women NGOs and organisations in order to prepare and implement an efficient strategy to eliminate violence against women;

| 7. | Encourages the Commission to adopt the first steps towards establishing a European Observatory on Violence Against Women and girls, building on existing institutional structures (European Institute for Gender Equality (EIGE)) and directed by a EU Coordinator on VAWG; |
| --- | --- |

7.

Encourages the Commission to adopt the first steps towards establishing a European Observatory on Violence Against Women and girls, building on existing institutional structures (European Institute for Gender Equality (EIGE)) and directed by a EU Coordinator on VAWG;

| 8. | Urges the Commission to establish in the next three years an EU Year to End Violence against Women and Girls with the aim of raising awareness among citizens and among all politicians of this widespread problem which affects all the Member States, with a view to presenting a clear plan of action to end violence against women; |
| --- | --- |

8.

Urges the Commission to establish in the next three years an EU Year to End Violence against Women and Girls with the aim of raising awareness among citizens and among all politicians of this widespread problem which affects all the Member States, with a view to presenting a clear plan of action to end violence against women;

| 9. | Calls on the Member States to combat honour killings by providing education and shelter for possible victims and to mobilise awareness campaigns of the extreme form of human rights abuses and the numbers of tragic deaths caused by honour killings; |
| --- | --- |

9.

Calls on the Member States to combat honour killings by providing education and shelter for possible victims and to mobilise awareness campaigns of the extreme form of human rights abuses and the numbers of tragic deaths caused by honour killings;

| 10. | Calls on the Member States and stakeholders, working with the Commission, to help disseminate information about EU programmes and the funding available under them to combat violence against women; |
| --- | --- |

10.

Calls on the Member States and stakeholders, working with the Commission, to help disseminate information about EU programmes and the funding available under them to combat violence against women;

| 11. | Confirms that the recommendations respect fundamental rights and the principles of subsidiarity and proportionality; |
| --- | --- |

11.

Confirms that the recommendations respect fundamental rights and the principles of subsidiarity and proportionality;

| 12. | Considers that the financial implications of the requested proposal should be covered by the Union budget, Section III (ensuring full complementarity with existing budget line relating to the subject of the proposal); |
| --- | --- |

12.

Considers that the financial implications of the requested proposal should be covered by the Union budget, Section III (ensuring full complementarity with existing budget line relating to the subject of the proposal);

| 13. | Instructs its President to forward this resolution and the accompanying detailed recommendations to the Commission and the Council, and to the parliaments and governments of the Member States, to the Council of Europe and to EIGE. |
| --- | --- |

13.

Instructs its President to forward this resolution and the accompanying detailed recommendations to the Commission and the Council, and to the parliaments and governments of the Member States, to the Council of Europe and to EIGE.

---

(1)  OJ C 117 E, 6.5.2010, p. 52.

(2)  OJ C 332 E, 15.11.2013, p. 87.

(3)  OJ C 184 E, 8.7.2010, p. 131.

(4)  OJ C 285 E, 21.10.2010, p. 53.

(5)  OJ C 296 E, 2.10.2012, p. 26.

(6)  Texts adopted, P7_TA(2013)0045.

(7)  OJ C 227 E, 4.9.2008, p. 140.

(8)  OJ L 335, 17.12.2011, p. 1.

(9)  OJ C 351, 15.11.2012, p. 21.

(10)  OJ C 59, 23.2.2001, p. 258.

(11)  OJ C 320 E, 15.12.2005, p. 247.

(12)  OJ C 348 E, 21.12.2010, p. 11.

(13)  PE 504.467.

(14)  Directive 2012/29/EU of the European Parliament and of the Council of 25 October 2012 establishing minimum standards on the rights, support and protection of victims of crime, and replacing Council Framework Decision 2001/220/JHA (OJ L 315, 14.11.2012, p. 57).

(15)  Council of Europe Task Force to Combat Violence against Women, including Domestic Violence (EG-TFV), ‘Final Activity Report’, September 2008.

(16)  Texts adopted, P7_TA(2012)0494.

---

ANNEX TO THE RESOLUTION:

DETAILED RECOMMENDATIONS AS TO THE CONTENT OF THE PROPOSAL REQUESTED

Recommendation 1 on the objective and scope of the Regulation to be adopted

The objective of the Regulation should be to establish measures to promote and support the action of Member States in the field of prevention of gender-based violence.

Gender-based violence should be considered (as already indicated in Directive 2012/29/EU of the European Parliament and of the Council of 25 October 2012 establishing minimum standards on the rights, support and protection of victims of crime, and replacing Council Framework Decision 2001/220/JHA) as violence that is directed against a person because of that person's gender, gender identity or gender expression or that affects persons of a particular gender disproportionately. It may result in physical, sexual, emotional or psychological harm, or economic loss, to the victim and may include violence in close relationships, sexual violence (including rape, sexual assault and harassment), trafficking in human beings, slavery, and different forms of harmful practices, such as forced marriages, female genital mutilation and so-called ‘honour crimes’.

Recommendation 2 on prevention and combat measures

Member States should develop a series of measures in order to prevent and combat gender-based violence against women and girls. They should namely:

| — | design, implement and evaluate yearly comprehensive strategies and programmes, including public education programmes and training for teachers and professionals in the recreational sector aimed at removing obstacles that prevent women and girls from enjoying their full rights and freedom free from violence and aimed at bringing about a profound change in social and cultural attitudes; |
| --- | --- |

—

design, implement and evaluate yearly comprehensive strategies and programmes, including public education programmes and training for teachers and professionals in the recreational sector aimed at removing obstacles that prevent women and girls from enjoying their full rights and freedom free from violence and aimed at bringing about a profound change in social and cultural attitudes;

| — | conduct relevant research on gender-based violence, including on the causes and motives of violence and data collection and analysis, while pursuing efforts to standardise the criteria for registering gender-based violence, so that the data collected are comparable; |
| --- | --- |

—

conduct relevant research on gender-based violence, including on the causes and motives of violence and data collection and analysis, while pursuing efforts to standardise the criteria for registering gender-based violence, so that the data collected are comparable;

| — | organise training for officials and professionals likely to come into contact with cases of gender-based violence — including law enforcement, social welfare, child welfare (for victims of or witnesses to violence), healthcare and emergency centre staff — in order to detect, identify and properly deal with such cases, with a special focus on the needs and rights of victims; |
| --- | --- |

—

organise training for officials and professionals likely to come into contact with cases of gender-based violence — including law enforcement, social welfare, child welfare (for victims of or witnesses to violence), healthcare and emergency centre staff — in order to detect, identify and properly deal with such cases, with a special focus on the needs and rights of victims;

| — | exchange expertise, experience, information and best practices through the European Union Crime Prevention Network (EUCPN); |
| --- | --- |

—

exchange expertise, experience, information and best practices through the European Union Crime Prevention Network (EUCPN);

| — | establish awareness-raising campaigns (including campaigns targeted specifically at men), in consultation and where relevant in cooperation with NGOs, the media and other stakeholders; |
| --- | --- |

—

establish awareness-raising campaigns (including campaigns targeted specifically at men), in consultation and where relevant in cooperation with NGOs, the media and other stakeholders;

| — | create — if not already existing — and support national help lines free of charge with specialised staff; |
| --- | --- |

—

create — if not already existing — and support national help lines free of charge with specialised staff;

| — | ensure that specialised shelters (conceived both as first contact assistance and as safe and empowering space for women) are available and equip them with facilities and properly trained staff, offering places for at least 1 woman per 10 000 inhabitants; |
| --- | --- |

—

ensure that specialised shelters (conceived both as first contact assistance and as safe and empowering space for women) are available and equip them with facilities and properly trained staff, offering places for at least 1 woman per 10 000 inhabitants;

| — | ensure support to women's NGOs and civil society working to prevent gender-based violence against women and girls. |
| --- | --- |

—

ensure support to women's NGOs and civil society working to prevent gender-based violence against women and girls.

Recommendation 3 on national rapporteurs or equivalent mechanisms

Within one year from the entry into force of the Regulation, Member States should take the necessary measures to establish national rapporteurs or equivalent mechanisms. The tasks of such mechanisms should include the carrying out of assessments of trends in gender-based violence, the measuring of results of measures taken to combat it at national and local level, the gathering of statistics and yearly reporting to the Commission and the competent committees of the European Parliament.

Recommendation 4 on coordination of the Union strategy on combating violence against women

In order to contribute to a coordinated and consolidated Union strategy to combat gender-based violence, Member States should transmit to the Commission the information referred to in Recommendation 3.

Recommendation 5 on reporting

The Commission shall, by 31 December every year and starting from the year after the entry into force of this Regulation, submit a report to the European Parliament and the Council, assessing to which extent Member States have taken measures following this Regulation.

The report will list the measures taken and highlight good practices.

Recommendation 6 on the creation of a civil society forum

The Commission shall maintain a close dialogue with relevant civil society organisations and relevant competent bodies operating in the field of fight against gender-based violence at local, regional, national, European or international level and shall set up a Civil Society Forum for this purpose.

The Forum will constitute a mechanism for the exchange of information and pooling of knowledge. It shall ensure there is a close dialogue between the Union Institutions and relevant stakeholders.

The Forum shall be open to relevant stakeholders in accordance with the first paragraph and shall meet at least once a year.

Recommendation 7 on financial support

The Regulation should establish the source of the financial support within the frame of the Union budget (Section III) for the actions listed under Recommendation 3.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/11 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/11

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P7_TA(2014)0127

Delegation of legislative powers and the Commission's exercise of implementing powers

European Parliament resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (2012/2323(INI))

(2017/C 285/02)

The European Parliament,

| — | having regard to Articles 290 and 291 of the Treaty of the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Articles 290 and 291 of the Treaty of the Functioning of the European Union (TFEU),

| — | having regard to Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (1), |
| --- | --- |

—

having regard to Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (1),

| — | having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents, |
| --- | --- |

—

having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents,

| — | having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto, |
| --- | --- |

—

having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto,

| — | having regard to the judgment of the Court of Justice of 5 September 2012 in Case C-355/10, Parliament v Council (not yet reported), and the pending Case C-427/12, Commission v European Parliament and Council of the European Union, |
| --- | --- |

—

having regard to the judgment of the Court of Justice of 5 September 2012 in Case C-355/10, Parliament v Council (not yet reported), and the pending Case C-427/12, Commission v European Parliament and Council of the European Union,

| — | having regard to its resolution of 5 May 2010 on the power of legislative delegation (3), |
| --- | --- |

—

having regard to its resolution of 5 May 2010 on the power of legislative delegation (3),

| — | having regard to the information report of the European Economic and Social Committee, adopted on 19 September 2013, on Better regulation: implementing acts and delegated acts, |
| --- | --- |

—

having regard to the information report of the European Economic and Social Committee, adopted on 19 September 2013, on Better regulation: implementing acts and delegated acts,

| — | having regard to the letter of 26 November 2012 from the President of Parliament to the Chair of the Conference of Committee Chairs concerning the horizontal principles for the use of delegated acts in relation to the legislative programmes covered by the Multiannual Financial Framework (MFF), as endorsed by the Conference of Presidents at its meeting of 15 November 2012, |
| --- | --- |

—

having regard to the letter of 26 November 2012 from the President of Parliament to the Chair of the Conference of Committee Chairs concerning the horizontal principles for the use of delegated acts in relation to the legislative programmes covered by the Multiannual Financial Framework (MFF), as endorsed by the Conference of Presidents at its meeting of 15 November 2012,

| — | having regard to the letter of 8 February 2013 from the President of Parliament to the Presidents of the Council and of the Commission concerning the lack of progress in the Council with regard to the alignment proposals in the fields of agriculture and fisheries, |
| --- | --- |

—

having regard to the letter of 8 February 2013 from the President of Parliament to the Presidents of the Council and of the Commission concerning the lack of progress in the Council with regard to the alignment proposals in the fields of agriculture and fisheries,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on Development, the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy, the Committee on Transport and Tourism, the Committee on Agriculture and Rural Development, the Committee on Fisheries, and the Committee on Civil Liberties, Justice and Home Affairs (A7-0435/2013), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on Development, the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy, the Committee on Transport and Tourism, the Committee on Agriculture and Rural Development, the Committee on Fisheries, and the Committee on Civil Liberties, Justice and Home Affairs (A7-0435/2013),

| A. | whereas the Lisbon Treaty introduced the possibility for Parliament and the Council (together referred to as ‘the legislator’) to delegate part of its own powers to the Commission in a legislative act (‘the basic act’); whereas delegation is a delicate operation whereby the Commission is instructed to exercise a power which is intrinsic to the legislator's own role; whereas it is therefore necessary to ensure the correct application of the Treaty, so as to guarantee a sufficient level of democratic legitimacy for delegated acts as well; whereas the starting-point in examining the issue of delegation must therefore always be the freedom of the legislator; whereas according to settled case-law, the adoption of rules essential to the subject matter envisaged is reserved to the legislator; which means that the adoption of provisions requiring political decisions that fall within the responsibility of the legislator cannot be delegated; whereas therefore that delegated power can only consist in supplementing or amending parts of a legislative act that are not essential; whereas the resulting delegated acts adopted by the Commission will be non-legislative acts of general scope; whereas the basic act must explicitly define the objective, content, scope and duration of that delegation, and must lay down the conditions to which the delegation is subject; |
| --- | --- |

A.

whereas the Lisbon Treaty introduced the possibility for Parliament and the Council (together referred to as ‘the legislator’) to delegate part of its own powers to the Commission in a legislative act (‘the basic act’); whereas delegation is a delicate operation whereby the Commission is instructed to exercise a power which is intrinsic to the legislator's own role; whereas it is therefore necessary to ensure the correct application of the Treaty, so as to guarantee a sufficient level of democratic legitimacy for delegated acts as well; whereas the starting-point in examining the issue of delegation must therefore always be the freedom of the legislator; whereas according to settled case-law, the adoption of rules essential to the subject matter envisaged is reserved to the legislator; which means that the adoption of provisions requiring political decisions that fall within the responsibility of the legislator cannot be delegated; whereas therefore that delegated power can only consist in supplementing or amending parts of a legislative act that are not essential; whereas the resulting delegated acts adopted by the Commission will be non-legislative acts of general scope; whereas the basic act must explicitly define the objective, content, scope and duration of that delegation, and must lay down the conditions to which the delegation is subject;

| B. | whereas in order to set out the practical arrangements and agreed clarifications and preferences applicable to delegations of legislative power in accordance with Article 290 TFEU, Parliament, the Council and the Commission agreed on a Common Understanding on Delegated Acts with a view to a smooth exercise of delegated power and an effective control of that power by the European Parliament and the Council; |
| --- | --- |

B.

whereas in order to set out the practical arrangements and agreed clarifications and preferences applicable to delegations of legislative power in accordance with Article 290 TFEU, Parliament, the Council and the Commission agreed on a Common Understanding on Delegated Acts with a view to a smooth exercise of delegated power and an effective control of that power by the European Parliament and the Council;

| C. | whereas the Treaties provide that Member States are to adopt all measures of national law necessary to implement legally binding Union acts; whereas, however, where uniform conditions for implementing legally binding Union acts are needed, those acts are to confer implementing powers on the Commission (and in certain exceptional cases on the Council), as laid down in Article 291 TFEU; whereas where the basic act requires that the adoption of implementing acts by the Commission must be subject to control by the Member States, the basic act should confer those implementing powers on the Commission in accordance with Regulation (EU) No 182/2011; whereas a key commitment made by the Commission in a statement annexed to that Regulation was the urgent alignment of the acquis to the new system of delegated and implementing acts to be completed during the current legislative term, including basic acts referring to the regulatory procedure with scrutiny (RPS); |
| --- | --- |

C.

whereas the Treaties provide that Member States are to adopt all measures of national law necessary to implement legally binding Union acts; whereas, however, where uniform conditions for implementing legally binding Union acts are needed, those acts are to confer implementing powers on the Commission (and in certain exceptional cases on the Council), as laid down in Article 291 TFEU; whereas where the basic act requires that the adoption of implementing acts by the Commission must be subject to control by the Member States, the basic act should confer those implementing powers on the Commission in accordance with Regulation (EU) No 182/2011; whereas a key commitment made by the Commission in a statement annexed to that Regulation was the urgent alignment of the acquis to the new system of delegated and implementing acts to be completed during the current legislative term, including basic acts referring to the regulatory procedure with scrutiny (RPS);

| D. | whereas it is for the legislator to determine, on a case-by case basis, the level of detail of each legislative act and thereby also to decide whether to delegate any power to the Commission to adopt delegated acts as well as whether there will be any need for powers to ensure uniform conditions for implementing the legislative act; whereas the conferral of such delegated or implementing powers is never an obligation; whereas such conferral should however be considered where flexibility and efficiency are needed and cannot be delivered by means of the ordinary legislative procedure; whereas the decision as to whether to confer delegated or implementing powers must be based on objective factors which must permit judicial review of the solution adopted; whereas the absence of case law on Article 290 TFEU and on the criteria laid down therein has made it more difficult for the European Parliament and Council to agree on a delimitation between implementing and delegated acts; |
| --- | --- |

D.

whereas it is for the legislator to determine, on a case-by case basis, the level of detail of each legislative act and thereby also to decide whether to delegate any power to the Commission to adopt delegated acts as well as whether there will be any need for powers to ensure uniform conditions for implementing the legislative act; whereas the conferral of such delegated or implementing powers is never an obligation; whereas such conferral should however be considered where flexibility and efficiency are needed and cannot be delivered by means of the ordinary legislative procedure; whereas the decision as to whether to confer delegated or implementing powers must be based on objective factors which must permit judicial review of the solution adopted; whereas the absence of case law on Article 290 TFEU and on the criteria laid down therein has made it more difficult for the European Parliament and Council to agree on a delimitation between implementing and delegated acts;

| E. | whereas the delegation of power to the Commission is not merely a technical issue but can involve questions of considerable political importance for Union citizens and consumers, enterprises and entire sectors, on account of their possible socio-economic, environmental and health impacts; |
| --- | --- |

E.

whereas the delegation of power to the Commission is not merely a technical issue but can involve questions of considerable political importance for Union citizens and consumers, enterprises and entire sectors, on account of their possible socio-economic, environmental and health impacts;

| F. | whereas legislative negotiations on many files have shown divergent interpretations among the institutions on certain issues; whereas, in accordance with Rule 37a of its Rules of Procedure, Parliament's committees may request an opinion from the Committee on Legal Affairs when scrutinising a proposal which provides for delegated acts; whereas the Conference of Presidents on 13 January 2012 endorsed a common line, and on 19 April 2012 endorsed a horizontal approach to be followed by individual committees in order to overcome differences of opinion; whereas that common line needs to be taken one step further by Parliament setting out its own criteria for the application of Articles 290 and 291 TFEU and by endeavouring to agree on such criteria with the Council and the Commission; |
| --- | --- |

F.

whereas legislative negotiations on many files have shown divergent interpretations among the institutions on certain issues; whereas, in accordance with Rule 37a of its Rules of Procedure, Parliament's committees may request an opinion from the Committee on Legal Affairs when scrutinising a proposal which provides for delegated acts; whereas the Conference of Presidents on 13 January 2012 endorsed a common line, and on 19 April 2012 endorsed a horizontal approach to be followed by individual committees in order to overcome differences of opinion; whereas that common line needs to be taken one step further by Parliament setting out its own criteria for the application of Articles 290 and 291 TFEU and by endeavouring to agree on such criteria with the Council and the Commission;

Criteria for the application of Articles 290 and 291 TFEU

| 1. | Considers that the following non-binding criteria should be followed by Parliament in applying Articles 290 and 291 TFEU; this list of criteria should not be considered as exhaustive:






  — | The binding or non-binding character of a measure must be decided on the basis of its nature and content; only the power to adopt legally binding measures may be delegated under Article 290 TFEU. |
| --- | --- | --- |

1.

Considers that the following non-binding criteria should be followed by Parliament in applying Articles 290 and 291 TFEU; this list of criteria should not be considered as exhaustive:

—

The binding or non-binding character of a measure must be decided on the basis of its nature and content; only the power to adopt legally binding measures may be delegated under Article 290 TFEU.

| — | The Commission may only amend legislative acts by means of delegated acts. This includes amendment of annexes, as annexes are an integral part of the legislative act. Annexes are not to be added to or deleted with the aim of triggering or avoiding the use of delegated acts; if the legislator considers that a text should be an integral part of the basic act, it may decide to include that text in an annex. This is particularly true as regards Union lists or registers of authorised products or substances which should remain, in the interests of legal certainty, an integral part of the basic act, if appropriate, in the form of an annex. Measures intended to further define the exact content of the obligations spelt out in the legislative act are designed to supplement the basic act by adding non-essential elements. |
| --- | --- |

—

The Commission may only amend legislative acts by means of delegated acts. This includes amendment of annexes, as annexes are an integral part of the legislative act. Annexes are not to be added to or deleted with the aim of triggering or avoiding the use of delegated acts; if the legislator considers that a text should be an integral part of the basic act, it may decide to include that text in an annex. This is particularly true as regards Union lists or registers of authorised products or substances which should remain, in the interests of legal certainty, an integral part of the basic act, if appropriate, in the form of an annex. Measures intended to further define the exact content of the obligations spelt out in the legislative act are designed to supplement the basic act by adding non-essential elements.

| — | Measures leading to a choice of priorities, objectives or expected results should be adopted by means of delegated acts, if the legislator decides not to include them in the legislative act itself. |
| --- | --- |

—

Measures leading to a choice of priorities, objectives or expected results should be adopted by means of delegated acts, if the legislator decides not to include them in the legislative act itself.

| — | Measures designed to lay down (further) conditions, criteria or requirements to be met — the fulfilment of which must be ensured by the Member States or other persons or entities directly concerned by the legislation — will, by definition, alter the content of the legislation and add new rules of general application. Consequently, the creation of such further rules or criteria may be accomplished only by means of a delegated act. By contrast, the implementation of the rules or criteria already established in the basic act (or in a future delegated act), without modifying the substance of the rights or obligations stemming from them and without making further policy choices, can take place through implementing acts. |
| --- | --- |

—

Measures designed to lay down (further) conditions, criteria or requirements to be met — the fulfilment of which must be ensured by the Member States or other persons or entities directly concerned by the legislation — will, by definition, alter the content of the legislation and add new rules of general application. Consequently, the creation of such further rules or criteria may be accomplished only by means of a delegated act. By contrast, the implementation of the rules or criteria already established in the basic act (or in a future delegated act), without modifying the substance of the rights or obligations stemming from them and without making further policy choices, can take place through implementing acts.

| — | Under certain circumstances the Commission is empowered to adopt additional binding rules of general scope that affect in substance the rights or obligations laid down in the basic act. Those measures will, by definition, supplement those laid down in the basic act, further defining the Union policy. This can be achieved only by means of a delegated act. |
| --- | --- |

—

Under certain circumstances the Commission is empowered to adopt additional binding rules of general scope that affect in substance the rights or obligations laid down in the basic act. Those measures will, by definition, supplement those laid down in the basic act, further defining the Union policy. This can be achieved only by means of a delegated act.

| — | Depending on the structure of the financial programme in question, non-essential elements amending or supplementing the basic act, such as those concerning specific technical matters, strategic interests, objectives, expected results, etc. could be adopted by delegated acts to the extent that they are not included in the basic act. Only for elements that do not reflect any further political or policy orientation the legislator may decide to allow for their adoption through implementing acts. |
| --- | --- |

—

Depending on the structure of the financial programme in question, non-essential elements amending or supplementing the basic act, such as those concerning specific technical matters, strategic interests, objectives, expected results, etc. could be adopted by delegated acts to the extent that they are not included in the basic act. Only for elements that do not reflect any further political or policy orientation the legislator may decide to allow for their adoption through implementing acts.

| — | A measure that determines the type of information to be provided under the basic act (i.e. the exact content of the information) generally supplements the obligation to provide information and should be carried out by means of a delegated act. |
| --- | --- |

—

A measure that determines the type of information to be provided under the basic act (i.e. the exact content of the information) generally supplements the obligation to provide information and should be carried out by means of a delegated act.

| — | A measure determining arrangements for the provision of information (i.e. the format) does not generally add to the obligation to provide information. Instead, such a measure enables uniform implementation. This should therefore be carried out, as a general rule, by means of an implementing act. |
| --- | --- |

—

A measure determining arrangements for the provision of information (i.e. the format) does not generally add to the obligation to provide information. Instead, such a measure enables uniform implementation. This should therefore be carried out, as a general rule, by means of an implementing act.

| — | Measures establishing a procedure (i.e. a way of performing or giving effect to something) can be laid down either in a delegated or in an implementing act (or even be an essential element of the basic act), depending on their content, context and the nature of the provisions set out in the basic act. Measures establishing elements of procedures involving further non-essential policy choices in order to supplement the legislative framework laid down in the basic act should in general be laid down in delegated acts. Measures establishing details of procedures in order to ensure uniform conditions for the implementation of an obligation laid down in the basic act should in general be implementing measures. |
| --- | --- |

—

Measures establishing a procedure (i.e. a way of performing or giving effect to something) can be laid down either in a delegated or in an implementing act (or even be an essential element of the basic act), depending on their content, context and the nature of the provisions set out in the basic act. Measures establishing elements of procedures involving further non-essential policy choices in order to supplement the legislative framework laid down in the basic act should in general be laid down in delegated acts. Measures establishing details of procedures in order to ensure uniform conditions for the implementation of an obligation laid down in the basic act should in general be implementing measures.

| — | As with procedures, an empowerment to determine methods (i.e. ways of doing something in particular in a regular and systematic way) or methodology (i.e. rules to determine the methods) can provide for delegated or implementing acts depending on the content and the context. |
| --- | --- |

—

As with procedures, an empowerment to determine methods (i.e. ways of doing something in particular in a regular and systematic way) or methodology (i.e. rules to determine the methods) can provide for delegated or implementing acts depending on the content and the context.

| — | In general, delegated acts should be used where the basic act leaves a considerable margin of discretion to the Commission to supplement the legislative framework laid down in the basic act. |
| --- | --- |

—

In general, delegated acts should be used where the basic act leaves a considerable margin of discretion to the Commission to supplement the legislative framework laid down in the basic act.

| — | Authorisations can be measures of general application. This is for instance the case where decisions concern the authorisation or prohibition of the inclusion of a specific substance in food, cosmetics etc. Those decisions are general because they concern any operator willing to use such substance. In such cases, if the Commission decision is fully based on criteria contained in the basic act, it could be an implementing act; where, however, the criteria still allow the Commission to make further non-essential/secondary political or policy choices such authorisation should be a delegated act, because it would supplement the basic act. |
| --- | --- |

—

Authorisations can be measures of general application. This is for instance the case where decisions concern the authorisation or prohibition of the inclusion of a specific substance in food, cosmetics etc. Those decisions are general because they concern any operator willing to use such substance. In such cases, if the Commission decision is fully based on criteria contained in the basic act, it could be an implementing act; where, however, the criteria still allow the Commission to make further non-essential/secondary political or policy choices such authorisation should be a delegated act, because it would supplement the basic act.

| — | A legislative act may only delegate to the Commission the power to adopt non-legislative acts of general application. Measures of individual application may not, therefore, be adopted by means of delegated acts. An act is of general application if it applies to objectively determined situations and produces legal effects with respect to categories of persons generally and in the abstract. |
| --- | --- |

—

A legislative act may only delegate to the Commission the power to adopt non-legislative acts of general application. Measures of individual application may not, therefore, be adopted by means of delegated acts. An act is of general application if it applies to objectively determined situations and produces legal effects with respect to categories of persons generally and in the abstract.

| — | Implementing acts should not add any further political orientation and the powers given to the Commission should not leave any significant margin of discretion. |
| --- | --- |

—

Implementing acts should not add any further political orientation and the powers given to the Commission should not leave any significant margin of discretion.

General comments

| 2. | Urges the Commission and the Council to enter into negotiations with Parliament in order to reach an agreement on the above-mentioned criteria; considers that this can be achieved within the framework of a revision of the Interinstitutional Agreement on Better Law-Making that would include such criteria; |
| --- | --- |

2.

Urges the Commission and the Council to enter into negotiations with Parliament in order to reach an agreement on the above-mentioned criteria; considers that this can be achieved within the framework of a revision of the Interinstitutional Agreement on Better Law-Making that would include such criteria;

| 3. | Reiterates the decisions taken by the Conference of Presidents at its meetings on 13 January 2011 and 19 April 2012 in relation to delegated and implementing acts, and stresses that Parliament should always insist on the use of delegated acts for all powers delegated to the Commission that fulfil the criteria set out in Article 290 TFEU, and that files in which the institutional rights of Parliament as regards the inclusion of delegated acts are not safeguarded should not be put on the plenary agenda for a vote leading to an agreement; emphasises that Parliament should, already at the start of the negotiations, flag the issue of delegated and implementing acts as a key institutional issue for Parliament; |
| --- | --- |

3.

Reiterates the decisions taken by the Conference of Presidents at its meetings on 13 January 2011 and 19 April 2012 in relation to delegated and implementing acts, and stresses that Parliament should always insist on the use of delegated acts for all powers delegated to the Commission that fulfil the criteria set out in Article 290 TFEU, and that files in which the institutional rights of Parliament as regards the inclusion of delegated acts are not safeguarded should not be put on the plenary agenda for a vote leading to an agreement; emphasises that Parliament should, already at the start of the negotiations, flag the issue of delegated and implementing acts as a key institutional issue for Parliament;

| 4. | Calls on the Commission in future to provide an explicit and sustainable justification as to why it is proposing a delegated or implementing act in a particular legislative proposal and why it considers its regulatory content to be non-essential; recalls that, as is clear from the provisions of Articles 290 and 291 TFEU, delegated and implementing acts are intended to address different needs and cannot therefore be substituted one for another; |
| --- | --- |

4.

Calls on the Commission in future to provide an explicit and sustainable justification as to why it is proposing a delegated or implementing act in a particular legislative proposal and why it considers its regulatory content to be non-essential; recalls that, as is clear from the provisions of Articles 290 and 291 TFEU, delegated and implementing acts are intended to address different needs and cannot therefore be substituted one for another;

| 5. | Believes that, in order to strengthen the position of its rapporteurs in legislative negotiations, greater recourse should be had to the possibility of requesting an opinion from the Committee on Legal Affairs under Rule 37a of the Rules of Procedure; |
| --- | --- |

5.

Believes that, in order to strengthen the position of its rapporteurs in legislative negotiations, greater recourse should be had to the possibility of requesting an opinion from the Committee on Legal Affairs under Rule 37a of the Rules of Procedure;

| 6. | Expresses serious concern that the alignment of the acquis to the Treaty of Lisbon is only partly a reality four years after its entry into force; welcomes the presentation by the Commission of the recent proposals for alignment of the remaining legislative acts providing for the use of the regulatory procedure with scrutiny (RPS); stresses however the need to start negotiations on those proposals as soon as possible, in order to finalise this exercise before the end of the current parliamentary term; considers that at least all cases previously dealt with under RPS should now be aligned to Article 290 TFEU, as RPS measures are also measures of general scope designed to amend non-essential elements of a basic act, inter alia by deleting some of those elements or by supplementing the basic act by the addition of new non-essential elements; at the same time, calls on the Council to progress with talks on those specific alignment proposals that are still stalled in the Council, including proposals in the fields of agriculture and fisheries; |
| --- | --- |

6.

Expresses serious concern that the alignment of the acquis to the Treaty of Lisbon is only partly a reality four years after its entry into force; welcomes the presentation by the Commission of the recent proposals for alignment of the remaining legislative acts providing for the use of the regulatory procedure with scrutiny (RPS); stresses however the need to start negotiations on those proposals as soon as possible, in order to finalise this exercise before the end of the current parliamentary term; considers that at least all cases previously dealt with under RPS should now be aligned to Article 290 TFEU, as RPS measures are also measures of general scope designed to amend non-essential elements of a basic act, inter alia by deleting some of those elements or by supplementing the basic act by the addition of new non-essential elements; at the same time, calls on the Council to progress with talks on those specific alignment proposals that are still stalled in the Council, including proposals in the fields of agriculture and fisheries;

| 7. | Expresses concern that, despite the fact that it can be a good solution in certain cases, systematically keeping all policy elements in the basic act could, in due course, deprive Article 290 TFEU of its use as a valuable means of rationalisation of the legislative process, which was its initial rationale in order to avoid micro-management and a heavy and lengthy co-decision procedure; stresses that this approach could be extremely difficult to apply in some cases, such as in sectors where technologies are still being developed; |
| --- | --- |

7.

Expresses concern that, despite the fact that it can be a good solution in certain cases, systematically keeping all policy elements in the basic act could, in due course, deprive Article 290 TFEU of its use as a valuable means of rationalisation of the legislative process, which was its initial rationale in order to avoid micro-management and a heavy and lengthy co-decision procedure; stresses that this approach could be extremely difficult to apply in some cases, such as in sectors where technologies are still being developed;

| 8. | Emphasises that in those cases where it has been decided to use implementing acts, the Parliament's negotiating team should carefully assess what kind of control by Member States is needed and whether the advisory or the examination procedure should be used; stresses that Parliament's negotiation teams, in cases where the examination procedure is used, should accept the so-called ‘no opinion clause’ only in exceptional, duly justified cases, as it prevents the Commission from adopting the draft implementing act in the event of ‘no opinion’ by the committee composed of representatives of the Member States and chaired by the Commission; |
| --- | --- |

8.

Emphasises that in those cases where it has been decided to use implementing acts, the Parliament's negotiating team should carefully assess what kind of control by Member States is needed and whether the advisory or the examination procedure should be used; stresses that Parliament's negotiation teams, in cases where the examination procedure is used, should accept the so-called ‘no opinion clause’ only in exceptional, duly justified cases, as it prevents the Commission from adopting the draft implementing act in the event of ‘no opinion’ by the committee composed of representatives of the Member States and chaired by the Commission;

| 9. | Recommends that the Commission not misuse delegated acts in order to reopen discussions on matters agreed at political level in trilogues; points out that the power to adopt delegated acts should preferably be conferred on the Commission only for a limited period of time; |
| --- | --- |

9.

Recommends that the Commission not misuse delegated acts in order to reopen discussions on matters agreed at political level in trilogues; points out that the power to adopt delegated acts should preferably be conferred on the Commission only for a limited period of time;

| 10. | Encourages its committees to closely monitor the use of delegated and implementing acts within their respective spheres of responsibility; to that end, requests the Commission to improve the administrative arrangements for the transmission and filing of documents related to delegated acts, including preparatory documents, in order to ensure at least the same level of information and transparency as for the existing register of implementing acts and to guarantee a simultaneous flow of information to Parliament and to the Council as the legislator; |
| --- | --- |

10.

Encourages its committees to closely monitor the use of delegated and implementing acts within their respective spheres of responsibility; to that end, requests the Commission to improve the administrative arrangements for the transmission and filing of documents related to delegated acts, including preparatory documents, in order to ensure at least the same level of information and transparency as for the existing register of implementing acts and to guarantee a simultaneous flow of information to Parliament and to the Council as the legislator;

| 11. | Considers that significant progress has been made in ensuring the swift transmission of the delegated acts to the lead committees, which in turn has positively influenced the exercise by Members' of their right of scrutiny; |
| --- | --- |

11.

Considers that significant progress has been made in ensuring the swift transmission of the delegated acts to the lead committees, which in turn has positively influenced the exercise by Members' of their right of scrutiny;

| 12. | Points to the political responsibility of the legislator and the need for the regular and timely involvement of Parliament in the preparatory phase of delegated acts; calls on the Commission to keep Parliament, including the Rapporteur responsible for the file in question, fully informed of the planned timetable, the scheduled meetings of expert groups and the content of envisaged delegated acts, including by providing access to the relevant Commission databases, such as CIRCA; |
| --- | --- |

12.

Points to the political responsibility of the legislator and the need for the regular and timely involvement of Parliament in the preparatory phase of delegated acts; calls on the Commission to keep Parliament, including the Rapporteur responsible for the file in question, fully informed of the planned timetable, the scheduled meetings of expert groups and the content of envisaged delegated acts, including by providing access to the relevant Commission databases, such as CIRCA;

| 13. | Urges the Commission to fully respect paragraph 15 of the Framework Agreement on relations between the European Parliament and the European Commission, inter alia by simplifying the procedure for inviting Parliament's experts to meetings with national experts, if so requested by the responsible Parliamentary committee; recognises that, as a result of Parliament's experts attending those meetings, the Commission may be invited to meetings in Parliament in order to have a further exchange of views on the preparation of delegated acts; urges the Commission to apply paragraph 15 of the Framework Agreement also for those parts of meetings of Member States and the Commission where matters other than implementing acts within the meaning of Regulation (EU) No 182/2011 are discussed; |
| --- | --- |

13.

Urges the Commission to fully respect paragraph 15 of the Framework Agreement on relations between the European Parliament and the European Commission, inter alia by simplifying the procedure for inviting Parliament's experts to meetings with national experts, if so requested by the responsible Parliamentary committee; recognises that, as a result of Parliament's experts attending those meetings, the Commission may be invited to meetings in Parliament in order to have a further exchange of views on the preparation of delegated acts; urges the Commission to apply paragraph 15 of the Framework Agreement also for those parts of meetings of Member States and the Commission where matters other than implementing acts within the meaning of Regulation (EU) No 182/2011 are discussed;

| 14. | Takes the view that the time between the transmission of final draft implementing acts and their adoption by the Commission is often too short, thereby not allowing for adequate oversight by Parliament; urges the Commission, therefore, to fully respect the Parliament's right to scrutinise final draft implementing acts within a period of one month in accordance with the 2008 agreement between Parliament and Commission on comitology procedures; |
| --- | --- |

14.

Takes the view that the time between the transmission of final draft implementing acts and their adoption by the Commission is often too short, thereby not allowing for adequate oversight by Parliament; urges the Commission, therefore, to fully respect the Parliament's right to scrutinise final draft implementing acts within a period of one month in accordance with the 2008 agreement between Parliament and Commission on comitology procedures;

| 15. | Calls for sufficient technical and personal resources to be assigned for delegated and implementing acts, inter alia in order to ensure an efficient internal flow of information; considers that circulation of delegated acts to Members by means of a newsletter facilitates the scrutiny of such acts and allows Members to raise possible objections in due time; |
| --- | --- |

15.

Calls for sufficient technical and personal resources to be assigned for delegated and implementing acts, inter alia in order to ensure an efficient internal flow of information; considers that circulation of delegated acts to Members by means of a newsletter facilitates the scrutiny of such acts and allows Members to raise possible objections in due time;

| 16. | Recommends that permanent rapporteurs be appointed in each committee for delegated and implementing acts, guaranteeing coherence within the committee concerned and with other committees; considers that similar issues must be dealt with in a coherent manner, while preserving the required flexibility; |
| --- | --- |

16.

Recommends that permanent rapporteurs be appointed in each committee for delegated and implementing acts, guaranteeing coherence within the committee concerned and with other committees; considers that similar issues must be dealt with in a coherent manner, while preserving the required flexibility;

| 17. | Welcomes the availability of the Commission’s experts to participate in information meetings with Members, as the organisation of such meetings, in good time before the adoption of the delegated acts, is useful for the purposes of clarifying key aspects of such acts and facilitating Parliament’s work in assessing the acts concerned; |
| --- | --- |

17.

Welcomes the availability of the Commission’s experts to participate in information meetings with Members, as the organisation of such meetings, in good time before the adoption of the delegated acts, is useful for the purposes of clarifying key aspects of such acts and facilitating Parliament’s work in assessing the acts concerned;

| 18. | Continues to call on the members of negotiating teams in particular to pay particular attention to delegated and implementing acts when reporting to the competent committee following each trilogue pursuant to Rule 70(4) of Parliament's Rules of Procedure; |
| --- | --- |

18.

Continues to call on the members of negotiating teams in particular to pay particular attention to delegated and implementing acts when reporting to the competent committee following each trilogue pursuant to Rule 70(4) of Parliament's Rules of Procedure;

Comments concerning specific subject-matters

Agriculture and fisheries

| 19. | Deplores the fact that the alignment dossiers on essential agricultural and fisheries legislation were blocked by the Council after the failure of negotiations in informal trilogues and Parliament's first reading; underlines that the reason for this situation often lies in the Council's unwillingness to make use of delegated acts; notes that only in the context of the full legislative procedures relating to the reform of the CAP and the CFP was it possible to find an alignment solution which was acceptable to both sides, although some provisions could be agreed upon only on condition that they would not constitute a precedent; urges the Council to make progress on the outstanding alignment dossiers, so that the procedures can be concluded before the end of the current parliamentary term; |
| --- | --- |

19.

Deplores the fact that the alignment dossiers on essential agricultural and fisheries legislation were blocked by the Council after the failure of negotiations in informal trilogues and Parliament's first reading; underlines that the reason for this situation often lies in the Council's unwillingness to make use of delegated acts; notes that only in the context of the full legislative procedures relating to the reform of the CAP and the CFP was it possible to find an alignment solution which was acceptable to both sides, although some provisions could be agreed upon only on condition that they would not constitute a precedent; urges the Council to make progress on the outstanding alignment dossiers, so that the procedures can be concluded before the end of the current parliamentary term;

Development cooperation

| 20. | Recalls that, especially in the case of the Development Cooperation Instrument (DCI), Parliament has since 2006 practised a process of ‘democratic scrutiny’ in the form of a political dialogue with the Commission on draft measures; notes, however, that Parliament’s experience with this practice has been mixed, and that its influence over Commission decisions has been limited; |
| --- | --- |

20.

Recalls that, especially in the case of the Development Cooperation Instrument (DCI), Parliament has since 2006 practised a process of ‘democratic scrutiny’ in the form of a political dialogue with the Commission on draft measures; notes, however, that Parliament’s experience with this practice has been mixed, and that its influence over Commission decisions has been limited;

| 21. | Points out that in the sphere of development cooperation implementing acts are often based on prior consultations with third parties, rendering changes at a late stage of the formal comitology procedure more difficult; stresses, therefore, that earlier notification of, and dialogue with, Parliament would be an important step towards a more effective use of Parliament’s power of scrutiny; |
| --- | --- |

21.

Points out that in the sphere of development cooperation implementing acts are often based on prior consultations with third parties, rendering changes at a late stage of the formal comitology procedure more difficult; stresses, therefore, that earlier notification of, and dialogue with, Parliament would be an important step towards a more effective use of Parliament’s power of scrutiny;

Economic and monetary affairs

| 22. | Points out that in the area of financial services the regulations on the European Supervisory Authorities (ESAs) introduce regulatory technical standards (RTS) and implementing technical standards (ITS) under which ESAs submit draft RTS and ITS to the Commission for adoption; takes the view that, given the technical expertise and specialist skills of the ESAs, delegated acts should take the form of RTS rather than ordinary delegated acts wherever possible; also considers that, before adopting ordinary delegated acts the Commission should seek technical advice from the relevant ESA on the content of those acts; |
| --- | --- |

22.

Points out that in the area of financial services the regulations on the European Supervisory Authorities (ESAs) introduce regulatory technical standards (RTS) and implementing technical standards (ITS) under which ESAs submit draft RTS and ITS to the Commission for adoption; takes the view that, given the technical expertise and specialist skills of the ESAs, delegated acts should take the form of RTS rather than ordinary delegated acts wherever possible; also considers that, before adopting ordinary delegated acts the Commission should seek technical advice from the relevant ESA on the content of those acts;

| 23. | Points out that, under certain legislative acts, the period for scrutinising RTS may be extended by a further month, given their volume and complexity, and considers that this kind of flexibility should become the norm; furthermore points out that the legislator has set a period of scrutiny of three months, extendable by three months, for all delegated acts in the area of financial services, and considers that this practice should be extended to other areas of a complex nature; |
| --- | --- |

23.

Points out that, under certain legislative acts, the period for scrutinising RTS may be extended by a further month, given their volume and complexity, and considers that this kind of flexibility should become the norm; furthermore points out that the legislator has set a period of scrutiny of three months, extendable by three months, for all delegated acts in the area of financial services, and considers that this practice should be extended to other areas of a complex nature;

| 24. | Emphasises that the arrangements whereby no delegated act may be submitted to Parliament during its recess periods should also apply to RTS; |
| --- | --- |

24.

Emphasises that the arrangements whereby no delegated act may be submitted to Parliament during its recess periods should also apply to RTS;

| 25. | Believes that the call for stakeholders to sit in the ESA stakeholder groups should last for a sufficient length of time (not less than two months), should be issued via a variety of channels and should follow a clear and streamlined process in order to ensure that applications are received from a broad base of candidates; recalls the need for balanced ESA stakeholder groups in line with the provisions of the respective regulations; |
| --- | --- |

25.

Believes that the call for stakeholders to sit in the ESA stakeholder groups should last for a sufficient length of time (not less than two months), should be issued via a variety of channels and should follow a clear and streamlined process in order to ensure that applications are received from a broad base of candidates; recalls the need for balanced ESA stakeholder groups in line with the provisions of the respective regulations;

Employment and social affairs

| 26. | Recalls that in the field of employment and social affairs, Parliament has challenged the validity of the EURES decision before the Court of Justice in order to defend its prerogatives; |
| --- | --- |

26.

Recalls that in the field of employment and social affairs, Parliament has challenged the validity of the EURES decision before the Court of Justice in order to defend its prerogatives;

Civil liberties, justice and home affairs

| 27. | Calls on the Commission to include in its work programme proposals to amend all legal acts of the former third pillar in order to align them with the new hierarchy of norms and to respect Parliament’s powers, competences and right to information with regard to the delegation of powers to the Commission under the Treaty of Lisbon; stresses that this will require an individual assessment of each legal act in order to identify decisions which — as essential elements — need to be taken by the legislator, particularly where they touch upon the fundamental rights of the persons concerned, and those that can be considered as non-essential elements (see ruling of the Court of Justice in Case C-355/10); |
| --- | --- |

27.

Calls on the Commission to include in its work programme proposals to amend all legal acts of the former third pillar in order to align them with the new hierarchy of norms and to respect Parliament’s powers, competences and right to information with regard to the delegation of powers to the Commission under the Treaty of Lisbon; stresses that this will require an individual assessment of each legal act in order to identify decisions which — as essential elements — need to be taken by the legislator, particularly where they touch upon the fundamental rights of the persons concerned, and those that can be considered as non-essential elements (see ruling of the Court of Justice in Case C-355/10);

| 28. | Draws attention to the fact that the Council continues to adopt legal acts on the basis of provisions of the former third pillar, long after the entry into force of the Treaty of Lisbon, such that Parliament has been required to bring legal action before the Court of Justice; |
| --- | --- |

28.

Draws attention to the fact that the Council continues to adopt legal acts on the basis of provisions of the former third pillar, long after the entry into force of the Treaty of Lisbon, such that Parliament has been required to bring legal action before the Court of Justice;

o

o o

| 29. | Instructs its President to forward this resolution to the Council, the Commission and the Parliaments of the Member States. |
| --- | --- |

29.

Instructs its President to forward this resolution to the Council, the Commission and the Parliaments of the Member States.

---

(1)  OJ L 55, 28.2.2011, p. 13.

(2)  OJ L 304, 20.11.2010, p. 47.

(3)  OJ C 81 E, 15.3.2011, p. 6.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/18 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/18

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P7_TA(2014)0128

European Semester for economic policy coordination: annual growth survey 2014

European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Annual Growth Survey 2014 (2013/2157(INI))

(2017/C 285/03)

The European Parliament,

| — | having regard to the Treaty on the Functioning of the European Union, and in particular Article 136 in combination with Article 121(2) thereof, |
| --- | --- |

—

having regard to the Treaty on the Functioning of the European Union, and in particular Article 136 in combination with Article 121(2) thereof,

| — | having regard to Regulation (EU) No 1175/2011 of the European Parliament and of the Council of 16 November 2011 amending Council Regulation (EC) No 1466/97 on the strengthening of the surveillance of budgetary positions and the surveillance and coordination of economic policies (1), |
| --- | --- |

—

having regard to Regulation (EU) No 1175/2011 of the European Parliament and of the Council of 16 November 2011 amending Council Regulation (EC) No 1466/97 on the strengthening of the surveillance of budgetary positions and the surveillance and coordination of economic policies (1),

| — | having regard to Council Directive 2011/85/EU of 8 November 2011 on requirements for budgetary frameworks of the Member States (2), |
| --- | --- |

—

having regard to Council Directive 2011/85/EU of 8 November 2011 on requirements for budgetary frameworks of the Member States (2),

| — | having regard to Regulation (EU) No 1174/2011 of the European Parliament and of the Council of 16 November 2011 on enforcement measures to correct excessive macroeconomic imbalances in the euro area (3), |
| --- | --- |

—

having regard to Regulation (EU) No 1174/2011 of the European Parliament and of the Council of 16 November 2011 on enforcement measures to correct excessive macroeconomic imbalances in the euro area (3),

| — | having regard to Council Regulation (EU) No 1177/2011 of 8 November 2011 amending Regulation (EC) No 1467/97 on speeding up and clarifying the implementation of the excessive deficit procedure (4), |
| --- | --- |

—

having regard to Council Regulation (EU) No 1177/2011 of 8 November 2011 amending Regulation (EC) No 1467/97 on speeding up and clarifying the implementation of the excessive deficit procedure (4),

| — | having regard to Regulation (EU) No 1176/2011 of the European Parliament and of the Council of 16 November 2011 on the prevention and correction of macroeconomic imbalances (5), |
| --- | --- |

—

having regard to Regulation (EU) No 1176/2011 of the European Parliament and of the Council of 16 November 2011 on the prevention and correction of macroeconomic imbalances (5),

| — | having regard to Regulation (EU) No 1173/2011 of the European Parliament and of the Council of 16 November 2011 on the effective enforcement of budgetary surveillance in the euro area (6), |
| --- | --- |

—

having regard to Regulation (EU) No 1173/2011 of the European Parliament and of the Council of 16 November 2011 on the effective enforcement of budgetary surveillance in the euro area (6),

| — | having regard to its resolution of 5 February 2013 on improving access to finance for SMEs (7), |
| --- | --- |

—

having regard to its resolution of 5 February 2013 on improving access to finance for SMEs (7),

| — | having regard to the Commission Communication of 6 December 2012 entitled ‘An Action Plan to strengthen the fight against tax fraud and tax evasion’ (COM(2012)0722), |
| --- | --- |

—

having regard to the Commission Communication of 6 December 2012 entitled ‘An Action Plan to strengthen the fight against tax fraud and tax evasion’ (COM(2012)0722),

| — | having regard to Regulation (EU) No 473/2013 of the European Parliament and of the Council of 21 May 2013 on common provisions for monitoring and assessing draft budgetary plans and ensuring the correction of excessive deficit of the Member States in the euro area (8), |
| --- | --- |

—

having regard to Regulation (EU) No 473/2013 of the European Parliament and of the Council of 21 May 2013 on common provisions for monitoring and assessing draft budgetary plans and ensuring the correction of excessive deficit of the Member States in the euro area (8),

| — | having regard to Regulation (EU) No 472/2013 of the European Parliament and of the Council of 21 May 2013 on the strengthening of economic and budgetary surveillance of Member States in the euro area experiencing or threatened with serious difficulties with respect to their financial stability (9), |
| --- | --- |

—

having regard to Regulation (EU) No 472/2013 of the European Parliament and of the Council of 21 May 2013 on the strengthening of economic and budgetary surveillance of Member States in the euro area experiencing or threatened with serious difficulties with respect to their financial stability (9),

| — | having regard to its resolution of 23 October 2013 on the European Semester for economic policy coordination: implementation of 2013 priorities (10), |
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—

having regard to its resolution of 23 October 2013 on the European Semester for economic policy coordination: implementation of 2013 priorities (10),

| — | having regard to the Commission Communication of 13 November 2013 on the Annual Growth Survey 2014 (COM(2013)0800), |
| --- | --- |

—

having regard to the Commission Communication of 13 November 2013 on the Annual Growth Survey 2014 (COM(2013)0800),

| — | having regard to its resolution of 21 May 2013 on fight against tax fraud, tax evasion and tax havens (11), |
| --- | --- |

—

having regard to its resolution of 21 May 2013 on fight against tax fraud, tax evasion and tax havens (11),

| — | having regard to its resolution of 12 December 2013 on the call for a measurable and binding commitment against tax evasion and tax avoidance in the EU (12), |
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—

having regard to its resolution of 12 December 2013 on the call for a measurable and binding commitment against tax evasion and tax avoidance in the EU (12),

| — | having regard to its resolution of 12 December 2013 on preparations for the European Council meeting (19-20 December 2013) (13), |
| --- | --- |

—

having regard to its resolution of 12 December 2013 on preparations for the European Council meeting (19-20 December 2013) (13),

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 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 Budgets (A7-0084/2014), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Budgets (A7-0084/2014),

| A. | whereas the latest Autumn Commission forecast shows that real GDP growth in the euro area is slowly returning and is expected to be reach 1,1 % in 2014, unemployment is expected to fall and inflation is expected to remain well below 2 %; |
| --- | --- |

A.

whereas the latest Autumn Commission forecast shows that real GDP growth in the euro area is slowly returning and is expected to be reach 1,1 % in 2014, unemployment is expected to fall and inflation is expected to remain well below 2 %;

| B. | whereas growth in emerging markets is stagnating, while it remains robust in the US and positive in Japan; |
| --- | --- |

B.

whereas growth in emerging markets is stagnating, while it remains robust in the US and positive in Japan;

| C. | whereas on 20-22 January 2014, Parliament held a high-level meeting with national parliamentarians (in the context of the European Parliamentary Week) to discuss the Annual Growth Survey 2014, as well as general economic policy objectives for growth and jobs, with a view to taking greater account of the effectiveness of policies and of potential spill-over effects in the EU; |
| --- | --- |

C.

whereas on 20-22 January 2014, Parliament held a high-level meeting with national parliamentarians (in the context of the European Parliamentary Week) to discuss the Annual Growth Survey 2014, as well as general economic policy objectives for growth and jobs, with a view to taking greater account of the effectiveness of policies and of potential spill-over effects in the EU;

| D. | whereas the Commission acknowledges that most of the Europe 2020 objectives will not be met even in the most optimistic of scenarios; |
| --- | --- |

D.

whereas the Commission acknowledges that most of the Europe 2020 objectives will not be met even in the most optimistic of scenarios;

| E. | whereas Parliament has welcomed the introduction of the Convergence and Competitiveness Instrument as part of the efforts to strengthen the governance framework; |
| --- | --- |

E.

whereas Parliament has welcomed the introduction of the Convergence and Competitiveness Instrument as part of the efforts to strengthen the governance framework;

| 1. | Notes that economic recovery in the EU is under way but is still fragile; underlines that growth-friendly fiscal consolidation is required and efforts need to be sustained in order to ensure compliance with the current economic governance framework on the one hand and to deliver more sustainable growth and jobs in the medium and long term on the other; |
| --- | --- |

1.

Notes that economic recovery in the EU is under way but is still fragile; underlines that growth-friendly fiscal consolidation is required and efforts need to be sustained in order to ensure compliance with the current economic governance framework on the one hand and to deliver more sustainable growth and jobs in the medium and long term on the other;

| 2. | Welcomes the recognition of the need for growth-friendly fiscal consolidation; urges the Commission to turn this priority into concrete recommendations to the Member States and for the EU as a whole, including those under economic adjustment programmes, so that they not only address fiscal consolidation but also structural reforms that lead to real, sustainable and socially balanced growth, employment, strengthened competitiveness and increasing convergence; |
| --- | --- |

2.

Welcomes the recognition of the need for growth-friendly fiscal consolidation; urges the Commission to turn this priority into concrete recommendations to the Member States and for the EU as a whole, including those under economic adjustment programmes, so that they not only address fiscal consolidation but also structural reforms that lead to real, sustainable and socially balanced growth, employment, strengthened competitiveness and increasing convergence;

| 3. | Notes that widening sovereign interest rate spreads have significantly reduced the room for manoeuvre as regards fiscal policy in a number of Member States; notes, also, that the monetary policy approach taken by the European Central Bank (ECB) has helped to reduce sovereign interest rate spreads; notes that the ECB, through forward guidance, will maintain this policy in the short and medium term, and will thereby contribute to stronger growth; |
| --- | --- |

3.

Notes that widening sovereign interest rate spreads have significantly reduced the room for manoeuvre as regards fiscal policy in a number of Member States; notes, also, that the monetary policy approach taken by the European Central Bank (ECB) has helped to reduce sovereign interest rate spreads; notes that the ECB, through forward guidance, will maintain this policy in the short and medium term, and will thereby contribute to stronger growth;

| 4. | Notes that the Commission monitors the Europe 2020 objectives at national and European level in the country-specific recommendations and thus keeps a closer eye on targets set for employment, R&D, education, poverty, renewable energy and emissions reduction; |
| --- | --- |

4.

Notes that the Commission monitors the Europe 2020 objectives at national and European level in the country-specific recommendations and thus keeps a closer eye on targets set for employment, R&D, education, poverty, renewable energy and emissions reduction;

| 5. | Believes that the EU economy as a whole needs to further boost its cost and non-cost competitiveness in the global economy, particularly by increasing competition in the product and services markets to enhance productivity, resource efficiency and to lower prices, and by keeping labour costs in line with productivity and ensuring that internal macroeconomic imbalances are reduced; |
| --- | --- |

5.

Believes that the EU economy as a whole needs to further boost its cost and non-cost competitiveness in the global economy, particularly by increasing competition in the product and services markets to enhance productivity, resource efficiency and to lower prices, and by keeping labour costs in line with productivity and ensuring that internal macroeconomic imbalances are reduced;

| 6. | Acknowledges the ambitious structural reforms implemented by those Member States that have experienced serious difficulties; encourages Member States to continue in their efforts; points out that the efforts for structural reforms need to be maintained with determination and monitored in order to ensure the effectiveness of reform and to build on the progress made; encourages the adoption and implementation of structural reform programmes that promote convergence and competitiveness at national and European level, and increase sustainable growth and foster employment; underlines the importance of the swift and effective implementation of programmes and schemes to fight unemployment, especially among young people; |
| --- | --- |

6.

Acknowledges the ambitious structural reforms implemented by those Member States that have experienced serious difficulties; encourages Member States to continue in their efforts; points out that the efforts for structural reforms need to be maintained with determination and monitored in order to ensure the effectiveness of reform and to build on the progress made; encourages the adoption and implementation of structural reform programmes that promote convergence and competitiveness at national and European level, and increase sustainable growth and foster employment; underlines the importance of the swift and effective implementation of programmes and schemes to fight unemployment, especially among young people;

| 7. | Underlines the importance of launching or continuing the process of coherent and sustainable structural reforms for stability in the medium and long term; stresses that the EU cannot compete on general or labour costs alone, but needs to invest more in research, innovation and development, education and skills, and resource efficiency, at both national and European level; |
| --- | --- |

7.

Underlines the importance of launching or continuing the process of coherent and sustainable structural reforms for stability in the medium and long term; stresses that the EU cannot compete on general or labour costs alone, but needs to invest more in research, innovation and development, education and skills, and resource efficiency, at both national and European level;

| 8. | Reiterates its demand for a legal act on ‘convergence guidelines’ to be adopted under the ordinary legislative procedure, laying down, for a set period, a very limited number of targets for the most urgent reform measures and its request that the Member States ensure that the national reform programmes should be established on the basis of the aforementioned convergence guidelines and verified by the Commission; calls on the Member States to commit themselves to fully implementing their national reform programmes; suggests that, on this basis, the Member States could enter into a ‘convergence partnership’ with the EU institutions, with the possibility of conditional funding for reform activities; reiterates that such stronger economic cooperation should go hand in hand with an incentive-based financial mechanism; considers that any additional funding or instruments, such as a solidarity mechanism, must be an integral part of the EU budget, but outside the agreed multiannual financial framework (MFF) envelope; |
| --- | --- |

8.

Reiterates its demand for a legal act on ‘convergence guidelines’ to be adopted under the ordinary legislative procedure, laying down, for a set period, a very limited number of targets for the most urgent reform measures and its request that the Member States ensure that the national reform programmes should be established on the basis of the aforementioned convergence guidelines and verified by the Commission; calls on the Member States to commit themselves to fully implementing their national reform programmes; suggests that, on this basis, the Member States could enter into a ‘convergence partnership’ with the EU institutions, with the possibility of conditional funding for reform activities; reiterates that such stronger economic cooperation should go hand in hand with an incentive-based financial mechanism; considers that any additional funding or instruments, such as a solidarity mechanism, must be an integral part of the EU budget, but outside the agreed multiannual financial framework (MFF) envelope;

| 9. | Expresses concern with the overall public and private indebtedness of Member States in the euro area; points out that the EU needs to go beyond a growth model based on excessive debt accumulation and resource consumption; |
| --- | --- |

9.

Expresses concern with the overall public and private indebtedness of Member States in the euro area; points out that the EU needs to go beyond a growth model based on excessive debt accumulation and resource consumption;

| 10. | Calls on the Member States, therefore, to pay particular attention, when devising economic policies and reforms, to the impact on the young generation of Europeans and on future generations, so as not to deprive young people of opportunities from the start; underlines that further efforts need to be made to fight the long-term effects of unemployment and in particular of youth unemployment; |
| --- | --- |

10.

Calls on the Member States, therefore, to pay particular attention, when devising economic policies and reforms, to the impact on the young generation of Europeans and on future generations, so as not to deprive young people of opportunities from the start; underlines that further efforts need to be made to fight the long-term effects of unemployment and in particular of youth unemployment;

| 11. | Acknowledges those Member State authorities that have successfully implemented macroeconomic adjustment programmes or financial sector programmes; |
| --- | --- |

11.

Acknowledges those Member State authorities that have successfully implemented macroeconomic adjustment programmes or financial sector programmes;

| 12. | Points out that a necessary condition for the success of financial assistance programmes is a combination of solidarity and conditionality, strong ownership and commitment to reform; urges the Commission and the Member States, however, to incorporate financial assistance and the ad hoc system of the Troika into an improved legal structure compliant with the EU economic governance framework and community law, thereby guaranteeing democratic accountability; |
| --- | --- |

12.

Points out that a necessary condition for the success of financial assistance programmes is a combination of solidarity and conditionality, strong ownership and commitment to reform; urges the Commission and the Member States, however, to incorporate financial assistance and the ad hoc system of the Troika into an improved legal structure compliant with the EU economic governance framework and community law, thereby guaranteeing democratic accountability;

| 13. | Underlines the fact that the Economic and Monetary Union (EMU) is far from complete, and reminds the Commission of its obligations and commitments to enhance growth and economic convergence, and to strengthen competitiveness in the EU; believes that this could best be achieved if the Commission was to finally put forward proposals for the completion of the EMU in accordance with all the guidelines in its blueprint on a deep and genuine EMU; notes that the completion of the EMU should be based on the community method; |
| --- | --- |

13.

Underlines the fact that the Economic and Monetary Union (EMU) is far from complete, and reminds the Commission of its obligations and commitments to enhance growth and economic convergence, and to strengthen competitiveness in the EU; believes that this could best be achieved if the Commission was to finally put forward proposals for the completion of the EMU in accordance with all the guidelines in its blueprint on a deep and genuine EMU; notes that the completion of the EMU should be based on the community method;

| 14. | Acknowledges the achievements of new and revised EU financial regulations in overcoming the financial crisis; notes that the completion of the three pillars of the Banking Union and the implementation of the new rules on capital requirements for banks contribute to re-establishing confidence in the resilience of the European banking sector; |
| --- | --- |

14.

Acknowledges the achievements of new and revised EU financial regulations in overcoming the financial crisis; notes that the completion of the three pillars of the Banking Union and the implementation of the new rules on capital requirements for banks contribute to re-establishing confidence in the resilience of the European banking sector;

| 15. | Welcomes the Commission statement to the effect that the top priority of the Annual Growth Survey (AGS) 2014 is to build sustainable, smart and inclusive growth and competitiveness leading to additional job creation; |
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15.

Welcomes the Commission statement to the effect that the top priority of the Annual Growth Survey (AGS) 2014 is to build sustainable, smart and inclusive growth and competitiveness leading to additional job creation;

| 16. | Agrees with the Commission that the Member States need to continue to pursue growth-friendly fiscal consolidation; calls on Member States to simplify tax systems, reduce taxes and social security contributions, especially for low and medium incomes, and shift taxes away from labour to consumption and environmentally damaging activities in order to stimulate growth, private investment and job creation, to make consolidation efforts more efficient, and to enhance investments in education, R&D, and active labour market policies; |
| --- | --- |

16.

Agrees with the Commission that the Member States need to continue to pursue growth-friendly fiscal consolidation; calls on Member States to simplify tax systems, reduce taxes and social security contributions, especially for low and medium incomes, and shift taxes away from labour to consumption and environmentally damaging activities in order to stimulate growth, private investment and job creation, to make consolidation efforts more efficient, and to enhance investments in education, R&D, and active labour market policies;

| 17. | Encourages Member States under an adjustment programme to continue implementing or implement growth-friendly and sustainable structural reforms while enhancing the efforts for the achievement of the Europe 2020 objectives; expresses concern at the lack of ownership on specific reforms in those Member States experiencing excessive budget or current account deficits; considers that the principle of frontloading plus immediate distribution should be applied to all funds for the 2014-2020 period designed to boost economic growth, employment and strategic investment, in particular as regards the Youth Employment Initiative; |
| --- | --- |

17.

Encourages Member States under an adjustment programme to continue implementing or implement growth-friendly and sustainable structural reforms while enhancing the efforts for the achievement of the Europe 2020 objectives; expresses concern at the lack of ownership on specific reforms in those Member States experiencing excessive budget or current account deficits; considers that the principle of frontloading plus immediate distribution should be applied to all funds for the 2014-2020 period designed to boost economic growth, employment and strategic investment, in particular as regards the Youth Employment Initiative;

| 18. | Emphasises the importance of the monitoring and the implementation of the country-specific recommendations, multilateral surveillance, the exchange of experiences and best practices and peer reviews as a means of stimulating debate and peer pressure, thereby providing direction that helps to create the necessary momentum for and acceptance of reforms; |
| --- | --- |

18.

Emphasises the importance of the monitoring and the implementation of the country-specific recommendations, multilateral surveillance, the exchange of experiences and best practices and peer reviews as a means of stimulating debate and peer pressure, thereby providing direction that helps to create the necessary momentum for and acceptance of reforms;

| 19. | Points out once more that a lack of ambitious reforms to enhance the competitiveness of the European economies, as well as to safeguard the sustainability of the social security systems and health care systems will put an excessive burden on future generations; points also to the importance of rectifying excessive deficit situations and current account imbalances; |
| --- | --- |

19.

Points out once more that a lack of ambitious reforms to enhance the competitiveness of the European economies, as well as to safeguard the sustainability of the social security systems and health care systems will put an excessive burden on future generations; points also to the importance of rectifying excessive deficit situations and current account imbalances;

| 20. | Points out once again that sovereign and financial institutions show persistent vulnerabilities in a low-growth environment; |
| --- | --- |

20.

Points out once again that sovereign and financial institutions show persistent vulnerabilities in a low-growth environment;

| 21. | Stresses that structural reforms need to be complemented by longer-term investment in education, research, innovation and sustainable energy; believes that public-private partnerships can also be considered as tools to promote investment and to deliver smart and sustainable growth which complement public investment programmes; |
| --- | --- |

21.

Stresses that structural reforms need to be complemented by longer-term investment in education, research, innovation and sustainable energy; believes that public-private partnerships can also be considered as tools to promote investment and to deliver smart and sustainable growth which complement public investment programmes;

| 22. | Calls for stronger and more consistent action to be taken on the basis of the Commission’s comprehensive Action Plan to strengthen the fight against tax evasion; urges the Commission to incorporate tangible and measurable targets into the Europe 2020 Strategy; |
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22.

Calls for stronger and more consistent action to be taken on the basis of the Commission’s comprehensive Action Plan to strengthen the fight against tax evasion; urges the Commission to incorporate tangible and measurable targets into the Europe 2020 Strategy;

| 23. | Stresses that access to finance, particularly for SMEs, is one of the biggest obstacles to growth in the EU; believes that more alternatives to bank financing are needed by improving the efficient allocation of capital through capital markets, stimulating long-term investment and making full use of the EU’s new innovative financial instruments designed to support access to capital markets for SMEs; believes that the completion of the Banking Union should enhance access to finance and create a level playing field for SMEs to gain access to finance; underlines the need to further limit the administrative burden for SMEs and to continuously take account of the principle of proportionality in the development of regulatory regimes; believes that the European Investment Bank (EIB) can play an even more active role in providing access to finance for the real economy; considers that the proposals on EIB financing made at the most recent Councils, in particular those relating to financing for SMEs, can and should be more ambitious; |
| --- | --- |

23.

Stresses that access to finance, particularly for SMEs, is one of the biggest obstacles to growth in the EU; believes that more alternatives to bank financing are needed by improving the efficient allocation of capital through capital markets, stimulating long-term investment and making full use of the EU’s new innovative financial instruments designed to support access to capital markets for SMEs; believes that the completion of the Banking Union should enhance access to finance and create a level playing field for SMEs to gain access to finance; underlines the need to further limit the administrative burden for SMEs and to continuously take account of the principle of proportionality in the development of regulatory regimes; believes that the European Investment Bank (EIB) can play an even more active role in providing access to finance for the real economy; considers that the proposals on EIB financing made at the most recent Councils, in particular those relating to financing for SMEs, can and should be more ambitious;

| 24. | Reiterates the importance of the completion of the Single Market for growth in the EU; believes that the Member States and the Commission are not delivering on their commitment to complete the Single Market; |
| --- | --- |

24.

Reiterates the importance of the completion of the Single Market for growth in the EU; believes that the Member States and the Commission are not delivering on their commitment to complete the Single Market;

| 25. | Underlines the fact that the absence of a well-functioning internal labour market and a sustainable approach to immigration hampers growth in the EU; stresses the macroeconomic advantages for Member States to modernise their labour markets and encourages the Commission and the Member States to consider specific measures for the enhancement of a successful common labour market based on the free movement of workers, an effective level playing field and the principle of upwards social convergence, as well as a modern, adequate and inclusive immigration policy at both national and European level; |
| --- | --- |

25.

Underlines the fact that the absence of a well-functioning internal labour market and a sustainable approach to immigration hampers growth in the EU; stresses the macroeconomic advantages for Member States to modernise their labour markets and encourages the Commission and the Member States to consider specific measures for the enhancement of a successful common labour market based on the free movement of workers, an effective level playing field and the principle of upwards social convergence, as well as a modern, adequate and inclusive immigration policy at both national and European level;

| 26. | Calls on the Commission to explain to Parliament the specific measures it intends to take in order to facilitate and deliver on its objectives of higher sustainable growth and strengthened competitiveness; |
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26.

Calls on the Commission to explain to Parliament the specific measures it intends to take in order to facilitate and deliver on its objectives of higher sustainable growth and strengthened competitiveness;

| 27. | Believes that overall the AGS is not detailed enough and does not provide the means to achieve its objectives; |
| --- | --- |

27.

Believes that overall the AGS is not detailed enough and does not provide the means to achieve its objectives;

| 28. | Takes note of the Alert Mechanism Report; notes the gradual reduction of internal imbalances in the EU economy; draws attention also to the external imbalances, including the excessive external surpluses and the reduction of export market shares in the majority of the Member States; |
| --- | --- |

28.

Takes note of the Alert Mechanism Report; notes the gradual reduction of internal imbalances in the EU economy; draws attention also to the external imbalances, including the excessive external surpluses and the reduction of export market shares in the majority of the Member States;

| 29. | Points out that the objective of the macroeconomic imbalance procedure is to prevent the negative spill-over effects of ill-designed national policies to other euro area Member States; is concerned that the Commission, in its reading of the scoreboard, does not take sufficient account of the fact that the euro area and the Member States included therein are interdependent and open economies; |
| --- | --- |

29.

Points out that the objective of the macroeconomic imbalance procedure is to prevent the negative spill-over effects of ill-designed national policies to other euro area Member States; is concerned that the Commission, in its reading of the scoreboard, does not take sufficient account of the fact that the euro area and the Member States included therein are interdependent and open economies;

| 30. | Takes notes of the Commission’s assessment that a number of important macroeconomic imbalances are being corrected; points out that, in order to further strengthen the overall competitiveness of the EU, the Commission needs to look at the current account surplus of a Member State relative to the rest of the euro area; |
| --- | --- |

30.

Takes notes of the Commission’s assessment that a number of important macroeconomic imbalances are being corrected; points out that, in order to further strengthen the overall competitiveness of the EU, the Commission needs to look at the current account surplus of a Member State relative to the rest of the euro area;

| 31. | Is concerned that most Member States are still losing market shares globally and have a large negative net international investment position; regrets that other important features which have a strong influence on competitiveness, such as unit capital costs, are not yet integrated in the scoreboard for macroeconomic imbalances despite repeated requests by Parliament; |
| --- | --- |

31.

Is concerned that most Member States are still losing market shares globally and have a large negative net international investment position; regrets that other important features which have a strong influence on competitiveness, such as unit capital costs, are not yet integrated in the scoreboard for macroeconomic imbalances despite repeated requests by Parliament;

| 32. | Is still concerned at the lack of progress in reducing excessive private debt levels; points out that this is not only a concern for financial stability, but also limits the EU’s growth potential; |
| --- | --- |

32.

Is still concerned at the lack of progress in reducing excessive private debt levels; points out that this is not only a concern for financial stability, but also limits the EU’s growth potential;

| 33. | Points out that the ongoing situation of extraordinarily low interest rates across the yield curve is a matter of concern regarding private savings and retirement provisions for European citizens; |
| --- | --- |

33.

Points out that the ongoing situation of extraordinarily low interest rates across the yield curve is a matter of concern regarding private savings and retirement provisions for European citizens;

| 34. | Notes the first Commission assessment of Member States’ draft budgetary plans; underlines that the examination of draft budgetary plans improves the multilateral surveillance and monitoring of the budgetary situation of the Member States; |
| --- | --- |

34.

Notes the first Commission assessment of Member States’ draft budgetary plans; underlines that the examination of draft budgetary plans improves the multilateral surveillance and monitoring of the budgetary situation of the Member States;

| 35. | Is concerned that only two Member States have attained their medium-term objective; calls on Member States to continue and if necessary strengthen their efforts, given that growth-friendly consolidation in the non-compliant Member States is necessary; |
| --- | --- |

35.

Is concerned that only two Member States have attained their medium-term objective; calls on Member States to continue and if necessary strengthen their efforts, given that growth-friendly consolidation in the non-compliant Member States is necessary;

| 36. | Stresses that the European Semester must in no way jeopardise the prerogatives of the European Parliament and those of the national parliaments; underlines the fact that there should be a clear division between EU and national competences and that Parliament is the seat of accountability at Union level; urges the Commission to ensure Parliament’s proper, formal involvement in all steps of the European semester process in order to increase the democratic legitimacy of the decisions taken; |
| --- | --- |

36.

Stresses that the European Semester must in no way jeopardise the prerogatives of the European Parliament and those of the national parliaments; underlines the fact that there should be a clear division between EU and national competences and that Parliament is the seat of accountability at Union level; urges the Commission to ensure Parliament’s proper, formal involvement in all steps of the European semester process in order to increase the democratic legitimacy of the decisions taken;

| 37. | Stresses the need to strengthen the democratic accountability of the European Parliament and that of the national parliaments as regards essential elements of the euro area’s operation, such as the European Stability Mechanism, Eurogroup decisions and the monitoring and evaluation of financial assistance programmes; asks the Commission to conduct and publish internal ex-post evaluations of its recommendations and its participation in the Troika; |
| --- | --- |

37.

Stresses the need to strengthen the democratic accountability of the European Parliament and that of the national parliaments as regards essential elements of the euro area’s operation, such as the European Stability Mechanism, Eurogroup decisions and the monitoring and evaluation of financial assistance programmes; asks the Commission to conduct and publish internal ex-post evaluations of its recommendations and its participation in the Troika;

| 38. | Points out that the main problem in a number of Member States is that the fragmentation of financial markets results in a shortage of funding and increased funding costs, especially for SMEs; considers that the ECB should maintain its pro-active role in favour of defragmentation and considers that the EIB can further promote funding for SMEs, entrepreneurship, exports and innovation, which are vital for economic recovery; |
| --- | --- |

38.

Points out that the main problem in a number of Member States is that the fragmentation of financial markets results in a shortage of funding and increased funding costs, especially for SMEs; considers that the ECB should maintain its pro-active role in favour of defragmentation and considers that the EIB can further promote funding for SMEs, entrepreneurship, exports and innovation, which are vital for economic recovery;

EU Budget

| 39. | Notes that the AGS 2014 differs only marginally from the 2013 edition; regrets, therefore, once again the absence of new proposals from the Commission on the role which the EU budget can play in stimulating growth and job creation in order to achieve the Europe 2020 goals; |
| --- | --- |

39.

Notes that the AGS 2014 differs only marginally from the 2013 edition; regrets, therefore, once again the absence of new proposals from the Commission on the role which the EU budget can play in stimulating growth and job creation in order to achieve the Europe 2020 goals;

| 40. | Regrets that the Commission has failed to provide Parliament with an exhaustive report on the implementation of the growth and jobs pact agreed in June 2012; |
| --- | --- |

40.

Regrets that the Commission has failed to provide Parliament with an exhaustive report on the implementation of the growth and jobs pact agreed in June 2012;

| 41. | Calls on the Commission to provide a regularly updated scoreboard on the implementation of the new programmes, allowing for comparisons to be made between Member States permitting more informed decisions regarding spending priorities in light of observable trends by the budgetary authority; |
| --- | --- |

41.

Calls on the Commission to provide a regularly updated scoreboard on the implementation of the new programmes, allowing for comparisons to be made between Member States permitting more informed decisions regarding spending priorities in light of observable trends by the budgetary authority;

| 42. | Underlines the fact that the low level of payment appropriations and the tight ceiling on payments remain a crucial problem for the EU budget which has a particularly negative effect on economic recovery, as late payments are harmful primarily to the direct beneficiaries; underlines, moreover, that this low level of payments in the 2014 EU budget is in total contradiction with the measures agreed by the co-legislators to increase temporarily EU co-financing rates for EU programmes under shared management in Member States experiencing or threatened with serious difficulties with respect to their financial stability; recalls the need to ensure, in the light of implementation, an orderly progression of payments so as to avoid any abnormal shift of outstanding commitments (‘RAL’) onto the 2015 budget and, in this connection, to make use, where appropriate, of the various flexibility mechanisms included in the MFF Regulation; intends to continue its in-depth monitoring of the overall situation on payments, especially in relation to the very high level of payments still needed for the completion of the programmes of the previous MFF; |
| --- | --- |

42.

Underlines the fact that the low level of payment appropriations and the tight ceiling on payments remain a crucial problem for the EU budget which has a particularly negative effect on economic recovery, as late payments are harmful primarily to the direct beneficiaries; underlines, moreover, that this low level of payments in the 2014 EU budget is in total contradiction with the measures agreed by the co-legislators to increase temporarily EU co-financing rates for EU programmes under shared management in Member States experiencing or threatened with serious difficulties with respect to their financial stability; recalls the need to ensure, in the light of implementation, an orderly progression of payments so as to avoid any abnormal shift of outstanding commitments (‘RAL’) onto the 2015 budget and, in this connection, to make use, where appropriate, of the various flexibility mechanisms included in the MFF Regulation; intends to continue its in-depth monitoring of the overall situation on payments, especially in relation to the very high level of payments still needed for the completion of the programmes of the previous MFF;

| 43. | Regrets once again that Member States persist in considering their contribution to the EU budget as an adjustment variable to their consolidation efforts, which in turn leads to artificial reductions in the volume of payments available in the EU budget; calls on the Commission to take full account of this recurring and dangerous trend when assessing the budgetary plans of the Member States and to propose concrete actions to reverse it; |
| --- | --- |

43.

Regrets once again that Member States persist in considering their contribution to the EU budget as an adjustment variable to their consolidation efforts, which in turn leads to artificial reductions in the volume of payments available in the EU budget; calls on the Commission to take full account of this recurring and dangerous trend when assessing the budgetary plans of the Member States and to propose concrete actions to reverse it;

| 44. | Recalls its view that the fiscal situation of Member States can be eased through a new system of own resources to finance the Union budget that will reduce gross national income contributions, thus enabling Member States to meet their consolidation efforts without jeopardising EU funding to support investment in economic recovery and reform measures; underlines, therefore, the importance it attaches to the new high-level group on own resources, which should lead to a true reform of EU financing; |
| --- | --- |

44.

Recalls its view that the fiscal situation of Member States can be eased through a new system of own resources to finance the Union budget that will reduce gross national income contributions, thus enabling Member States to meet their consolidation efforts without jeopardising EU funding to support investment in economic recovery and reform measures; underlines, therefore, the importance it attaches to the new high-level group on own resources, which should lead to a true reform of EU financing;

| 45. | Reiterates that stronger economic cooperation should go hand in hand with an incentive-based mechanism; considers that any additional funding or instruments, such as a solidarity mechanism, must be an integral part of the EU budget, but outside the agreed MFF envelope; |
| --- | --- |

45.

Reiterates that stronger economic cooperation should go hand in hand with an incentive-based mechanism; considers that any additional funding or instruments, such as a solidarity mechanism, must be an integral part of the EU budget, but outside the agreed MFF envelope;

o

o o

| 46. | Instructs its President to forward this resolution to the European Council, the Council, the Commission, the governments and parliaments of the Member States and the European Central Bank. |
| --- | --- |

46.

Instructs its President to forward this resolution to the European Council, the Council, the Commission, the governments and parliaments of the Member States and the European Central Bank.

---

(1)  OJ L 306, 23.11.2011, p. 12.

(2)  OJ L 306, 23.11.2011, p. 41.

(3)  OJ L 306, 23.11.2011, p. 8.

(4)  OJ L 306, 23.11.2011, p. 33.

(5)  OJ L 306, 23.11.2011, p. 25.

(6)  OJ L 306, 23.11.2011, p. 1.

(7)  Texts adopted, P7_TA(2013)0036.

(8)  OJ L 140, 27.5.2013, p. 11.

(9)  OJ L 140, 27.5.2013, p. 1.

(10)  Texts adopted, P7_TA(2013)0447.

(11)  Texts adopted, P7_TA(2013)0205.

(12)  Texts adopted, P7_TA(2013)0593.

(13)  Texts adopted, P7_TA(2013)0597.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/24 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/24

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P7_TA(2014)0129

European Semester for economic policy coordination: employment and social aspects

European Parliament resolution of 25 February 2014 on the European Semester for economic policy coordination: Employment and Social Aspects in the Annual Growth Survey 2014 (2013/2158(INI))

(2017/C 285/04)

The European Parliament,

| — | having regard to Article 9 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Article 9 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to Articles 145, 148, 152 and 153(5) TFEU, |
| --- | --- |

—

having regard to Articles 145, 148, 152 and 153(5) TFEU,

| — | having regard to Article 28 of the Charter of Fundamental Rights of the European Union, |
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—

having regard to Article 28 of the Charter of Fundamental Rights of the European Union,

| — | having regard to the Commission communication of 13 November 2013 entitled ‘Annual Growth Survey 2014’ (COM(2013)0800), and to the draft Joint Employment Report annexed thereto, |
| --- | --- |

—

having regard to the Commission communication of 13 November 2013 entitled ‘Annual Growth Survey 2014’ (COM(2013)0800), and to the draft Joint Employment Report annexed thereto,

| — | having regard to its resolution of 23 October 2013 on ‘the European Semester for economic policy coordination: implementation of 2013 priorities’ (1), |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on ‘the European Semester for economic policy coordination: implementation of 2013 priorities’ (1),

| — | having regard to the Commission communication of 2 October 2013 entitled ‘Strengthening the social dimension of the Economic and Monetary Union’ (COM(2013)0690), |
| --- | --- |

—

having regard to the Commission communication of 2 October 2013 entitled ‘Strengthening the social dimension of the Economic and Monetary Union’ (COM(2013)0690),

| — | having regard to Oral Question O-000122/2013 — B7-0524/2013 to the Commission, and to Parliament’s related resolution of 21 November 2013 on the Commission communication entitled ‘Strengthening the social dimension of the Economic and Monetary Union (EMU)’ (2), |
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—

having regard to Oral Question O-000122/2013 — B7-0524/2013 to the Commission, and to Parliament’s related resolution of 21 November 2013 on the Commission communication entitled ‘Strengthening the social dimension of the Economic and Monetary Union (EMU)’ (2),

| — | having regard to the Commission communication of 3 March 2010 entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020), |
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—

having regard to the Commission communication of 3 March 2010 entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020),

| — | having regard to its resolution of 8 September 2010 on ‘the proposal for a Council decision on guidelines for the employment policies of the Member States: Part II of the Europe 2020 Integrated Guidelines’ (3), |
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—

having regard to its resolution of 8 September 2010 on ‘the proposal for a Council decision on guidelines for the employment policies of the Member States: Part II of the Europe 2020 Integrated Guidelines’ (3),

| — | having regard to the Commission communication of 18 April 2012 entitled ‘Towards a job-rich recovery’ (COM(2012)0173), |
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—

having regard to the Commission communication of 18 April 2012 entitled ‘Towards a job-rich recovery’ (COM(2012)0173),

| — | having regard to Oral Question O-000120/2012 to the Commission, and to Parliament’s related resolution of 14 June 2012 on ‘Towards a job-rich recovery’ (4), |
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—

having regard to Oral Question O-000120/2012 to the Commission, and to Parliament’s related resolution of 14 June 2012 on ‘Towards a job-rich recovery’ (4),

| — | having regard to the Commission communication of 23 November 2010 entitled ‘An Agenda for new skills and jobs: A European contribution towards full employment’ (COM(2010)0682), and to Parliament’s resolution of 26 October 2011 thereon (5), |
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—

having regard to the Commission communication of 23 November 2010 entitled ‘An Agenda for new skills and jobs: A European contribution towards full employment’ (COM(2010)0682), and to Parliament’s resolution of 26 October 2011 thereon (5),

| — | having regard to the Commission communication of 16 December 2010 entitled ‘The European Platform against Poverty and Social Exclusion: A European framework for social and territorial cohesion’ (COM(2010)0758), and to Parliament’s resolution of 15 November 2011 thereon (6), |
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—

having regard to the Commission communication of 16 December 2010 entitled ‘The European Platform against Poverty and Social Exclusion: A European framework for social and territorial cohesion’ (COM(2010)0758), and to Parliament’s resolution of 15 November 2011 thereon (6),

| — | having regard to the Commission communication entitled ‘Youth Opportunities Initiative’ (COM(2011)0933), |
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—

having regard to the Commission communication entitled ‘Youth Opportunities Initiative’ (COM(2011)0933),

| — | having regard to its resolution of 20 November 2012 on ‘the Social Investment Pact — as a response to the crisis’ (7), |
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—

having regard to its resolution of 20 November 2012 on ‘the Social Investment Pact — as a response to the crisis’ (7),

| — | having regard to the Commission communication of 20 February 2013 entitled ‘Towards Social Investment for Growth and Cohesion — including implementing the European Social Fund 2014-2020’ (COM(2013)0083), |
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—

having regard to the Commission communication of 20 February 2013 entitled ‘Towards Social Investment for Growth and Cohesion — including implementing the European Social Fund 2014-2020’ (COM(2013)0083),

| — | having regard to Oral Question O-000057/2013 — B7-0207/2013 to the Commission, and to Parliament’s related resolution of 12 June 2013 on the Commission communication ‘Towards Social Investment for Growth and Cohesion — including implementing the European Social Fund 2014-2020’ (8), |
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—

having regard to Oral Question O-000057/2013 — B7-0207/2013 to the Commission, and to Parliament’s related resolution of 12 June 2013 on the Commission communication ‘Towards Social Investment for Growth and Cohesion — including implementing the European Social Fund 2014-2020’ (8),

| — | having regard to its resolution of 5 February 2013 on improving access to finance for SMEs (9), |
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—

having regard to its resolution of 5 February 2013 on improving access to finance for SMEs (9),

| — | having regard to Rule 48 of its Rules of Procedure, |
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—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Employment and Social Affairs (A7-0091/2014), |
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—

having regard to the report of the Committee on Employment and Social Affairs (A7-0091/2014),

| A. | whereas the recession in the eurozone came to an end, numerically speaking, in the second quarter of 2013, but whereas annual growth in the eurozone will remain fragile this year and unemployment is still at a very high level; whereas sustainable growth needs to be significantly enhanced for this to be considered a long-lived recovery, and in order to generate the necessary momentum to relieve the EU of its socio-economic challenges; |
| --- | --- |

A.

whereas the recession in the eurozone came to an end, numerically speaking, in the second quarter of 2013, but whereas annual growth in the eurozone will remain fragile this year and unemployment is still at a very high level; whereas sustainable growth needs to be significantly enhanced for this to be considered a long-lived recovery, and in order to generate the necessary momentum to relieve the EU of its socio-economic challenges;

| B. | whereas unemployment in the EU has reached the alarming figure of 26,6 million, and long-term unemployment has risen in most Member States and has reached an all-time high in the EU as a whole; whereas the decline in employment has been more pronounced in those countries that had to undertake a substantial fiscal reform; |
| --- | --- |

B.

whereas unemployment in the EU has reached the alarming figure of 26,6 million, and long-term unemployment has risen in most Member States and has reached an all-time high in the EU as a whole; whereas the decline in employment has been more pronounced in those countries that had to undertake a substantial fiscal reform;

| C. | whereas youth unemployment rates have reached unprecedented levels, averaging 23 % for the EU as a whole, and whereas in some Member States the unemployment rate among young people aged 16 to 25 is higher than 50 %; whereas the labour market situation is particularly critical for young people, who, regardless of their level of education, often end up unemployed, with precarious employment contracts, in unpaid traineeships or emigrating; whereas in 2011 the economic loss due to the disengagement of young people from the labour market was estimated at EUR 153 billion in the Member States, corresponding to 1,2 % of EU GDP; whereas the excessive rigidity of labour market regulation in several Member States leads to a lack of flexibility for effectively absorbing shocks; whereas current labour market legislation can in some cases disproportionately protect insiders and adversely affect the inclusion of young people in the workforce; |
| --- | --- |

C.

whereas youth unemployment rates have reached unprecedented levels, averaging 23 % for the EU as a whole, and whereas in some Member States the unemployment rate among young people aged 16 to 25 is higher than 50 %; whereas the labour market situation is particularly critical for young people, who, regardless of their level of education, often end up unemployed, with precarious employment contracts, in unpaid traineeships or emigrating; whereas in 2011 the economic loss due to the disengagement of young people from the labour market was estimated at EUR 153 billion in the Member States, corresponding to 1,2 % of EU GDP; whereas the excessive rigidity of labour market regulation in several Member States leads to a lack of flexibility for effectively absorbing shocks; whereas current labour market legislation can in some cases disproportionately protect insiders and adversely affect the inclusion of young people in the workforce;

| D. | whereas this has been the deepest and longest-lasting recession in the economic history of the last 100 years, but a catastrophe has been avoided, with the effects of the crisis being distributed over many years, even decades; whereas these effects include the fact that long-term unemployment is still on the rise, possibly resulting in structural unemployment; whereas labour market segmentation has continued to increase, average household incomes are declining in many Member States, and indicators point to a trend of somewhat higher levels and deeper forms of poverty and social exclusion, including in-work poverty, for some years ahead; |
| --- | --- |

D.

whereas this has been the deepest and longest-lasting recession in the economic history of the last 100 years, but a catastrophe has been avoided, with the effects of the crisis being distributed over many years, even decades; whereas these effects include the fact that long-term unemployment is still on the rise, possibly resulting in structural unemployment; whereas labour market segmentation has continued to increase, average household incomes are declining in many Member States, and indicators point to a trend of somewhat higher levels and deeper forms of poverty and social exclusion, including in-work poverty, for some years ahead;

| E. | whereas the International Monetary Fund (IMF) recently pointed out that there is scope to tax better and more progressively, which could help in reducing inequalities in the EU; whereas there is a need to shift the tax burden away from labour towards other forms of sustainable tax in order to promote growth and job creation and bring in additional revenue along the way and to enhance the legitimacy of the consolidation effort; |
| --- | --- |

E.

whereas the International Monetary Fund (IMF) recently pointed out that there is scope to tax better and more progressively, which could help in reducing inequalities in the EU; whereas there is a need to shift the tax burden away from labour towards other forms of sustainable tax in order to promote growth and job creation and bring in additional revenue along the way and to enhance the legitimacy of the consolidation effort;

| F. | whereas the effects of the crisis have resulted in an unprecedented and growing divergence in output and employment between core and periphery countries; whereas the core-periphery gap in unemployment rates reached 10 percentage points in 2012, compared with only 3,5 percentage points in 2000; whereas that divergence is forecast to peak this year; |
| --- | --- |

F.

whereas the effects of the crisis have resulted in an unprecedented and growing divergence in output and employment between core and periphery countries; whereas the core-periphery gap in unemployment rates reached 10 percentage points in 2012, compared with only 3,5 percentage points in 2000; whereas that divergence is forecast to peak this year;

| G. | whereas it is necessary to continue with growth-friendly and differentiated fiscal consolidation in order to guarantee the sustainability of the welfare state and public finances in the long term; |
| --- | --- |

G.

whereas it is necessary to continue with growth-friendly and differentiated fiscal consolidation in order to guarantee the sustainability of the welfare state and public finances in the long term;

| H. | whereas economic improvements should thus be taken as an encouragement to pursue efforts with determination to focus on growth and employment, in order to keep up the reform programmes with a view to improving competitiveness and securing a lasting recovery; |
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H.

whereas economic improvements should thus be taken as an encouragement to pursue efforts with determination to focus on growth and employment, in order to keep up the reform programmes with a view to improving competitiveness and securing a lasting recovery;

| I. | whereas errors in the Commission’s economic forecasts for growth and unemployment in recent years demonstrate the need for an improved model of forecasting and strategy with a view to ending the crisis; whereas the pace of fiscal consolidation has slowed; whereas job creation in the eurozone is still very weak; whereas, according to Eurostat, inflation in the eurozone is below the ECB targets; |
| --- | --- |

I.

whereas errors in the Commission’s economic forecasts for growth and unemployment in recent years demonstrate the need for an improved model of forecasting and strategy with a view to ending the crisis; whereas the pace of fiscal consolidation has slowed; whereas job creation in the eurozone is still very weak; whereas, according to Eurostat, inflation in the eurozone is below the ECB targets;

| J. | whereas there is pressure from demographic developments on national budgets and pension systems; whereas life expectancy is continuing to rise; |
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J.

whereas there is pressure from demographic developments on national budgets and pension systems; whereas life expectancy is continuing to rise;

| K. | whereas there is a need to take the life expectancy coefficient into account with a view to ensuring the sustainability of pension systems; |
| --- | --- |

K.

whereas there is a need to take the life expectancy coefficient into account with a view to ensuring the sustainability of pension systems;

| L. | whereas the focus on speed and intensity in pursuing structural reforms has been asymmetrical among Member States during the crisis, being much more demanding for periphery countries than for core countries; whereas all Member States should share the same impetus and undertake the necessary structural reforms in order to promote a sustainable and balanced growth and job creation in the area; |
| --- | --- |

L.

whereas the focus on speed and intensity in pursuing structural reforms has been asymmetrical among Member States during the crisis, being much more demanding for periphery countries than for core countries; whereas all Member States should share the same impetus and undertake the necessary structural reforms in order to promote a sustainable and balanced growth and job creation in the area;

| M. | whereas all Member States need to improve their performance and competitiveness, and a real challenge is posed to the eurozone at the moment by the growing socio-economic divergences between Member States; whereas it is in the interest of all Member States to ensure that employment and social challenges are addressed in a timely and effective manner to avoid an economic deterioration; |
| --- | --- |

M.

whereas all Member States need to improve their performance and competitiveness, and a real challenge is posed to the eurozone at the moment by the growing socio-economic divergences between Member States; whereas it is in the interest of all Member States to ensure that employment and social challenges are addressed in a timely and effective manner to avoid an economic deterioration;

| N. | whereas investment in education and training, research and innovation — key areas for economic growth and job creation — in the EU is still lower than among its main economic partners and competitors elsewhere in the world; whereas productive investment in these areas is essential for a sustainable exit from the crisis; |
| --- | --- |

N.

whereas investment in education and training, research and innovation — key areas for economic growth and job creation — in the EU is still lower than among its main economic partners and competitors elsewhere in the world; whereas productive investment in these areas is essential for a sustainable exit from the crisis;

| O. | whereas support for entrepreneurs should be a priority for Member States; |
| --- | --- |

O.

whereas support for entrepreneurs should be a priority for Member States;

| P. | whereas a coherent policy mix combining macroeconomic policies, structural policies, sound labour market institutions, unsegmented labour markets, collective bargaining and well-resourced welfare systems is essential for absorbing cyclical shocks; whereas a system based on rapid reintegration into the labour market with flanking measures based on flexicurity is also important in absorbing cyclical shocks; |
| --- | --- |

P.

whereas a coherent policy mix combining macroeconomic policies, structural policies, sound labour market institutions, unsegmented labour markets, collective bargaining and well-resourced welfare systems is essential for absorbing cyclical shocks; whereas a system based on rapid reintegration into the labour market with flanking measures based on flexicurity is also important in absorbing cyclical shocks;

| Q. | whereas poverty levels have been increasing since 2007, such that 24,2 % of the EU population is currently at risk of poverty or social exclusion; whereas social protection expenditure has decreased in nearly all the Member States, and whereas the Social Protection Committee (SPC) is warning that increasing numbers of people are at risk of income poverty, child poverty, unmet medical needs, severe material deprivation and social exclusion; |
| --- | --- |

Q.

whereas poverty levels have been increasing since 2007, such that 24,2 % of the EU population is currently at risk of poverty or social exclusion; whereas social protection expenditure has decreased in nearly all the Member States, and whereas the Social Protection Committee (SPC) is warning that increasing numbers of people are at risk of income poverty, child poverty, unmet medical needs, severe material deprivation and social exclusion;

| R. | whereas the EU is failing to achieve almost all of the Europe 2020 targets, and whereas progress in the Member States in delivering on the Europe 2020 objectives has been disappointing; whereas the commitments made in the 2013 national reform programmes are insufficient to meet most of the EU-level targets; |
| --- | --- |

R.

whereas the EU is failing to achieve almost all of the Europe 2020 targets, and whereas progress in the Member States in delivering on the Europe 2020 objectives has been disappointing; whereas the commitments made in the 2013 national reform programmes are insufficient to meet most of the EU-level targets;

| S. | whereas it is essential to foster democratic accountability, ownership and legitimacy in respect of all actors involved in the European Semester; whereas the appropriate involvement of Parliament is a crucial part of this process; whereas national parliaments are the representatives and guarantors of the rights acquired and delegated by citizens; whereas the introduction of the European Semester should fully respect the prerogatives of national parliaments; |
| --- | --- |

S.

whereas it is essential to foster democratic accountability, ownership and legitimacy in respect of all actors involved in the European Semester; whereas the appropriate involvement of Parliament is a crucial part of this process; whereas national parliaments are the representatives and guarantors of the rights acquired and delegated by citizens; whereas the introduction of the European Semester should fully respect the prerogatives of national parliaments;

| T. | whereas arrangements are lacking to ensure that the European Council respects the position of Parliament before its annual adoption of the priorities proposed by the Commission in the Annual Growth Survey; |
| --- | --- |

T.

whereas arrangements are lacking to ensure that the European Council respects the position of Parliament before its annual adoption of the priorities proposed by the Commission in the Annual Growth Survey;

| U. | whereas, on 20-22 January 2014, it held high-level meetings with national parliamentarians (European Parliamentary Week) to discuss the Annual Growth Survey 2014, including its employment and social aspects; |
| --- | --- |

U.

whereas, on 20-22 January 2014, it held high-level meetings with national parliamentarians (European Parliamentary Week) to discuss the Annual Growth Survey 2014, including its employment and social aspects;

Social indicators

| 1. | Welcomes the fact that this year, for the first time, the draft Joint Employment Report annexed to the Annual Growth Survey (AGS) includes a scoreboard for employment and social policies, which will help to strengthen the monitoring of employment and social developments as part of macroeconomic surveillance within the European Semester; considers that this should impact policy guidance in the European Semester in order to reinforce the social dimension of the Economic and Monetary Union, since this is not only desirable but also necessary in order to address the crisis and prevent serious socio-economic divergences in the eurozone, thereby enhancing its sustainability; expresses its deep concern at the limited nature of the role of Parliament in the European Semester; deplores the fact that little progress has been made by the Commission and Council to strengthen democratic scrutiny of the economic policy guidance; is of the opinion that under the existing Treaties Article 136 TFEU allows the Council, on a recommendation from the Commission and with the vote of only the Member States whose currency is the euro, to adopt binding economic policy guidelines for the eurozone countries in the framework of the European Semester; stresses that an incentive mechanism would reinforce the binding nature of the economic policy coordination; calls for an Interinstitutional Agreement in order to involve Parliament in the drafting and approval of the AGS and the Economic Policy and Employment Guidelines; |
| --- | --- |

1.

Welcomes the fact that this year, for the first time, the draft Joint Employment Report annexed to the Annual Growth Survey (AGS) includes a scoreboard for employment and social policies, which will help to strengthen the monitoring of employment and social developments as part of macroeconomic surveillance within the European Semester; considers that this should impact policy guidance in the European Semester in order to reinforce the social dimension of the Economic and Monetary Union, since this is not only desirable but also necessary in order to address the crisis and prevent serious socio-economic divergences in the eurozone, thereby enhancing its sustainability; expresses its deep concern at the limited nature of the role of Parliament in the European Semester; deplores the fact that little progress has been made by the Commission and Council to strengthen democratic scrutiny of the economic policy guidance; is of the opinion that under the existing Treaties Article 136 TFEU allows the Council, on a recommendation from the Commission and with the vote of only the Member States whose currency is the euro, to adopt binding economic policy guidelines for the eurozone countries in the framework of the European Semester; stresses that an incentive mechanism would reinforce the binding nature of the economic policy coordination; calls for an Interinstitutional Agreement in order to involve Parliament in the drafting and approval of the AGS and the Economic Policy and Employment Guidelines;

| 2. | Stresses that the social and economic priorities as agreed within the framework of the EU 2020 strategy are deeply interconnected; believes that economic sustainability and macroeconomic balance cannot be achieved, whether in the medium term or in the long run, without the enhancement and safeguarding of the social dimension of the EMU; considers that the social and economic aspects of the Union are two sides of the same coin and that both play a key role in the development of the EU; |
| --- | --- |

2.

Stresses that the social and economic priorities as agreed within the framework of the EU 2020 strategy are deeply interconnected; believes that economic sustainability and macroeconomic balance cannot be achieved, whether in the medium term or in the long run, without the enhancement and safeguarding of the social dimension of the EMU; considers that the social and economic aspects of the Union are two sides of the same coin and that both play a key role in the development of the EU;

| 3. | Notes, however, that these indicators have not been made binding, unlike the Macroeconomic Imbalance Procedure scoreboard; asks the Commission and the Member States to assess this situation in the light of the growing social and employment imbalances in the EU; |
| --- | --- |

3.

Notes, however, that these indicators have not been made binding, unlike the Macroeconomic Imbalance Procedure scoreboard; asks the Commission and the Member States to assess this situation in the light of the growing social and employment imbalances in the EU;

| 4. | Considers it regrettable that the employment and social indicators proposed by the Commission are insufficient to cover the Member States’ employment and social situations comprehensively; calls for the scoreboard to include additional indicators, in particular child poverty levels, access to healthcare, homelessness, and a decent work index, in order to allow for proper assessment of the social situation in the Member States; believes that the indicators should, after consultation of Parliament, be reviewed on a regular basis; points out that arrangements are lacking to ensure that the European Council respects the position of Parliament before its annual adoption of the priorities proposed by the Commission in the AGS; |
| --- | --- |

4.

Considers it regrettable that the employment and social indicators proposed by the Commission are insufficient to cover the Member States’ employment and social situations comprehensively; calls for the scoreboard to include additional indicators, in particular child poverty levels, access to healthcare, homelessness, and a decent work index, in order to allow for proper assessment of the social situation in the Member States; believes that the indicators should, after consultation of Parliament, be reviewed on a regular basis; points out that arrangements are lacking to ensure that the European Council respects the position of Parliament before its annual adoption of the priorities proposed by the Commission in the AGS;

Meetings of Eurogroup employment and social affairs ministers

| 5. | Highlights the importance of holding, whenever necessary, a Eurogroup employment and social affairs ministers’ meeting prior to euro summits: believes that joint meetings to achieve a coherent position between the EPSCO and ECOFIN Councils are equally crucial, so as to ensure that social and employment concerns are addressed more fully in the discussions and decisions of the eurozone authorities and with a view to contributing to the meetings of heads of state and government of the eurozone; |
| --- | --- |

5.

Highlights the importance of holding, whenever necessary, a Eurogroup employment and social affairs ministers’ meeting prior to euro summits: believes that joint meetings to achieve a coherent position between the EPSCO and ECOFIN Councils are equally crucial, so as to ensure that social and employment concerns are addressed more fully in the discussions and decisions of the eurozone authorities and with a view to contributing to the meetings of heads of state and government of the eurozone;

The need to re-stimulate internal demand and create quality jobs through productive investment and increased productivity

A pact to increase investment and productivity in the EU

| 6. | Points out that, while structural reforms may bear fruit in the medium to long term, the need to stimulate the EU’s internal demand requires the Commission and the Council to enhance investment in order to sustain growth and quality jobs in the short term and enhance potential in the medium term; notes that the main objectives have already been defined in the Europe 2020 strategy and in the Compact for Growth and Jobs agreed in June 2012, but that financing must be stepped up; encourages Member States, therefore, to set up an investment package in order to bring about a significant improvement in the short-term economic situation and in the state of affairs on the labour markets of the Member States, as advocated in Parliament’s resolution of 11 September 2013 on ‘Tackling youth unemployment: possible ways out’ (10); |
| --- | --- |

6.

Points out that, while structural reforms may bear fruit in the medium to long term, the need to stimulate the EU’s internal demand requires the Commission and the Council to enhance investment in order to sustain growth and quality jobs in the short term and enhance potential in the medium term; notes that the main objectives have already been defined in the Europe 2020 strategy and in the Compact for Growth and Jobs agreed in June 2012, but that financing must be stepped up; encourages Member States, therefore, to set up an investment package in order to bring about a significant improvement in the short-term economic situation and in the state of affairs on the labour markets of the Member States, as advocated in Parliament’s resolution of 11 September 2013 on ‘Tackling youth unemployment: possible ways out’ (10);

| 7. | Stresses that the EU’s competitiveness will be boosted primarily through productivity-enhancing investments in education, R&D, continuous innovation, further digitalisation and cloud services; considers that these are the drivers that would make the EU a preferred destination for global enterprises, an exporter of high-value-added products and services and a provider of high-quality jobs; |
| --- | --- |

7.

Stresses that the EU’s competitiveness will be boosted primarily through productivity-enhancing investments in education, R&D, continuous innovation, further digitalisation and cloud services; considers that these are the drivers that would make the EU a preferred destination for global enterprises, an exporter of high-value-added products and services and a provider of high-quality jobs;

| 8. | Is concerned that more than 20 Member States have reduced education expenditure in relative terms (as a percentage of GDP), thereby jeopardising their growth and competitiveness, which also suffer from the mismatch between labour needs and the actual qualifications of the workforce; points out that reducing such investment will increase the EU’s structural weakness, given the growing need for highly skilled workers and the fact that in many Member States a high proportion of the workforce is currently low-skilled; warns that, according to Eurostat, almost half of all children whose parents had a low education level were at risk of poverty in the EU27 in 2011, compared with 22 % of those with parents with a medium education level and 7 % of those with parents with a high education level, with the largest differences found by Eurostat being in Romania (78 % of children in low education level households compared with 2 % in high education level households), the Czech Republic (76 % and 5 %), Slovakia (77 % and 7 %), Bulgaria (71 % and 2 %) and Hungary (68 % and 3 %); |
| --- | --- |

8.

Is concerned that more than 20 Member States have reduced education expenditure in relative terms (as a percentage of GDP), thereby jeopardising their growth and competitiveness, which also suffer from the mismatch between labour needs and the actual qualifications of the workforce; points out that reducing such investment will increase the EU’s structural weakness, given the growing need for highly skilled workers and the fact that in many Member States a high proportion of the workforce is currently low-skilled; warns that, according to Eurostat, almost half of all children whose parents had a low education level were at risk of poverty in the EU27 in 2011, compared with 22 % of those with parents with a medium education level and 7 % of those with parents with a high education level, with the largest differences found by Eurostat being in Romania (78 % of children in low education level households compared with 2 % in high education level households), the Czech Republic (76 % and 5 %), Slovakia (77 % and 7 %), Bulgaria (71 % and 2 %) and Hungary (68 % and 3 %);

| 9. | Welcomes the fact that in the AGS 2014 the Commission calls on the Member States to protect or promote longer-term investment in education, research and innovation, energy and climate action; considers this insufficient, however, to allow Member States with already constrained budgets to accomplish that goal; calls on the Commission to put in place a plan that helps those Member States make the necessary productive investments, for instance in education and R&D given the potential of those sectors to generate growth and jobs; |
| --- | --- |

9.

Welcomes the fact that in the AGS 2014 the Commission calls on the Member States to protect or promote longer-term investment in education, research and innovation, energy and climate action; considers this insufficient, however, to allow Member States with already constrained budgets to accomplish that goal; calls on the Commission to put in place a plan that helps those Member States make the necessary productive investments, for instance in education and R&D given the potential of those sectors to generate growth and jobs;

European funds

| 10. | Points out that, at a time of severe fiscal constraint and reduced lending capacity in the private sector, the European funds represent an essential leverage at the Member States’ disposal for stimulating the economy and helping to deliver on the Europe 2020 growth and employment objectives; |
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10.

Points out that, at a time of severe fiscal constraint and reduced lending capacity in the private sector, the European funds represent an essential leverage at the Member States’ disposal for stimulating the economy and helping to deliver on the Europe 2020 growth and employment objectives;

| 11. | Considers that cohesion policy is essential in helping to reduce internal competitive disparities and structural imbalances; calls on the Commission, as a matter of urgency, to reprogramme unspent structural funding in favour of youth employment programmes and SMEs; calls on the Commission to find special solutions for those Member States with very high unemployment rates which will be forced to return EU funds on account of cofinancing problems; |
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11.

Considers that cohesion policy is essential in helping to reduce internal competitive disparities and structural imbalances; calls on the Commission, as a matter of urgency, to reprogramme unspent structural funding in favour of youth employment programmes and SMEs; calls on the Commission to find special solutions for those Member States with very high unemployment rates which will be forced to return EU funds on account of cofinancing problems;

| 12. | Calls on the Commission to apply the frontloading principle to those funds essential for crisis recovery, such as the European Social Fund, for the 2014-2020 period while monitoring carefully for undesired effects of frontloading, such as the risk of automatic decommitment and the impact on the payment profiles for those Member States which have the highest levels of unemployment and are going through processes of deep fiscal consolidation, especially as regards programmes to boost economic growth, employment and strategic investment; |
| --- | --- |

12.

Calls on the Commission to apply the frontloading principle to those funds essential for crisis recovery, such as the European Social Fund, for the 2014-2020 period while monitoring carefully for undesired effects of frontloading, such as the risk of automatic decommitment and the impact on the payment profiles for those Member States which have the highest levels of unemployment and are going through processes of deep fiscal consolidation, especially as regards programmes to boost economic growth, employment and strategic investment;

| 13. | Considers that at least 25 % of national cohesion funds should be used for specific programmes under the European Social Fund in those Member States with the highest levels of unemployment and poverty; |
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13.

Considers that at least 25 % of national cohesion funds should be used for specific programmes under the European Social Fund in those Member States with the highest levels of unemployment and poverty;

Quality jobs and decent wages with a view to increasing productivity

| 14. | Calls for more adaptive and dynamic labour markets that are able to adjust to disruptions in the economic situation without causing redundancies and excessive adjustments in wages; recalls that the purchasing power of many EU workers has been sharply eroded, household incomes have fallen and internal demand has been depressed, further fuelling unemployment and social exclusion, particularly in those Member States hit hardest by the crisis; points out that reducing labour costs which translate directly into wages/salaries cannot be the only strategy for regaining competitiveness; notes that the communication on the AGS 2014 stresses that core countries with the necessary room for manoeuvre could increase wages as one way of increasing spending; calls for the recommendations to show ambition in order to promote more balanced growth and job creation in the eurozone; |
| --- | --- |

14.

Calls for more adaptive and dynamic labour markets that are able to adjust to disruptions in the economic situation without causing redundancies and excessive adjustments in wages; recalls that the purchasing power of many EU workers has been sharply eroded, household incomes have fallen and internal demand has been depressed, further fuelling unemployment and social exclusion, particularly in those Member States hit hardest by the crisis; points out that reducing labour costs which translate directly into wages/salaries cannot be the only strategy for regaining competitiveness; notes that the communication on the AGS 2014 stresses that core countries with the necessary room for manoeuvre could increase wages as one way of increasing spending; calls for the recommendations to show ambition in order to promote more balanced growth and job creation in the eurozone;

| 15. | Notes that the Commission, in its 2014 draft Joint Employment Report, points out that unit labour cost reductions and wage moderation have fed into price developments, in part because of simultaneous hikes in indirect taxes and administered prices; |
| --- | --- |

15.

Notes that the Commission, in its 2014 draft Joint Employment Report, points out that unit labour cost reductions and wage moderation have fed into price developments, in part because of simultaneous hikes in indirect taxes and administered prices;

| 16. | Notes that decent jobs and wages are important not only for social cohesion and fairness in society, but also for maintaining a strong economy; calls on the Commission and the Member States, in accordance with their respective competences, to propose measures that tackle inequality and guarantee decent pay; calls on the Member States to combat in-work poverty by pursuing labour market policies aimed at ensuring a living wage for those in work; |
| --- | --- |

16.

Notes that decent jobs and wages are important not only for social cohesion and fairness in society, but also for maintaining a strong economy; calls on the Commission and the Member States, in accordance with their respective competences, to propose measures that tackle inequality and guarantee decent pay; calls on the Member States to combat in-work poverty by pursuing labour market policies aimed at ensuring a living wage for those in work;

| 17. | Notes that women are driving job growth in Europe and that more therefore needs to be done to make full use of the productive potential of the female workforce, through better implementation of gender equality policies and more effective use of EU funding for this purpose; |
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17.

Notes that women are driving job growth in Europe and that more therefore needs to be done to make full use of the productive potential of the female workforce, through better implementation of gender equality policies and more effective use of EU funding for this purpose;

| 18. | Stresses the importance of exploring the possibility of reducing pressure on wages through minimum wage schemes according to national practices; |
| --- | --- |

18.

Stresses the importance of exploring the possibility of reducing pressure on wages through minimum wage schemes according to national practices;

| 19. | Stresses that job quality is essential in a knowledge-intensive economy, in order to promote high labour productivity and rapid innovation on the basis of a skilled, adaptable and committed workforce, with decent health and safety standards, a sense of security and reasonable working hours; |
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19.

Stresses that job quality is essential in a knowledge-intensive economy, in order to promote high labour productivity and rapid innovation on the basis of a skilled, adaptable and committed workforce, with decent health and safety standards, a sense of security and reasonable working hours;

Reforms to enhance quality labour participation

| 20. | Calls on the Member States to present national general and youth employment plans in their 2014 National Reform Programmes; considers it regrettable that, despite Parliament’s repeated requests, a significant number of Member States did not present such plans in 2013; |
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20.

Calls on the Member States to present national general and youth employment plans in their 2014 National Reform Programmes; considers it regrettable that, despite Parliament’s repeated requests, a significant number of Member States did not present such plans in 2013;

| 21. | Regrets that the Council failed to take account of Parliament’s call for a focus on job quality in its guidance for 2013; calls on the Commission to include job quality, training, dual learning schemes, access to lifelong learning, core workers’ rights, and support for labour market mobility and self-employment through increased security for workers in the CSRs based on the AGS 2014; |
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21.

Regrets that the Council failed to take account of Parliament’s call for a focus on job quality in its guidance for 2013; calls on the Commission to include job quality, training, dual learning schemes, access to lifelong learning, core workers’ rights, and support for labour market mobility and self-employment through increased security for workers in the CSRs based on the AGS 2014;

| 22. | Stresses that labour market reforms should focus on increasing labour productivity and efficiency in order to boost the EU’s economic competitiveness and allow sustainable growth and job creation, while strictly respecting both the letter and the spirit of the European social acquis and its principles; believes that labour market reforms should be implemented in such a way as to promote internal flexibility and job quality; |
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22.

Stresses that labour market reforms should focus on increasing labour productivity and efficiency in order to boost the EU’s economic competitiveness and allow sustainable growth and job creation, while strictly respecting both the letter and the spirit of the European social acquis and its principles; believes that labour market reforms should be implemented in such a way as to promote internal flexibility and job quality;

| 23. | Believes that structural labour market reforms should introduce internal flexibility in order to maintain employment in times of economic disruption, and should ensure job quality, security in employment transitions, the provision of unemployment benefit schemes that are based on activation requirements and linked to reintegration policies which maintain work incentives while ensuring a decent income, and the establishment of contractual arrangements which combat labour market segmentation, anticipate economic restructuring and ensure access to lifelong learning; believes that only a balance based on flexicurity can assure a competitive labour market; |
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23.

Believes that structural labour market reforms should introduce internal flexibility in order to maintain employment in times of economic disruption, and should ensure job quality, security in employment transitions, the provision of unemployment benefit schemes that are based on activation requirements and linked to reintegration policies which maintain work incentives while ensuring a decent income, and the establishment of contractual arrangements which combat labour market segmentation, anticipate economic restructuring and ensure access to lifelong learning; believes that only a balance based on flexicurity can assure a competitive labour market;

| 24. | Stresses the importance of active, comprehensive and inclusive labour policies in the current context; is deeply concerned that several Member States, despite rising unemployment rates, have reduced budget allocations financing such labour policies; calls on the Member States to increase the coverage and effectiveness of active labour market policies, in close cooperation with the social partners; |
| --- | --- |

24.

Stresses the importance of active, comprehensive and inclusive labour policies in the current context; is deeply concerned that several Member States, despite rising unemployment rates, have reduced budget allocations financing such labour policies; calls on the Member States to increase the coverage and effectiveness of active labour market policies, in close cooperation with the social partners;

| 25. | Calls on the Member States to design — in collaboration with the private sector and the social partners according to national practices — and present job plans including specific job creation measures, in particular for the sectors identified by the Commission as having high potential such as the health and social care sectors, the low-carbon, resource-efficient economy and the ICT sector; calls on the Member States to support, through those job plans, the creation of employment opportunities, particularly for the long-term unemployed, unemployed senior citizens, women, and other priority groups hit especially hard by the crisis, such as immigrants and people with disabilities; |
| --- | --- |

25.

Calls on the Member States to design — in collaboration with the private sector and the social partners according to national practices — and present job plans including specific job creation measures, in particular for the sectors identified by the Commission as having high potential such as the health and social care sectors, the low-carbon, resource-efficient economy and the ICT sector; calls on the Member States to support, through those job plans, the creation of employment opportunities, particularly for the long-term unemployed, unemployed senior citizens, women, and other priority groups hit especially hard by the crisis, such as immigrants and people with disabilities;

| 26. | Stresses the importance of Erasmus+, as well as the significant contribution that the European Programme for Education, Training, Youth, Sport and Languages can make to improving the labour market situation, especially that of young people; |
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26.

Stresses the importance of Erasmus+, as well as the significant contribution that the European Programme for Education, Training, Youth, Sport and Languages can make to improving the labour market situation, especially that of young people;

| 27. | Stresses the importance of enhanced cooperation between Public Employment Services (PES) for developing and implementing Europe-wide evidence-based benchlearning systems and implementing European labour market initiatives; |
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27.

Stresses the importance of enhanced cooperation between Public Employment Services (PES) for developing and implementing Europe-wide evidence-based benchlearning systems and implementing European labour market initiatives;

Youth unemployment

| 28. | Is deeply concerned that, once again, youth unemployment rates are still very high; notes that the situation of unemployed young people is particularly worrying; calls, therefore, on the Commission and the Member States to take urgent action to bring young people into the labour market; calls on the Member States to implement long-agreed or new measures with a view to tackling youth unemployment and reducing the number of young people not in employment, education or training (NEETs), taking into account the qualitative aspect of decent work that fully respects core labour standards; |
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28.

Is deeply concerned that, once again, youth unemployment rates are still very high; notes that the situation of unemployed young people is particularly worrying; calls, therefore, on the Commission and the Member States to take urgent action to bring young people into the labour market; calls on the Member States to implement long-agreed or new measures with a view to tackling youth unemployment and reducing the number of young people not in employment, education or training (NEETs), taking into account the qualitative aspect of decent work that fully respects core labour standards;

| 29. | Welcomes the adoption of the Youth Guarantee by the Council and the earmarking of EUR 6 billion for the Youth Employment Initiative under the next MFF; calls on the Member States to implement youth guarantee schemes as a matter of urgency, and to use the available resources efficiently, concentrating on those in the most difficult situations; is concerned, however, that some of the governments have not made available the financing necessary for this to happen; calls on the Member States to introduce an adequate system of monitoring the efficiency of implemented measures and committed financial resources; |
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29.

Welcomes the adoption of the Youth Guarantee by the Council and the earmarking of EUR 6 billion for the Youth Employment Initiative under the next MFF; calls on the Member States to implement youth guarantee schemes as a matter of urgency, and to use the available resources efficiently, concentrating on those in the most difficult situations; is concerned, however, that some of the governments have not made available the financing necessary for this to happen; calls on the Member States to introduce an adequate system of monitoring the efficiency of implemented measures and committed financial resources;

| 30. | Notes with satisfaction that the above funds can be used during the first two years of the next financial framework; recalls, however, that this amount is wholly insufficient to combat youth unemployment in a lasting manner and should form an initial tranche with which to tackle the problem; emphasises that the ILO has calculated that a total of EUR 21 billion is needed to implement an effective programme to combat youth unemployment in the eurozone alone, in comparison to the loss to the economy due to the disengagement of young people from the labour market, which is estimated at EUR 153 billion in the Member States in 2011, or 1,2 % of EU GDP; calls on the Commission to make the Youth Guarantee a priority and to increase the available budget in the promised mid-term review of the MFF; |
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30.

Notes with satisfaction that the above funds can be used during the first two years of the next financial framework; recalls, however, that this amount is wholly insufficient to combat youth unemployment in a lasting manner and should form an initial tranche with which to tackle the problem; emphasises that the ILO has calculated that a total of EUR 21 billion is needed to implement an effective programme to combat youth unemployment in the eurozone alone, in comparison to the loss to the economy due to the disengagement of young people from the labour market, which is estimated at EUR 153 billion in the Member States in 2011, or 1,2 % of EU GDP; calls on the Commission to make the Youth Guarantee a priority and to increase the available budget in the promised mid-term review of the MFF;

| 31. | Calls on the Commission and Council to ensure that Member States subject to the excessive deficit procedure also have the fiscal space to implement the Youth Guarantee schemes; |
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31.

Calls on the Commission and Council to ensure that Member States subject to the excessive deficit procedure also have the fiscal space to implement the Youth Guarantee schemes;

| 32. | Welcomes the Commission’s proposal for a quality framework for traineeships, in order to boost employability and improve working conditions for young people; notes, however, the failure to demand adequate pay levels; calls on the Commission, the Member States and the European social partners to implement the Alliance for Apprenticeships in an ambitious manner; |
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32.

Welcomes the Commission’s proposal for a quality framework for traineeships, in order to boost employability and improve working conditions for young people; notes, however, the failure to demand adequate pay levels; calls on the Commission, the Member States and the European social partners to implement the Alliance for Apprenticeships in an ambitious manner;

Labour mobility

| 33. | Believes that given the number of workers, particularly young people, who are now leaving their countries of origin for other Member States in search of employment opportunities, there is an urgent need to develop appropriate measures; notes that in order to guarantee the portability of pension rights and the continuation of employment benefits for at least three months while the recipient is looking for work in another Member State, the EU legislation is currently being amended; notes that an agreement has been reached between the Council and Parliament on the cross-border portability of supplementary pensions rights; |
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33.

Believes that given the number of workers, particularly young people, who are now leaving their countries of origin for other Member States in search of employment opportunities, there is an urgent need to develop appropriate measures; notes that in order to guarantee the portability of pension rights and the continuation of employment benefits for at least three months while the recipient is looking for work in another Member State, the EU legislation is currently being amended; notes that an agreement has been reached between the Council and Parliament on the cross-border portability of supplementary pensions rights;

| 34. | Stresses the importance of the dual education system as practised in some Member States; believes that dual education can be implemented in many more Member States, while taking account of national characteristics; |
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34.

Stresses the importance of the dual education system as practised in some Member States; believes that dual education can be implemented in many more Member States, while taking account of national characteristics;

| 35. | Welcomes the Commission’s intention to build on the European Job Mobility Portal (EURES) by intensifying and broadening its activities and, in particular, by promoting youth mobility; calls for a specific strategy to be drafted to this end, in conjunction with the Member States; also observes, however, that mobility must remain voluntary and must not limit efforts to create jobs and training places on the spot in order not to increase the problem of ‘brain drain’, which has already occurred in the Member States most hit by the crisis; |
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35.

Welcomes the Commission’s intention to build on the European Job Mobility Portal (EURES) by intensifying and broadening its activities and, in particular, by promoting youth mobility; calls for a specific strategy to be drafted to this end, in conjunction with the Member States; also observes, however, that mobility must remain voluntary and must not limit efforts to create jobs and training places on the spot in order not to increase the problem of ‘brain drain’, which has already occurred in the Member States most hit by the crisis;

Fairer taxation systems

| 36. | Notes that income inequality is growing across and within the Member States, particularly in the south of the EU and on its periphery; further notes that in many countries the crisis has intensified the long-term trends of wage polarisation and labour market segmentation; |
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36.

Notes that income inequality is growing across and within the Member States, particularly in the south of the EU and on its periphery; further notes that in many countries the crisis has intensified the long-term trends of wage polarisation and labour market segmentation;

| 37. | Notes that the IMF has recently pointed out that there is scope to tax better and more progressively, which could help in reducing inequalities in the EU; stresses the need to shift the tax burden away from labour towards other forms of sustainable tax so as to promote growth and job creation and bring in additional revenue along the way, in order to enhance the legitimacy of the consolidation effort; |
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37.

Notes that the IMF has recently pointed out that there is scope to tax better and more progressively, which could help in reducing inequalities in the EU; stresses the need to shift the tax burden away from labour towards other forms of sustainable tax so as to promote growth and job creation and bring in additional revenue along the way, in order to enhance the legitimacy of the consolidation effort;

| 38. | Calls on the Member States to adopt measures favourable to job creation, such as employment tax reforms that provide employment incentives, support voluntary self-employment and promote business in strategic sectors; |
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38.

Calls on the Member States to adopt measures favourable to job creation, such as employment tax reforms that provide employment incentives, support voluntary self-employment and promote business in strategic sectors;

| 39. | Notes the importance of reducing taxation on labour, especially through well-targeted temporary reductions in social security contributions or job subsidy schemes for new recruits, especially young people, low-paid and low-skilled workers, the long-term unemployed and other vulnerable groups, while ensuring the long-range sustainability of public pension systems; |
| --- | --- |

39.

Notes the importance of reducing taxation on labour, especially through well-targeted temporary reductions in social security contributions or job subsidy schemes for new recruits, especially young people, low-paid and low-skilled workers, the long-term unemployed and other vulnerable groups, while ensuring the long-range sustainability of public pension systems;

| 40. | Stresses the importance of taking effective steps to fight undeclared work, false self-employment, tax fraud and tax evasion, particularly in the current context of fiscal consolidation, in order to protect workers and revenues and maintain public confidence in the fairness and effectiveness of tax systems; |
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40.

Stresses the importance of taking effective steps to fight undeclared work, false self-employment, tax fraud and tax evasion, particularly in the current context of fiscal consolidation, in order to protect workers and revenues and maintain public confidence in the fairness and effectiveness of tax systems;

Social trends and the sustainability of social protection systems

The need to reduce poverty and social exclusion

| 41. | Is concerned at the increase in poverty among all age groups; notes that poverty and social exclusion among 18- to 64-year-olds have increased significantly in two thirds of the Member States in recent years, mainly because of rising levels of jobless or low-work-intensity households and in-work poverty; notes that the risk of poverty and social exclusion in 2012 was much higher (48,8 %) for third-country nationals (aged 18 to 64) than for EU nationals; calls on the Commission and the Member States to take urgent action to deliver on the EU 2020 goal on poverty and social exclusion; urges the Commission and the Member States to take immediate action to fight child poverty, given that in 2011 27 % of children aged under 18 were at risk of poverty or social exclusion; calls on the Commission to issue recommendations, especially to the Member States with the highest proportions of under-18s at risk of poverty or social exclusion; |
| --- | --- |

41.

Is concerned at the increase in poverty among all age groups; notes that poverty and social exclusion among 18- to 64-year-olds have increased significantly in two thirds of the Member States in recent years, mainly because of rising levels of jobless or low-work-intensity households and in-work poverty; notes that the risk of poverty and social exclusion in 2012 was much higher (48,8 %) for third-country nationals (aged 18 to 64) than for EU nationals; calls on the Commission and the Member States to take urgent action to deliver on the EU 2020 goal on poverty and social exclusion; urges the Commission and the Member States to take immediate action to fight child poverty, given that in 2011 27 % of children aged under 18 were at risk of poverty or social exclusion; calls on the Commission to issue recommendations, especially to the Member States with the highest proportions of under-18s at risk of poverty or social exclusion;

| 42. | Welcomes the recognition in the AGS 2014 of the need to tackle the social consequences of the crisis and ensure the financial sustainability of social protection; calls on the Member States to reinforce safety nets, ensure the effectiveness of welfare systems and invest in preventive measures; |
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42.

Welcomes the recognition in the AGS 2014 of the need to tackle the social consequences of the crisis and ensure the financial sustainability of social protection; calls on the Member States to reinforce safety nets, ensure the effectiveness of welfare systems and invest in preventive measures;

| 43. | Welcomes the Fund for European Aid to the Most Deprived, which will help those most affected by poverty to meet their basic needs; calls on the Member States to use the funds concerned properly and target them on the most deprived; |
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43.

Welcomes the Fund for European Aid to the Most Deprived, which will help those most affected by poverty to meet their basic needs; calls on the Member States to use the funds concerned properly and target them on the most deprived;

Sustainable pensions

| 44. | Takes note of the CSR proposal, relating to numerous Member States, regarding pension reforms; deplores the fact that the Commission’s recommendations were made without reference to Parliament’s recommendations in the Green and White Papers on pensions; stresses that pension reforms require national political and social cohesion and must be negotiated with the social partners to be successful; |
| --- | --- |

44.

Takes note of the CSR proposal, relating to numerous Member States, regarding pension reforms; deplores the fact that the Commission’s recommendations were made without reference to Parliament’s recommendations in the Green and White Papers on pensions; stresses that pension reforms require national political and social cohesion and must be negotiated with the social partners to be successful;

| 45. | Stresses that the necessary thoroughgoing reforms of the pension systems in Member States should be designed, conceived and adopted with a view to ensuring their sustainability, while at the same time not jeopardising adequate pension levels and being fully in line with the economic and social priorities of the Europe 2020 strategy; |
| --- | --- |

45.

Stresses that the necessary thoroughgoing reforms of the pension systems in Member States should be designed, conceived and adopted with a view to ensuring their sustainability, while at the same time not jeopardising adequate pension levels and being fully in line with the economic and social priorities of the Europe 2020 strategy;

| 46. | Stresses the need to carry out the necessary reforms to guarantee the sustainability of pension systems; believes that if effective retirement ages are to be raised successfully, pension reforms need to be accompanied by policies that limit access to early retirement schemes and other early exit pathways, develop employment opportunities for older workers, guarantee access to lifelong learning, introduce favourable tax policies offering incentives to stay in work longer, and support active healthy ageing; emphasises the acceleration of the pressure placed by demographic developments on national budgets and pension systems now that the first cohorts of the ‘baby boom generation’ are retiring; notes the uneven progress and levels of ambition across Member States in formulating and implementing structural reforms aimed at increasing employment, phasing out early retirement schemes and evaluating, at Member State level and together with social partners, the need to put both statutory and effective retirement ages on a sustainable footing in line with rising life expectancy; stresses that Member States that fail to implement gradual reforms now may at a later stage find themselves in a scenario where they have to implement reforms shock-wise, with significant social consequences; |
| --- | --- |

46.

Stresses the need to carry out the necessary reforms to guarantee the sustainability of pension systems; believes that if effective retirement ages are to be raised successfully, pension reforms need to be accompanied by policies that limit access to early retirement schemes and other early exit pathways, develop employment opportunities for older workers, guarantee access to lifelong learning, introduce favourable tax policies offering incentives to stay in work longer, and support active healthy ageing; emphasises the acceleration of the pressure placed by demographic developments on national budgets and pension systems now that the first cohorts of the ‘baby boom generation’ are retiring; notes the uneven progress and levels of ambition across Member States in formulating and implementing structural reforms aimed at increasing employment, phasing out early retirement schemes and evaluating, at Member State level and together with social partners, the need to put both statutory and effective retirement ages on a sustainable footing in line with rising life expectancy; stresses that Member States that fail to implement gradual reforms now may at a later stage find themselves in a scenario where they have to implement reforms shock-wise, with significant social consequences;

| 47. | Is concerned at the risk of inadequate pensions for a generation of young Europeans who are currently unemployed or in precarious jobs and who will face an ever-higher retirement age and longer pension calculation periods; |
| --- | --- |

47.

Is concerned at the risk of inadequate pensions for a generation of young Europeans who are currently unemployed or in precarious jobs and who will face an ever-higher retirement age and longer pension calculation periods;

European social stabilisers

| 48. | Notes that social protection policy, in particular unemployment benefits, minimum income support and progressive taxation, initially helped to reduce the depth of the recession and stabilised labour markets and consumption; stresses, however, that the capacity of these crucial economic and social stabilisers has been worryingly reduced in those Member States in which such stabilisers are most needed; notes that household incomes and domestic demand have consequently been less well protected; |
| --- | --- |

48.

Notes that social protection policy, in particular unemployment benefits, minimum income support and progressive taxation, initially helped to reduce the depth of the recession and stabilised labour markets and consumption; stresses, however, that the capacity of these crucial economic and social stabilisers has been worryingly reduced in those Member States in which such stabilisers are most needed; notes that household incomes and domestic demand have consequently been less well protected;

| 49. | Believes that introducing Bonus-Malus systems creates a ‘win-win’ situation for all parties involved; |
| --- | --- |

49.

Believes that introducing Bonus-Malus systems creates a ‘win-win’ situation for all parties involved;

| 50. | Stresses that social policies and social standards have been used in some cases as adjustment factors on account of the fiscal consolidation requirements; calls on the Commission to assess the consequences that these processes have had for national welfare states and for citizens; calls on the Member States to improve the adequacy and effectiveness of social protection systems, and to make sure that these continue to act as buffers against poverty and social exclusion; |
| --- | --- |

50.

Stresses that social policies and social standards have been used in some cases as adjustment factors on account of the fiscal consolidation requirements; calls on the Commission to assess the consequences that these processes have had for national welfare states and for citizens; calls on the Member States to improve the adequacy and effectiveness of social protection systems, and to make sure that these continue to act as buffers against poverty and social exclusion;

| 51. | Stresses the need for the Commission to recognise the importance of carers, in terms of both care provision and the economy and society as a whole, recalling that the interests of carers are rarely taken into account in policies that nonetheless impact on them in a consistent and across-the-board fashion; |
| --- | --- |

51.

Stresses the need for the Commission to recognise the importance of carers, in terms of both care provision and the economy and society as a whole, recalling that the interests of carers are rarely taken into account in policies that nonetheless impact on them in a consistent and across-the-board fashion;

| 52. | Believes that EU funding could contribute to capacity-building for carers in relation to the provision of support (e.g. emotional support, exchanges, and information) and advocacy, and that it could also support exchange of information, research and networking; also believes that legislative measures could be explored, on a basis of respect for national competence and the principle of solidarity, and that this could take the form of, for example, a directive on leave for carers; |
| --- | --- |

52.

Believes that EU funding could contribute to capacity-building for carers in relation to the provision of support (e.g. emotional support, exchanges, and information) and advocacy, and that it could also support exchange of information, research and networking; also believes that legislative measures could be explored, on a basis of respect for national competence and the principle of solidarity, and that this could take the form of, for example, a directive on leave for carers;

| 53. | Underlines the upcoming need for qualified carers due to demographic changes, and the importance of ensuring training and education for future carers in order to prevent a collapse of the entire care and social security system; also considers it important to provide maximum support for carers (especially informal carers), whose contribution needs to be recognised; |
| --- | --- |

53.

Underlines the upcoming need for qualified carers due to demographic changes, and the importance of ensuring training and education for future carers in order to prevent a collapse of the entire care and social security system; also considers it important to provide maximum support for carers (especially informal carers), whose contribution needs to be recognised;

| 54. | Stresses the importance of hospice and palliative services within long-term care; points out that carers and users of mobile palliative teams, given their multi-professional composition, flexibility, and cooperation with other professional sectors, have the potential to bridge crucial gaps in long-term care systems; |
| --- | --- |

54.

Stresses the importance of hospice and palliative services within long-term care; points out that carers and users of mobile palliative teams, given their multi-professional composition, flexibility, and cooperation with other professional sectors, have the potential to bridge crucial gaps in long-term care systems;

The need to strengthen democratic legitimacy and social dialogue

| 55. | Stresses that all labour market reforms should be based on reinforced coordination of social dialogue; |
| --- | --- |

55.

Stresses that all labour market reforms should be based on reinforced coordination of social dialogue;

| 56. | Stresses that the Troika has confirmed that high-quality participation by the social partners and strong social dialogue, including at national level, are essential for the success of any reforms, and that in reforms of the EMU in particular, the role of the social partners in the new economic governance process, especially the European Semester, should be reinforced; welcomes the Commission’s proposal to involve the social partners more fully in the European Semester process, inter alia in the framework of the Social Dialogue Committee prior to the annual adoption of the AGS; |
| --- | --- |

56.

Stresses that the Troika has confirmed that high-quality participation by the social partners and strong social dialogue, including at national level, are essential for the success of any reforms, and that in reforms of the EMU in particular, the role of the social partners in the new economic governance process, especially the European Semester, should be reinforced; welcomes the Commission’s proposal to involve the social partners more fully in the European Semester process, inter alia in the framework of the Social Dialogue Committee prior to the annual adoption of the AGS;

| 57. | Calls on the European Council and the Member States to ensure that national and regional parliaments, social partners, public authorities and civil society are closely involved in the implementation and monitoring of policy guidance under the Europe 2020 strategy and its economic governance process, in order to ensure ownership; calls on the European Council and the Commission to incorporate the monitoring and evaluation of the Europe 2020 employment, social and education goals more effectively into the 2014 European Semester; |
| --- | --- |

57.

Calls on the European Council and the Member States to ensure that national and regional parliaments, social partners, public authorities and civil society are closely involved in the implementation and monitoring of policy guidance under the Europe 2020 strategy and its economic governance process, in order to ensure ownership; calls on the European Council and the Commission to incorporate the monitoring and evaluation of the Europe 2020 employment, social and education goals more effectively into the 2014 European Semester;

o

o o

| 58. | Instructs its President to forward this resolution to the Council and the Commission. |
| --- | --- |

58.

Instructs its President to forward this resolution to the Council and the Commission.

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(1)  Texts adopted, P7_TA(2013)0447.

(2)  Texts adopted, P7_TA(2013)0515.

(3)  OJ C 308 E, 20.10.2011, p. 116.

(4)  OJ C 332 E, 15.11.2013, p. 81.

(5)  OJ C 131 E, 8.5.2013, p. 87.

(6)  OJ C 153 E, 31.5.2013, p. 57.

(7)  Texts adopted, P7_TA(2012)0419.

(8)  Texts adopted, P7_TA(2013)0266.

(9)  Texts adopted, P7_TA(2013)0036.

(10)  Texts adopted, P7_TA(2013)0365.

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ANNEX TO THE RESOLUTION:

SPECIFIC RECOMMENDATIONS TO BE ADOPTED BY THE EUROPEAN COUNCIL IN ITS POLICY GUIDANCE

Recommendation 1: on Social Indicators

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Welcomes the fact that this year, for the first time, the draft Joint Employment Report annexed to the Annual Growth Survey (AGS) includes a scoreboard for employment and social policies, which will help to strengthen the monitoring of employment and social developments as part of macroeconomic surveillance within the European Semester; considers that this should impact policy guidance in the European Semester in order to reinforce the social dimension of the Economic and Monetary Union, which is not only desirable, but also necessary in order to address the crisis and prevent serious socioeconomic divergences in the eurozone, thereby enhancing its sustainability;

Expresses its deep concerns of the limited role of the European Parliament in the European Semester; deplores that little progress has been made by the Commission and Council to strengthen democratic scrutiny of the economic policy guidance; Is of the opinion that under the existing Treaties Article 136 TFEU allows the Council, on a recommendation from the Commission and with the vote of only the Member States whose currency is the euro, to adopt binding economic policy guidelines for the euro area countries in the framework of the European Semester; stresses that an incentive mechanism would reinforce the binding nature of the economic policy coordination; calls for an Interinstitutional Agreement to involve Parliament in the drafting and approval of the Annual Growth Survey and the Economic Policy and Employment Guidelines;

Notes, however, that these indicators have not been made binding, unlike the Macroeconomic Imbalance Procedure scoreboard; asks the Commission and the Members States to assess this situation in the light of the growing social and employment imbalances in the EU;

Considers it regrettable that the employment and social indicators proposed by the Commission are insufficient to cover the Member States’ employment and social situations comprehensively; calls for the scoreboard to include additional indicators, in particular child poverty levels, access to health care, homelessness, and a decent work index, in order to allow for proper assessment of the social situation in the Member States; The indicators should after consultation of the Parliament be reviewed on a regular basis; whereas arrangements are lacking to ensure that the European Council respects the position of the European Parliament before it yearly adopts the priorities proposed by the Commission in the Annual Growth Survey;

Recommendation 2: Eurogroup at the employment and social affairs ministers level

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Highlights the importance whenever necessary of an Eurogroup employment and social affairs ministers meeting prior to EuroSummits. Joint meetings to achieve a coherent position between EPSCO and ECOFIN Councils are equally crucial, so as to ensure that social and employment concerns are addressed more fully in the discussions and decisions of the eurozone authorities and with a view to contributing to the meetings of heads of state and government of the eurozone;

Recommendation 3: A Pact to Increase Investments and Productivity in the EU

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Points out that, while structural reforms may bear fruit in the medium to long term, the need to stimulate the EU’s internal demand requires the Commission and the Council to enhance investment in order to sustain growth and quality jobs in the short term and enhance potential in the medium term; notes that the main objectives have already been defined in the Europe 2020 strategy and in the Compact for Growth and Jobs agreed in June 2012, but that financing must be stepped up; encourages Member States therefore to set up an investment package in order to bring about a significant improvement in the short-term economic situation and in the state of affairs on the labour markets of the Member States as was recited in the Parliament resolution of 11 September 2013 on tackling youth unemployment: possible ways out (2013/2045(INI));

Welcomes the fact that in the AGS 2014 the Commission calls on the Member States to protect or promote longer-term investment in education, research and innovation, energy and climate action; considers this insufficient, however, to allow Member States with already-constrained budgets to accomplish that goal;

Calls on the Commission to put in place a plan that helps those Member States to make the necessary productive investments, for instance in education, and research and development, , given their potential to generate growth and jobs;

Recommendation 4: Quality Jobs and Decent Salaries to increase productivity

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Unit Labour Costs, production costs and profit margins

Calls for more adaptive and dynamic labour markets, able to adjust to disruptions in the economic situation without causing redundancies and excessive adjustments in salaries; recalls that the purchasing power of many EU workers has sharply eroded, household incomes have lowered and internal demand has depressed, further fuelling unemployment and social exclusion, particularly in those countries hit hardest by the crisis; points out that reducing labour costs which translate directly into wages/salaries cannot be the only strategy for regaining competitiveness; Notes that the Communication on the AGS 2014 stresses that core countries with the necessary room for manoeuvre could increase their wages as one way of increasing spending, calls for ambition in these recommendations in order to promote a more balanced growth and job creation in the Eurozone;

Salaries and Decent pay

The Commission should propose measures that tackle inequalities and guarantee decent pay. Calls on Member States to combat in-work poverty by pursuing labour-market policies which aim at ensuring living wages for those in work, which is not only important for social cohesion and fairness in society, it is also important for maintaining a strong economy.

Job Quality

Recommends to put more emphasis in the Commission’s CSR 2014 on job quality which is essential in a knowledge intensive economy to promote high labour productivity and rapid innovation based on a skilled, adaptable, committed workforce, with decent health and safety standards, a sense of security and reasonable working time. Policy guidance should focus in particular in relation to workers’ access to a core set of labour rights, as enshrined in the Treaties, and without prejudice to the Member States’ legislation;

Combat the existence and proliferation of precarious job conditions and false self-employment and to ensure that people with temporary or part-time contracts or who are self-employed have adequate social protection and access to training;

Ensure the effective enforcement of the Directive establishing a general framework for equal treatment in employment and occupation;

Recommendation 5: Reforms to enhance quality labour participation

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

National general and youth employment plans

The Commission should make mandatory the presentation of national genera, and youth employment plans in the CSR 2014;

The Commission should include job quality, training and access to lifelong learning, core workers’ rights, and support for labour market mobility, and self-employment by increasing security for workers in the country specific recommendations of the AGS 2014;

Labour Market Reforms and Active Labour Policies

Reforms in the labour market should focus in increasing labour productivity and efficiency in order to improve EU economic competitiveness and enable sustainable growth and job creation while strictly respecting both the letter and the spirit of the European Social Acquis and its principles; Reforms in labour markets should be implemented in such a way as to promote job quality;

Structural labour market reforms should introduce internal flexibility to maintain employment in times of economic disruption, and ensure job quality, security in employment transitions, unemployment benefit schemes based on activation requirements and linked with reintegration policies that maintain work incentives while ensuring decent income, contractual arrangements to combat labour market segmentation, anticipate economic restructuring, and ensure access to lifelong learning;

Tackling skills mismatches

Better monitoring of skills needs in specific sectors and/or regions and remedy swiftly these skills mismatches.

Commission and Member States should cooperate in the elaboration of the EU Skills Panorama in order to provide a comprehensive view of EU skills needs.

Foster cooperation and synergies between the education-training sector and enterprises to anticipate skills’ needs and adapt education and training systems to the needs of the labour market with the objective to provide the workforce with necessary skills and facilitate the transition from education and training to work, in this context dual learning schemes should play a key role;

Promote the access to lifelong learning for all age groups, not only through formal learning but also through the development of non-formal and informal learning.

Establish a validation system of non-formal and informal learning by 2015 linked to the European Qualification Framework;

Youth unemployment

Calls for a European Pact for Youth Employment to put into effect the long-agreed measures and for new resources and measures to be committed to tackling youth unemployment, reducing the number of young people not in employment, education or training (NEET) taking into account the qualitative aspect of decent work fully respecting core labour standards;

Member States should urgently implement Youth Guarantee Schemes; and use available resources in an efficient way concentrating activities on those in the most difficult situation.

Calls on the Commission that the Youth Guarantee be a priority to expand the available budget in the promised mid-term review of the MFF;

The Commission should propose a quality framework for traineeships comprising, inter alia, the criteria for, learning outcomes, and proper working; calls on the Commission, Member States and the European social partners to implement the Alliance for Apprenticeships in an ambitious manner;

Seniors and Long term unemployed

Member States should develop employment opportunities for older workers, guarantee access to life-long learning, introduce tax benefit policies giving incentives to stay longer at work, and support active healthy ageing;

Long-term unemployed should be supported by job creation and integrated active inclusion approaches, including positive activation incentives such as personalised guidance and welfare-to-work programmes, adequate benefit systems and access to quality services in order to support them in reconnecting with the labour market and accessing quality jobs;

Women

The Commission should put more emphasis on significantly increasing women’s participation in the labour market which is key to achieving the Europe 2020 headline target for the employment rate; Calls for measures such as affordable care and child care, adequate maternity, paternity and parental leave schemes and flexibility in working hours and place of work;

Member States should respect and foster gender equality as part of their national policies and National Reform Programmes (NRPs);

Other priority groups

Member States should include in their National Reform Programmes key measures on employment and social inclusion adopted by the European Strategy for people with disabilities. Calls on the European Commission that these measures are part of its recommendations by country in 2014.

Calls for the inclusion of minorities mainstreaming in the priorities of the Annual Growth Survey 2014 who’s participation in the labour market is key to achieving the Europe 2020 headline target for the employment rate; Calls on the Commission and the Member States to address the low level of labour market participation of people belonging to minorities (e.g. Roma,)

Recommendation 6: Enhancing voluntary labour mobility

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Believes that given the number of workers, particularly young people, departing their countries of origin for other Member States in search of employment opportunities, there is an urgent need to develop appropriate measures. In order to guarantee the portability of pension rights and the continuation of employment benefits for at least three months while the recipient is looking for work in another Member State, EU legislation is currently being amended. An agreement has been reached between the Council and the Parliament on the cross-border portability of supplementary pensions rights;

Recommendation 7: Towards fairer taxation systems

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Notes that the International Monetary Fund (IMF) has recently pointed out that there is scope to tax better and more progressively which could help in reducing inequalities in the EU; stresses the need to shift the tax burden away from labour towards other forms of sustainable tax in order to promote growth and job creation and bring in additional revenue along the way in order to enhance the legitimacy of the consolidation effort;

Recommendation 8: Poverty and Social Exclusion must be reduced

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Member States should reinforce the safety nets and ensure the effectiveness of the welfare systems as well as invest in preventive measures;

Urges the Commission to take account of the impact of the economic adjustment programmes on progress towards the Europe 2020 headline targets in those Member States experiencing financial difficulties and to agree modifications aimed at bringing the adjustment programmes into line with the Europe 2020 objectives;

Recommendation 9: Sustainable Pensions

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Stresses the need to carry out the necessary reforms to guarantee the sustainability of pension systems, believes that in order to raise effective retirement ages successfully, pension reforms need to be accompanied by policies that limit access to early retirement schemes and other early exit pathways, develop employment opportunities for older workers, guarantee access to life-long learning, introduce tax benefit policies offering incentives to stay in work longer, and support active healthy ageing;

Emphasises the acceleration of the pressure posed by demographic developments on national budgets and pension systems now that the first cohorts of the ‘baby boom generation’ retire; notes the uneven progress and levels of ambition across Member States in formulating and implementing structural reforms aimed at raising employment, phasing out early retirement schemes and evaluating, at Member State level and together with social partners, the need to put both the statutory and effective retirement age on a sustainable footing with increases in life expectancy; stresses that Member States that fail to implement gradual reforms now may at a later stage find themselves in a scenario where they have to implement reforms shock-wise and with significant social consequences.

Recommendation 10: European social stabilizers

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

Notes that social protection policy, in particular unemployment benefits, minimum income support and progressive taxation, initially helped to reduce the depth of the recession and stabilised labour markets and consumption; stresses, however, that the capacity of these crucial economic and social stabilisers has been worryingly reduced in those Member States in which such stabilisers are most needed; notes that household incomes and domestic demand have consequently been less well protected;

Stresses that social policies and social standards have been used in some cases as adjustment factors due to the fiscal consolidation requirements; Calls on the Commission to assess the consequences that these processes have had for national welfare states and their citizens; Calls on the Member States to improve the adequacy and effectiveness of social protection systems, and to make sure that these continue to act as buffers against poverty and social exclusion;

Recommendation 11: Democratic legitimacy and social dialogue needs to be strengthened

The European Parliament considers that the yearly policy guidance to be adopted by the European Council on the basis of the AGS should aim to:

All labour market reforms should be based on reinforced the coordination of the Social Dialogue;

Reinforce high quality participation of social partners and strong social dialogue, also at national level, is essential for the success of any reforms and in particular in reforms of the EMU, the role of the social partners in the new Economic Governance, in particular in the European Semester

Implement the Commission’s proposal for stronger involvement of social partners in the European Semester process inter alia in the framework of the Social Dialogue Committee prior to the yearly adoption of the AGS;

The European Council and Member States should ensure that national and regional parliaments, social partners, public authorities and civil society are closely involved in the implementation and monitoring of policy guidance under the Europe 2020 Strategy and economic governance process, in order to ensure ownership;

The European Council and the Commission should to integrate the monitoring and evaluation of employment, social and education goals of the Europe 2020 Strategy more effectively in the European Semester 2014.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/40 |
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29.8.2017

EN

Official Journal of the European Union

C 285/40

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P7_TA(2014)0130

Single market governance

European Parliament resolution of 25 February 2014 on Single Market governance within the European Semester 2014 (2013/2194(INI))

(2017/C 285/05)

The European Parliament,

| — | having regard to the Commission Communication of 13 November 2013 entitled ‘Annual Growth Survey 2014’ (COM(2013)0800) and the Commission Report entitled ‘A Single Market for growth and jobs: An analysis of progress made and remaining obstacles in the Member States — Contribution to the Annual Growth Survey 2014’ (COM(2013)0785) and to the background analysis for that report, entitled ‘International Value Chains Intra- and Extra-EU’, |
| --- | --- |

—

having regard to the Commission Communication of 13 November 2013 entitled ‘Annual Growth Survey 2014’ (COM(2013)0800) and the Commission Report entitled ‘A Single Market for growth and jobs: An analysis of progress made and remaining obstacles in the Member States — Contribution to the Annual Growth Survey 2014’ (COM(2013)0785) and to the background analysis for that report, entitled ‘International Value Chains Intra- and Extra-EU’,

| — | having regard to the first Commission report of 28 November 2012 on ‘State of the Single Market Integration 2013 — Contribution to the Annual Growth Survey 2013’ (COM(2012)0752), |
| --- | --- |

—

having regard to the first Commission report of 28 November 2012 on ‘State of the Single Market Integration 2013 — Contribution to the Annual Growth Survey 2013’ (COM(2012)0752),

| — | having regard to the Commission Communication of 3 October 2012 entitled ‘Single Market Act II — Together for new growth’ (COM(2012)0573), |
| --- | --- |

—

having regard to the Commission Communication of 3 October 2012 entitled ‘Single Market Act II — Together for new growth’ (COM(2012)0573),

| — | having regard to the Commission Communication of 8 June 2012 entitled ‘Better Governance for the Single Market’ (COM(2012)0259), |
| --- | --- |

—

having regard to the Commission Communication of 8 June 2012 entitled ‘Better Governance for the Single Market’ (COM(2012)0259),

| — | having regard to the Commission staff working document of 24 February 2012 entitled ‘Making the Single Market deliver — Annual governance check-up 2011’ (SWD(2012)0025), |
| --- | --- |

—

having regard to the Commission staff working document of 24 February 2012 entitled ‘Making the Single Market deliver — Annual governance check-up 2011’ (SWD(2012)0025),

| — | having regard to the Commission Communication of 13 April 2011 entitled ‘Single Market Act — Twelve levers to boost growth and strengthen confidence — “Working together to create new growth”’ (COM(2011)0206), |
| --- | --- |

—

having regard to the Commission Communication of 13 April 2011 entitled ‘Single Market Act — Twelve levers to boost growth and strengthen confidence — “Working together to create new growth”’ (COM(2011)0206),

| — | having regard to the Commission Communication of 3 March 2010 entitled ‘Europe 2020 — A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020), |
| --- | --- |

—

having regard to the Commission Communication of 3 March 2010 entitled ‘Europe 2020 — A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020),

| — | having regard to the Online Single Market Scoreboard made public on 4 July 2013, |
| --- | --- |

—

having regard to the Online Single Market Scoreboard made public on 4 July 2013,

| — | having regard to the Internal Market Scoreboard No 26 (February 2013), |
| --- | --- |

—

having regard to the Internal Market Scoreboard No 26 (February 2013),

| — | having regard to the Conclusions of the European Council of 27-28 June 2013, |
| --- | --- |

—

having regard to the Conclusions of the European Council of 27-28 June 2013,

| — | having regard to the Conclusions of the Competitiveness Council of 29-30 May 2013 on smart regulation, |
| --- | --- |

—

having regard to the Conclusions of the Competitiveness Council of 29-30 May 2013 on smart regulation,

| — | having regard to the Conclusions of the European Council of 14-15 March 2013, |
| --- | --- |

—

having regard to the Conclusions of the European Council of 14-15 March 2013,

| — | having regard to the deliberations of the Competitiveness Council of 18-19 February 2013 on the Annual Growth Survey 2013 and the Single Market Act, |
| --- | --- |

—

having regard to the deliberations of the Competitiveness Council of 18-19 February 2013 on the Annual Growth Survey 2013 and the Single Market Act,

| — | having regard to its resolution of 7 February 2013 with recommendations to the Commission on the governance of the Single Market (1), and to the Commission’s follow-up adopted on 8 May 2013, |
| --- | --- |

—

having regard to its resolution of 7 February 2013 with recommendations to the Commission on the governance of the Single Market (1), and to the Commission’s follow-up adopted on 8 May 2013,

| — | having regard to the Conclusions of the European Council of 24-25 October 2013, |
| --- | --- |

—

having regard to the Conclusions of the European Council of 24-25 October 2013,

| — | having regard to its resolution of 14 June 2012 entitled ‘Single Market Act — The Next Steps to Growth’ (2), and the Commission’s follow-up adopted on 26 September 2012, |
| --- | --- |

—

having regard to its resolution of 14 June 2012 entitled ‘Single Market Act — The Next Steps to Growth’ (2), and the Commission’s follow-up adopted on 26 September 2012,

| — | having regard to its resolution of 6 April 2011 on governance and partnership in the single market (3), |
| --- | --- |

—

having regard to its resolution of 6 April 2011 on governance and partnership in the single market (3),

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Internal Market and Consumer Protection (A7-0066/2014), |
| --- | --- |

—

having regard to the report of the Committee on the Internal Market and Consumer Protection (A7-0066/2014),

| A. | whereas the Annual Growth Survey 2013 launched the third European Semester cycle, including — for the first time — an annual report on the state of the Single Market integration; |
| --- | --- |

A.

whereas the Annual Growth Survey 2013 launched the third European Semester cycle, including — for the first time — an annual report on the state of the Single Market integration;

| B. | whereas an effective and well-functioning Single Market based on a highly competitive social market economy is essential for sustainable and inclusive growth; |
| --- | --- |

B.

whereas an effective and well-functioning Single Market based on a highly competitive social market economy is essential for sustainable and inclusive growth;

| C. | whereas Parliament asked for full inclusion of a Single Market pillar in the cycle of the European Semester; |
| --- | --- |

C.

whereas Parliament asked for full inclusion of a Single Market pillar in the cycle of the European Semester;

| D. | whereas a better governance of the Single Market should be aimed at ensuring better and faster transposition and implementation of directives and regulations related to it, especially if connected to the key sectors identified; |
| --- | --- |

D.

whereas a better governance of the Single Market should be aimed at ensuring better and faster transposition and implementation of directives and regulations related to it, especially if connected to the key sectors identified;

| E. | whereas quality of the national reform programmes under the European Semester varies widely in terms of substance, transparency and feasibility; |
| --- | --- |

E.

whereas quality of the national reform programmes under the European Semester varies widely in terms of substance, transparency and feasibility;

| F. | whereas the Single Market should be seen as closely connected to other horizontal policy areas, such as consumer and worker protection, social rights, the environment and sustainable development; |
| --- | --- |

F.

whereas the Single Market should be seen as closely connected to other horizontal policy areas, such as consumer and worker protection, social rights, the environment and sustainable development;

| G. | whereas the Single Market Acts I and II represent a well-built horizontal strategy that has determined concrete legislative and non-legislative measures with the capacity to unleash the unexploited growth potential of, and remove obstacles to, the Single Market; |
| --- | --- |

G.

whereas the Single Market Acts I and II represent a well-built horizontal strategy that has determined concrete legislative and non-legislative measures with the capacity to unleash the unexploited growth potential of, and remove obstacles to, the Single Market;

| H. | whereas the Commission has identified services, financial services, transport, energy and the digital market as key areas for improving the functioning and deepening of the Single Market; whereas the methodology for defining these areas should be assessed and revised on a regular basis, taking account of growth targets and outlook as well as the criteria for providing necessary protection for citizens, in particular consumers, professionals and workers; |
| --- | --- |

H.

whereas the Commission has identified services, financial services, transport, energy and the digital market as key areas for improving the functioning and deepening of the Single Market; whereas the methodology for defining these areas should be assessed and revised on a regular basis, taking account of growth targets and outlook as well as the criteria for providing necessary protection for citizens, in particular consumers, professionals and workers;

| I. | whereas we have not yet achieved a fully functioning digital single market for online and communications services in Europe; whereas the free movement of digital services and cross-border e-commerce is today hindered by fragmented rules at national level; whereas European companies and public services will gain economic and social benefits from the use of advanced ICT services and applications; |
| --- | --- |

I.

whereas we have not yet achieved a fully functioning digital single market for online and communications services in Europe; whereas the free movement of digital services and cross-border e-commerce is today hindered by fragmented rules at national level; whereas European companies and public services will gain economic and social benefits from the use of advanced ICT services and applications;

| J. | whereas an accessible and efficient European transport infrastructure, an ambitious European industrial policy and the creation of a single energy market — aiming both at supporting EU business competitiveness and ensuring universal and affordable access to energy for households and consumers — are vital for the EU Single Market; whereas it is therefore necessary to define priority actions in these fields; |
| --- | --- |

J.

whereas an accessible and efficient European transport infrastructure, an ambitious European industrial policy and the creation of a single energy market — aiming both at supporting EU business competitiveness and ensuring universal and affordable access to energy for households and consumers — are vital for the EU Single Market; whereas it is therefore necessary to define priority actions in these fields;

European Semester

| 1. | Reiterates its call on the Commission to strengthen Single Market governance by establishing, as a specific pillar of the European Semester, an annual Single Market governance cycle that includes the Internal Market Scoreboard, an annual report on the integration of the Single Market as part of the Annual Growth Survey, European Council guidance to Member States, national action plans aimed at implementing the Single Market guidelines, and dedicated country-specific recommendations; calls on the Commission, furthermore, to take full account of the key growth areas — identified as the services sector, the energy sector, the transport sector and the digital single market — and of the measures included in the Single Market Acts I and II; |
| --- | --- |

1.

Reiterates its call on the Commission to strengthen Single Market governance by establishing, as a specific pillar of the European Semester, an annual Single Market governance cycle that includes the Internal Market Scoreboard, an annual report on the integration of the Single Market as part of the Annual Growth Survey, European Council guidance to Member States, national action plans aimed at implementing the Single Market guidelines, and dedicated country-specific recommendations; calls on the Commission, furthermore, to take full account of the key growth areas — identified as the services sector, the energy sector, the transport sector and the digital single market — and of the measures included in the Single Market Acts I and II;

| 2. | Stresses the need to define the Single Market as the third pillar of the European Semester in order to cover a clear set of priorities related to the real economy; believes that the definition and achievement of these priorities is essential to stimulate growth and bridge the present gap from reaching the objectives of the Europe 2020 strategy, while ensuring economic convergence between Member States inside and outside the euro area and in core and peripheral areas of the EU; |
| --- | --- |

2.

Stresses the need to define the Single Market as the third pillar of the European Semester in order to cover a clear set of priorities related to the real economy; believes that the definition and achievement of these priorities is essential to stimulate growth and bridge the present gap from reaching the objectives of the Europe 2020 strategy, while ensuring economic convergence between Member States inside and outside the euro area and in core and peripheral areas of the EU;

| 3. | Recalls its opinion that the first report on the state of the Single Market integration was insufficient and incomplete; believes, therefore, that future reports should be clearer on current deficiencies in specific Member States, provide more concrete guidance on possible remedies and expected benefits, and indicate efficient levers for boosting growth and competitiveness and, thus, for creating jobs that would together provide a concrete response to the current social and economic crisis; |
| --- | --- |

3.

Recalls its opinion that the first report on the state of the Single Market integration was insufficient and incomplete; believes, therefore, that future reports should be clearer on current deficiencies in specific Member States, provide more concrete guidance on possible remedies and expected benefits, and indicate efficient levers for boosting growth and competitiveness and, thus, for creating jobs that would together provide a concrete response to the current social and economic crisis;

| 4. | Welcomes the Commission’s Single Market integration report 2014 (COM(2013)0785)) and strongly supports the Commission’s efforts to integrate the Single Market further in the considerations of the European Semester; appreciates the fact that the report on the state of the Single Market in 2014 contains a number of elements specifically relating to actions taken by individual Member States; considers nevertheless that the report still lacks any qualitative assessment of the effectiveness of measures taken, progress made and policy results actually achieved; calls for the development of an analytical tool to measure Single Market integration within the framework of the Single Market pillar of the European Semester in relation to the country-specific recommendations; believes that this analytical tool could further complement the Internal Market Scoreboard; |
| --- | --- |

4.

Welcomes the Commission’s Single Market integration report 2014 (COM(2013)0785)) and strongly supports the Commission’s efforts to integrate the Single Market further in the considerations of the European Semester; appreciates the fact that the report on the state of the Single Market in 2014 contains a number of elements specifically relating to actions taken by individual Member States; considers nevertheless that the report still lacks any qualitative assessment of the effectiveness of measures taken, progress made and policy results actually achieved; calls for the development of an analytical tool to measure Single Market integration within the framework of the Single Market pillar of the European Semester in relation to the country-specific recommendations; believes that this analytical tool could further complement the Internal Market Scoreboard;

| 5. | Believes that more horizontal coordination and coherence in the preparation of legislative proposals with relevance for the Single Market is needed; believes that the governance of the Single Market should take due account of the needs of all stakeholders and that a stronger and earlier involvement of the social partners, civil society and other stakeholders in designing, adopting, implementing and monitoring the measures is needed in order to boost growth and enforce citizens’ rights in the Single Market; |
| --- | --- |

5.

Believes that more horizontal coordination and coherence in the preparation of legislative proposals with relevance for the Single Market is needed; believes that the governance of the Single Market should take due account of the needs of all stakeholders and that a stronger and earlier involvement of the social partners, civil society and other stakeholders in designing, adopting, implementing and monitoring the measures is needed in order to boost growth and enforce citizens’ rights in the Single Market;

| 6. | Stresses the need for comprehensive consultations and thorough impact assessments before the Commission adopts a proposal; stresses that Commission proposals must be in line with the principles of smart regulation and regulatory fitness, include an assessment of the impact on SMEs, and meet with the approval of the Commission’s own Impact Assessment Board; stresses, furthermore, that impact assessments must evaluate the effects of new legislation on prospects for growth and on Europe’s competitiveness; |
| --- | --- |

6.

Stresses the need for comprehensive consultations and thorough impact assessments before the Commission adopts a proposal; stresses that Commission proposals must be in line with the principles of smart regulation and regulatory fitness, include an assessment of the impact on SMEs, and meet with the approval of the Commission’s own Impact Assessment Board; stresses, furthermore, that impact assessments must evaluate the effects of new legislation on prospects for growth and on Europe’s competitiveness;

| 7. | Considers that the European Semester exercise should be anchored in a deeper democratic process with greater involvement of national parliaments while enhancing the prerogatives of the European Parliament; |
| --- | --- |

7.

Considers that the European Semester exercise should be anchored in a deeper democratic process with greater involvement of national parliaments while enhancing the prerogatives of the European Parliament;

| 8. | Believes that country-specific recommendations issued in this process should take into account the progress made by each Member State and that the national arrangements for implementing Single Market legislation do not necessarily have to follow a one-size-fits-all approach, but should instead seek to enhance the effectiveness of measures taken and actual policy results achieved; |
| --- | --- |

8.

Believes that country-specific recommendations issued in this process should take into account the progress made by each Member State and that the national arrangements for implementing Single Market legislation do not necessarily have to follow a one-size-fits-all approach, but should instead seek to enhance the effectiveness of measures taken and actual policy results achieved;

| 9. | Requests that the forthcoming country-specific recommendations in the European Semester cycle 2014 reflect the findings of the Single Market integration report in a much stronger and stringent way than the country-specific recommendations for 2013; |
| --- | --- |

9.

Requests that the forthcoming country-specific recommendations in the European Semester cycle 2014 reflect the findings of the Single Market integration report in a much stronger and stringent way than the country-specific recommendations for 2013;

| 10. | Takes the view that the third pillar of the European Semester, dedicated to Single Market integration, should be aimed at identifying priority policies and measures for stimulating and revitalising the real economy; considers that this aim will only be achieved effectively if all EU institutions consistently share and support it; encourages, for this reason, a focused organisation of the work of the Competitiveness Council so that it is explicitly devoted to feeding those priorities of relevance to the real economy into the European Semester; |
| --- | --- |

10.

Takes the view that the third pillar of the European Semester, dedicated to Single Market integration, should be aimed at identifying priority policies and measures for stimulating and revitalising the real economy; considers that this aim will only be achieved effectively if all EU institutions consistently share and support it; encourages, for this reason, a focused organisation of the work of the Competitiveness Council so that it is explicitly devoted to feeding those priorities of relevance to the real economy into the European Semester;

Key sectors

| 11. | Considers that the key sectors identified by the Commission — services, financial services, transport, energy and the digital market — remain decisive for the full integration of the Single Market; considers, furthermore, that in order to achieve renewed growth, the relaunch of a consistent and integrated industrial policy focusing on these sectors should also include efforts to strengthen the protection of citizens’ rights — including those of consumers and workers — and a competitiveness model based on knowledge and innovation through EU incentives to drive investment and access to finance, R&D, and support for higher education; |
| --- | --- |

11.

Considers that the key sectors identified by the Commission — services, financial services, transport, energy and the digital market — remain decisive for the full integration of the Single Market; considers, furthermore, that in order to achieve renewed growth, the relaunch of a consistent and integrated industrial policy focusing on these sectors should also include efforts to strengthen the protection of citizens’ rights — including those of consumers and workers — and a competitiveness model based on knowledge and innovation through EU incentives to drive investment and access to finance, R&D, and support for higher education;

| 12. | Urges the Commission to develop a genuine European industrial policy; believes that re-industrialisation should be a cross-sectorial priority for the Union; considers that this new industrial policy should include the enforcement of Single Market rules, a holistic strategy for the external dimension of the Single Market with a particular emphasis on coherent consumer protection policies and improved access to capital and infrastructures in order to increase companies’ competitiveness and enable them to access worldwide markets; |
| --- | --- |

12.

Urges the Commission to develop a genuine European industrial policy; believes that re-industrialisation should be a cross-sectorial priority for the Union; considers that this new industrial policy should include the enforcement of Single Market rules, a holistic strategy for the external dimension of the Single Market with a particular emphasis on coherent consumer protection policies and improved access to capital and infrastructures in order to increase companies’ competitiveness and enable them to access worldwide markets;

| 13. | Stresses that, by removing barriers to the free movement of persons, goods, services and capital, the Single Market makes it possible for businesses to operate on a larger scale, thereby enhancing their ability to innovate, invest, increase productivity and create jobs; |
| --- | --- |

13.

Stresses that, by removing barriers to the free movement of persons, goods, services and capital, the Single Market makes it possible for businesses to operate on a larger scale, thereby enhancing their ability to innovate, invest, increase productivity and create jobs;

| 14. | Calls on the Commission to present a detailed action plan of measures designed to achieve a fully integrated and interconnected Single Market in energy; highlights the need to provide consumers with transparent and comparable energy prices while at the same time ensuring that consumers are protected, including vulnerable consumers; stresses the need for considerable investment in energy infrastructure and takes the view that all utilities sectors must keep pace with progress in the energy sector; |
| --- | --- |

14.

Calls on the Commission to present a detailed action plan of measures designed to achieve a fully integrated and interconnected Single Market in energy; highlights the need to provide consumers with transparent and comparable energy prices while at the same time ensuring that consumers are protected, including vulnerable consumers; stresses the need for considerable investment in energy infrastructure and takes the view that all utilities sectors must keep pace with progress in the energy sector;

| 15. | Emphasises that it is essential to improve infrastructure — in particular cross-border connections and interoperability — to ensure that the Single Market can function effectively; believes that a single, interconnected and efficient European transport system is crucial for the free movement of goods, people and services within the Single Market; believes that further investment is essential in order to attain these objectives and reiterates that a wide range of financial instruments should be put in place for such projects; |
| --- | --- |

15.

Emphasises that it is essential to improve infrastructure — in particular cross-border connections and interoperability — to ensure that the Single Market can function effectively; believes that a single, interconnected and efficient European transport system is crucial for the free movement of goods, people and services within the Single Market; believes that further investment is essential in order to attain these objectives and reiterates that a wide range of financial instruments should be put in place for such projects;

| 16. | Stresses that the consistent implementation of current legislation and of further Commission proposals on digital services can help Europe make full use of the internal market; calls for a policy for a digital single market that makes online services in Europe more competitive, more effective across borders and more transparent, providing a high level of accessibility and consumer protection; stresses the importance of targeted investments and notes that work on the Connected Continent proposal will help to reduce price differences between Member States by encouraging competition in the telecoms sector; |
| --- | --- |

16.

Stresses that the consistent implementation of current legislation and of further Commission proposals on digital services can help Europe make full use of the internal market; calls for a policy for a digital single market that makes online services in Europe more competitive, more effective across borders and more transparent, providing a high level of accessibility and consumer protection; stresses the importance of targeted investments and notes that work on the Connected Continent proposal will help to reduce price differences between Member States by encouraging competition in the telecoms sector;

| 17. | Calls for an ambitious implementation of the Consumer Agenda, including legislative and programming measures, in order to strengthen consumer protection and confidence in the Single Market, empower consumers, encourage the average consumer to behave responsibly and increase protection of vulnerable consumers; |
| --- | --- |

17.

Calls for an ambitious implementation of the Consumer Agenda, including legislative and programming measures, in order to strengthen consumer protection and confidence in the Single Market, empower consumers, encourage the average consumer to behave responsibly and increase protection of vulnerable consumers;

| 18. | Takes the view that easier access to funding for SMEs would help loosen liquidity constraints and increase SME working capital; welcomes the fact that, among the priorities set by the Commission in the Annual Growth Survey 2014 and the Single Market integration report, the development of forms of alternative financing for SMEs ranks highly; strongly supports the objective of developing specific bonds and a dedicated stock exchange market for SMEs and calls on the Commission and Member States to take practical action in pursuit of this goal; furthermore, supports initiatives taken at EU level to complement national efforts in increasing micro-credit and boosting social entrepreneurship, including the support of development banks providing loans at lower rates than commercial banks; notes the particular importance of supporting SMEs through the COSME and Horizon 2020 programmes; |
| --- | --- |

18.

Takes the view that easier access to funding for SMEs would help loosen liquidity constraints and increase SME working capital; welcomes the fact that, among the priorities set by the Commission in the Annual Growth Survey 2014 and the Single Market integration report, the development of forms of alternative financing for SMEs ranks highly; strongly supports the objective of developing specific bonds and a dedicated stock exchange market for SMEs and calls on the Commission and Member States to take practical action in pursuit of this goal; furthermore, supports initiatives taken at EU level to complement national efforts in increasing micro-credit and boosting social entrepreneurship, including the support of development banks providing loans at lower rates than commercial banks; notes the particular importance of supporting SMEs through the COSME and Horizon 2020 programmes;

| 19. | Emphasises the relevance of obstacles to the functioning of the Single Market caused by the fragmentation of retail financial market services, as highlighted by the Commission in the Single Market integration report, in particular in relation to highly diverging interest rates for bank loans which have a strong impact on consumers, households and SMEs; is convinced that these differences hamper effective access to finance and have an adverse impact on the real economy; is concerned about the negative impression that consumers have of the fragmentation and underperformance of retail financial services, notably with regard to bank accounts, mortgages, private pensions and securities; |
| --- | --- |

19.

Emphasises the relevance of obstacles to the functioning of the Single Market caused by the fragmentation of retail financial market services, as highlighted by the Commission in the Single Market integration report, in particular in relation to highly diverging interest rates for bank loans which have a strong impact on consumers, households and SMEs; is convinced that these differences hamper effective access to finance and have an adverse impact on the real economy; is concerned about the negative impression that consumers have of the fragmentation and underperformance of retail financial services, notably with regard to bank accounts, mortgages, private pensions and securities;

| 20. | Believes that the regulation of financial services should provide for better information, enhanced protection and effective redress for consumers; stresses the need for a quick and positive conclusion of the work on legislative proposals on the consumer and retail financial services market, in particular the comparability of fees related to payment accounts, payment account switching and access to payment accounts with basic features; takes the view that further proposals, such as a specific consumer insolvency regime to improve on the current fragmented and inadequate arrangements, should be brought forward in order to encourage the safe investment of private savings in the real economy; |
| --- | --- |

20.

Believes that the regulation of financial services should provide for better information, enhanced protection and effective redress for consumers; stresses the need for a quick and positive conclusion of the work on legislative proposals on the consumer and retail financial services market, in particular the comparability of fees related to payment accounts, payment account switching and access to payment accounts with basic features; takes the view that further proposals, such as a specific consumer insolvency regime to improve on the current fragmented and inadequate arrangements, should be brought forward in order to encourage the safe investment of private savings in the real economy;

| 21. | Regrets that, despite the strong evidence for the importance of the Single Market in overcoming the crisis, the free movement of citizens, in particular workers and professionals, across Europe is not complete and that stronger measures are needed in order to remove the remaining obstacles and to stimulate growth while guaranteeing citizens’ and workers’ rights; stresses the need for a balanced development of the internal market, based on the full implementation of economic freedoms in line with the social market economy; |
| --- | --- |

21.

Regrets that, despite the strong evidence for the importance of the Single Market in overcoming the crisis, the free movement of citizens, in particular workers and professionals, across Europe is not complete and that stronger measures are needed in order to remove the remaining obstacles and to stimulate growth while guaranteeing citizens’ and workers’ rights; stresses the need for a balanced development of the internal market, based on the full implementation of economic freedoms in line with the social market economy;

| 22. | Recalls that the cyclical method of submitting Single Market Acts provided opportunities to identify and discuss on a regular basis the priorities for the development of the Single Market; considers that this method should be enhanced and developed further; |
| --- | --- |

22.

Recalls that the cyclical method of submitting Single Market Acts provided opportunities to identify and discuss on a regular basis the priorities for the development of the Single Market; considers that this method should be enhanced and developed further;

| 23. | Welcomes the package of legislative proposals for a consumer product safety regulation and a market surveillance regulation, and on disclosures of non-financial and diversity information by certain large companies and groups; believes that these initiatives can improve consumers’ rights, better guarantee consumer health and safety, facilitate trade in goods and services, and encourage a new model of competitiveness; asks, therefore, the Commission to work closely with Parliament and the Council to reach a conclusion within a reasonable timeframe; |
| --- | --- |

23.

Welcomes the package of legislative proposals for a consumer product safety regulation and a market surveillance regulation, and on disclosures of non-financial and diversity information by certain large companies and groups; believes that these initiatives can improve consumers’ rights, better guarantee consumer health and safety, facilitate trade in goods and services, and encourage a new model of competitiveness; asks, therefore, the Commission to work closely with Parliament and the Council to reach a conclusion within a reasonable timeframe;

| 24. | Underlines the importance of the political agreements reached on the reforms of the Mutual Recognition of Professional Qualifications Directive, the Public Procurement and Concessions package and the Alternative Dispute Resolution Directive and Online Dispute Resolution Regulation; urges, therefore, the Commission and the Member States to begin a speedy and comprehensive implementation of all new provisions; |
| --- | --- |

24.

Underlines the importance of the political agreements reached on the reforms of the Mutual Recognition of Professional Qualifications Directive, the Public Procurement and Concessions package and the Alternative Dispute Resolution Directive and Online Dispute Resolution Regulation; urges, therefore, the Commission and the Member States to begin a speedy and comprehensive implementation of all new provisions;

| 25. | Stresses the need for proper transposition of legislation on public procurement and concessions; highlights the importance of public procurement as a key driver of growth, particularly for SMEs; takes the view that the implementation of this reform provides a major opportunity to modernise public administration by making strategic use of public procurement in terms of innovation and sustainability and enhancing the quality and efficiency of public spending in response to specific local and national government requirements; considers these to be the key factors in successfully implementing the rules concerning public procurement and concessions; |
| --- | --- |

25.

Stresses the need for proper transposition of legislation on public procurement and concessions; highlights the importance of public procurement as a key driver of growth, particularly for SMEs; takes the view that the implementation of this reform provides a major opportunity to modernise public administration by making strategic use of public procurement in terms of innovation and sustainability and enhancing the quality and efficiency of public spending in response to specific local and national government requirements; considers these to be the key factors in successfully implementing the rules concerning public procurement and concessions;

| 26. | Believes that, especially in order to combat youth unemployment, the new rules regarding professional qualifications (adopted in November 2013 and amending Directive 2005/36/EC and the IMI Regulation) are an important step towards enhancing the free movement of workers and professionals, foreseeing a high common standard of training and fostering the use of the European professional card; stresses that full and correct implementation of the Directive on the Recognition of Professional Qualifications (and of the Services Directive) is a key driver of EU economic growth; believes at the same time that a reform of the regulated professions is necessary to give young people better access to those professions and create a more dynamic market that gives adequate guarantees to consumers; |
| --- | --- |

26.

Believes that, especially in order to combat youth unemployment, the new rules regarding professional qualifications (adopted in November 2013 and amending Directive 2005/36/EC and the IMI Regulation) are an important step towards enhancing the free movement of workers and professionals, foreseeing a high common standard of training and fostering the use of the European professional card; stresses that full and correct implementation of the Directive on the Recognition of Professional Qualifications (and of the Services Directive) is a key driver of EU economic growth; believes at the same time that a reform of the regulated professions is necessary to give young people better access to those professions and create a more dynamic market that gives adequate guarantees to consumers;

Governance instruments

| 27. | Takes note of the Commission’s response to Parliament’s resolution of 7 February 2013 with regard to the legal basis for the requested legislative proposal that would contain the elements listed in that resolution; believes that the content of specific recommendations made therein still holds valuable ideas for the improved governance of the Single Market; |
| --- | --- |

27.

Takes note of the Commission’s response to Parliament’s resolution of 7 February 2013 with regard to the legal basis for the requested legislative proposal that would contain the elements listed in that resolution; believes that the content of specific recommendations made therein still holds valuable ideas for the improved governance of the Single Market;

| 28. | Takes note of the adjusted structure of the second edition of the Single Market integration report (COM(2013)0785); welcomes the fact that the Commission has thereby also responded to requests made by Parliament in its resolution of 7 February 2013; notes that a number of the measures outlined in that resolution have already led to improved implementation and enforcement of EU law, including more stringent use of the EU Pilot; |
| --- | --- |

28.

Takes note of the adjusted structure of the second edition of the Single Market integration report (COM(2013)0785); welcomes the fact that the Commission has thereby also responded to requests made by Parliament in its resolution of 7 February 2013; notes that a number of the measures outlined in that resolution have already led to improved implementation and enforcement of EU law, including more stringent use of the EU Pilot;

| 29. | Welcomes the Online Single Market Scoreboard, and especially its visual and informative way of presenting the performance of Member States with regard to EU legislation relevant for the functioning of the internal market; believes that the Online Scoreboard should be available in all Union languages if it is to facilitate all European citizens’ understanding of the Single Market cycle and their potentially active role in it; |
| --- | --- |

29.

Welcomes the Online Single Market Scoreboard, and especially its visual and informative way of presenting the performance of Member States with regard to EU legislation relevant for the functioning of the internal market; believes that the Online Scoreboard should be available in all Union languages if it is to facilitate all European citizens’ understanding of the Single Market cycle and their potentially active role in it;

| 30. | Believes that efforts should be made to make the implementation and uniform application of Union law in the Member States more transparent; notes that transposition deadlines are exceeded by an average of nine months, and that there is a rising number of directives for which transposition is overdue by two years or more; considers that every directive should be transposed in a consistent manner and that all transposition measures should be adopted in order to reflect the compromises reached at Union level; |
| --- | --- |

30.

Believes that efforts should be made to make the implementation and uniform application of Union law in the Member States more transparent; notes that transposition deadlines are exceeded by an average of nine months, and that there is a rising number of directives for which transposition is overdue by two years or more; considers that every directive should be transposed in a consistent manner and that all transposition measures should be adopted in order to reflect the compromises reached at Union level;

| 31. | Believes, however, that purely quantitative statistics on the implementation of Single Market legislation are not sufficient and that it is necessary to focus on the quality of how the legislation is implemented within the Member States based on specific key indicators for sectors of the Single Market developed at European level; |
| --- | --- |

31.

Believes, however, that purely quantitative statistics on the implementation of Single Market legislation are not sufficient and that it is necessary to focus on the quality of how the legislation is implemented within the Member States based on specific key indicators for sectors of the Single Market developed at European level;

| 32. | Welcomes the report entitled ‘International Value Chains Intra- and Extra-EU’ as a positive example of the use of specific indicators to assess Single Market integration with specific attention being paid to the spread of production systems across the EU; considers that supporting further initiatives for cross-border supply chains to be developed will drive the removal of long-standing barriers to completing the Single Market and can help to improve the productivity and competitiveness of European firms in the world economy; |
| --- | --- |

32.

Welcomes the report entitled ‘International Value Chains Intra- and Extra-EU’ as a positive example of the use of specific indicators to assess Single Market integration with specific attention being paid to the spread of production systems across the EU; considers that supporting further initiatives for cross-border supply chains to be developed will drive the removal of long-standing barriers to completing the Single Market and can help to improve the productivity and competitiveness of European firms in the world economy;

| 33. | Applauds the improved level of average transposition deficit, now down to 0,6 %; stresses that even a very small deficit in an important policy area can have a hugely detrimental effect on consumers’ and businesses’ opportunities, and thus on the European economy as a whole; |
| --- | --- |

33.

Applauds the improved level of average transposition deficit, now down to 0,6 %; stresses that even a very small deficit in an important policy area can have a hugely detrimental effect on consumers’ and businesses’ opportunities, and thus on the European economy as a whole;

| 34. | Deplores the average duration of infringement proceedings, in particular the fact that cases dealing with services take longest (49,8 months on average); considers that infringement proceedings have revealed a number of limitations in terms of addressing and correcting implementation and application deficiencies of Single Market provisions in a swift manner; calls on Member States to work more effectively with the Commission in resolving cases more swiftly and calls on the Commission to carry out further ‘sweeps’ of national measures which are detrimental to the Single Market; |
| --- | --- |

34.

Deplores the average duration of infringement proceedings, in particular the fact that cases dealing with services take longest (49,8 months on average); considers that infringement proceedings have revealed a number of limitations in terms of addressing and correcting implementation and application deficiencies of Single Market provisions in a swift manner; calls on Member States to work more effectively with the Commission in resolving cases more swiftly and calls on the Commission to carry out further ‘sweeps’ of national measures which are detrimental to the Single Market;

| 35. | Takes the view that infringement proceedings should be considered to be a last resort, to be pursued only after attempts have been made to coordinate and correct the situation, and that the Commission should therefore promote the use of the EU Pilot and other proceedings before taking a Member State to the Court of Justice; insists, furthermore, that every effort should be made towards ensuring more effective use of infringement proceedings for breaches of Union law provisions in the field of the Single Market, and that the Member States and the European Council should continue the further development of infringement proceedings in the framework of future revisions of the Treaty on the Functioning of the European Union; |
| --- | --- |

35.

Takes the view that infringement proceedings should be considered to be a last resort, to be pursued only after attempts have been made to coordinate and correct the situation, and that the Commission should therefore promote the use of the EU Pilot and other proceedings before taking a Member State to the Court of Justice; insists, furthermore, that every effort should be made towards ensuring more effective use of infringement proceedings for breaches of Union law provisions in the field of the Single Market, and that the Member States and the European Council should continue the further development of infringement proceedings in the framework of future revisions of the Treaty on the Functioning of the European Union;

| 36. | Supports the Commission’s actions to improve the cooperation of national authorities with regard to the functioning of the Single Market; agrees that a permanent IT mechanism facilitating the exchange of relevant information could significantly improve the situation, as a group of national experts meeting a few times per year is hardly the proper way to deal with such a priority matter; |
| --- | --- |

36.

Supports the Commission’s actions to improve the cooperation of national authorities with regard to the functioning of the Single Market; agrees that a permanent IT mechanism facilitating the exchange of relevant information could significantly improve the situation, as a group of national experts meeting a few times per year is hardly the proper way to deal with such a priority matter;

| 37. | Reiterates the importance of the proper functioning of the Internal Market Information (IMI) system, recently given a proper regulatory basis and currently being expanded to encompass new policy areas and sectors; invites the Commission to inform Parliament about the operation of the machine translation tool introduced to facilitate communication between national, regional and local authorities; |
| --- | --- |

37.

Reiterates the importance of the proper functioning of the Internal Market Information (IMI) system, recently given a proper regulatory basis and currently being expanded to encompass new policy areas and sectors; invites the Commission to inform Parliament about the operation of the machine translation tool introduced to facilitate communication between national, regional and local authorities;

| 38. | Calls on the Member States to implement in full the measures provided for under the digital agenda and step up efforts to modernise public administration — not least through the swift implementation of measures related to e-government, e-health, e-invoicing and e-procurement — with a view to providing more and better digital services for citizens and businesses across Europe, reducing costs and enhancing the efficiency of the public sector; |
| --- | --- |

38.

Calls on the Member States to implement in full the measures provided for under the digital agenda and step up efforts to modernise public administration — not least through the swift implementation of measures related to e-government, e-health, e-invoicing and e-procurement — with a view to providing more and better digital services for citizens and businesses across Europe, reducing costs and enhancing the efficiency of the public sector;

| 39. | Notes that the problem-solving network SOLVIT remains underused; calls on the Member States to ensure that adequate resources are provided for the SOLVIT network and the Points of Single Contact, as required by the Services Directive; calls on the Commission and the Member States alike to take further steps to disseminate information about the availability of these instruments among businesses and entrepreneurs; considers, in addition, that Member States should initiate a more intensive and broader exchange of best practices; |
| --- | --- |

39.

Notes that the problem-solving network SOLVIT remains underused; calls on the Member States to ensure that adequate resources are provided for the SOLVIT network and the Points of Single Contact, as required by the Services Directive; calls on the Commission and the Member States alike to take further steps to disseminate information about the availability of these instruments among businesses and entrepreneurs; considers, in addition, that Member States should initiate a more intensive and broader exchange of best practices;

| 40. | Takes note of the continuous increase of the use of the Your Europe and Your Europe Advice portals, which should be able to provide the necessary information to anyone moving around the European Union; |
| --- | --- |

40.

Takes note of the continuous increase of the use of the Your Europe and Your Europe Advice portals, which should be able to provide the necessary information to anyone moving around the European Union;

| 41. | Welcomes the Single Market Month which, between 23 September and 23 October 2013, brought together citizens from across Europe, policy-makers, experts and EU leaders in an online debate and in related national events to discuss the progress made so far, the challenges remaining and ideas for the future of the Single Market, and calls on the Commission to take good stock of the concerns and suggestions put forward by the participants; calls on the Commission to evaluate the format and the effectiveness of the 2013 exercise, including its ability to reach out to citizens, businesses and consumers, and provide them with a real opportunity to help shape the Single Market; |
| --- | --- |

41.

Welcomes the Single Market Month which, between 23 September and 23 October 2013, brought together citizens from across Europe, policy-makers, experts and EU leaders in an online debate and in related national events to discuss the progress made so far, the challenges remaining and ideas for the future of the Single Market, and calls on the Commission to take good stock of the concerns and suggestions put forward by the participants; calls on the Commission to evaluate the format and the effectiveness of the 2013 exercise, including its ability to reach out to citizens, businesses and consumers, and provide them with a real opportunity to help shape the Single Market;

o

o o

| 42. | Instructs its President to forward this resolution to the Commission and the Council, and to the European Council and the parliaments and governments of the Member States. |
| --- | --- |

42.

Instructs its President to forward this resolution to the Commission and the Council, and to the European Council and the parliaments and governments of the Member States.

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(1)  Texts adopted, P7_TA(2013)0054.

(2)  OJ C 332 E, 15.11.2013, p. 72.

(3)  OJ C 296 E, 2.10.2012, p. 51.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/47 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/47

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P7_TA(2014)0131

Plant breeding

European Parliament resolution of 25 February 2014 on plant breeding: what options to increase quality and yields? (2013/2099(INI))

(2017/C 285/06)

The European Parliament,

| — | having regard to the 2009 report of the UN Food and Agriculture Organisation (FAO) entitled ‘How to feed the world in 2050’, |
| --- | --- |

—

having regard to the 2009 report of the UN Food and Agriculture Organisation (FAO) entitled ‘How to feed the world in 2050’,

| — | having regard to the International Convention for the Protection of New Varieties of Plants (UPOV Convention), |
| --- | --- |

—

having regard to the International Convention for the Protection of New Varieties of Plants (UPOV Convention),

| — | having regard to the FAO International Treaty on Plant Genetic Resources for Food and Agriculture, |
| --- | --- |

—

having regard to the FAO International Treaty on Plant Genetic Resources for Food and Agriculture,

| — | having regard to the April 2013 report entitled ‘Headed for 9 billion — Can Europe afford to miss the potential of GM crops’ by Ivar Virgin/Stockholm Environment Institute, Timbro, |
| --- | --- |

—

having regard to the April 2013 report entitled ‘Headed for 9 billion — Can Europe afford to miss the potential of GM crops’ by Ivar Virgin/Stockholm Environment Institute, Timbro,

| — | having regard to the 1993 FAO report entitled ‘Harvesting nature’s diversity’, |
| --- | --- |

—

having regard to the 1993 FAO report entitled ‘Harvesting nature’s diversity’,

| — | having regard to the website on the Svalbard Global Seed Vault (1), |
| --- | --- |

—

having regard to the website on the Svalbard Global Seed Vault (1),

| — | having regard to the Commission Communication of 27 March 2001 entitled ‘Biodiversity action plan for the conservation of natural resources’ (COM(2001)0162), |
| --- | --- |

—

having regard to the Commission Communication of 27 March 2001 entitled ‘Biodiversity action plan for the conservation of natural resources’ (COM(2001)0162),

| — | having regard to Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed (2), |
| --- | --- |

—

having regard to Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed (2),

| — | having regard to Council Directives 2002/53/EC of 13 June 2002 on the common catalogue of varieties of agricultural plant species (3) and 2002/55/EC of 13 June 2002 on the marketing of vegetable seed (4), |
| --- | --- |

—

having regard to Council Directives 2002/53/EC of 13 June 2002 on the common catalogue of varieties of agricultural plant species (3) and 2002/55/EC of 13 June 2002 on the marketing of vegetable seed (4),

| — | having regard to Regulation (EC) No 1830/2003 of the European Parliament and of the Council of 22 September 2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms and amending Directive 2001/18/EC (5), |
| --- | --- |

—

having regard to Regulation (EC) No 1830/2003 of the European Parliament and of the Council of 22 September 2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms and amending Directive 2001/18/EC (5),

| — | having regard to Council Regulation (EC) No 2100/94 of 27 July 1994 on Community plant variety rights (6), |
| --- | --- |

—

having regard to Council Regulation (EC) No 2100/94 of 27 July 1994 on Community plant variety rights (6),

| — | having regard to the note by the UN Secretary-General entitled ‘The right to food — Seed policies and the right to food: enhancing agrobiodiversity and encouraging innovation’ (A/64/170, 2009, UN General Assembly), |
| --- | --- |

—

having regard to the note by the UN Secretary-General entitled ‘The right to food — Seed policies and the right to food: enhancing agrobiodiversity and encouraging innovation’ (A/64/170, 2009, UN General Assembly),

| — | having regard to the conclusions of the International Assessment of Agricultural Knowledge, Science and Technology for Development (IAASTD), an intergovernmental process supported by the FAO, the Global Environment Facility, the United Nations Development Programme, the United Nations Environment Programme, UNESCO, the World Bank and the WHO, |
| --- | --- |

—

having regard to the conclusions of the International Assessment of Agricultural Knowledge, Science and Technology for Development (IAASTD), an intergovernmental process supported by the FAO, the Global Environment Facility, the United Nations Development Programme, the United Nations Environment Programme, UNESCO, the World Bank and the WHO,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Agriculture and Rural Development (A7-0044/2014), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development (A7-0044/2014),

| A. | whereas its Committee on Agriculture and Rural Development aims, by means of this report, to launch a thorough debate and inquiry concerning the whole situation with regard to plant-breeding in European and global agriculture; |
| --- | --- |

A.

whereas its Committee on Agriculture and Rural Development aims, by means of this report, to launch a thorough debate and inquiry concerning the whole situation with regard to plant-breeding in European and global agriculture;

| B. | whereas the plant-breeding industry is of fundamental importance as regards the productivity, diversity, health and quality of agriculture, horticulture, food and feed production and the environment; |
| --- | --- |

B.

whereas the plant-breeding industry is of fundamental importance as regards the productivity, diversity, health and quality of agriculture, horticulture, food and feed production and the environment;

| C. | whereas, according to reports primarily from UN bodies the FAO and the WHO, as well as from the UN Intergovernmental Panel on Climate Change, the world population is expected to increase from the current figure of 7 billion to around 9 billion between 2040 and 2050, and could, moreover, reach as high as 10-11 billion; |
| --- | --- |

C.

whereas, according to reports primarily from UN bodies the FAO and the WHO, as well as from the UN Intergovernmental Panel on Climate Change, the world population is expected to increase from the current figure of 7 billion to around 9 billion between 2040 and 2050, and could, moreover, reach as high as 10-11 billion;

| D. | whereas this population growth will place extreme demands on agriculture, in particular the increased productivity that will be needed to meet the substantial rise in demand for food, and whereas the FAO estimates that the food supply will need to increase by 70 % over the next 30-40 years; |
| --- | --- |

D.

whereas this population growth will place extreme demands on agriculture, in particular the increased productivity that will be needed to meet the substantial rise in demand for food, and whereas the FAO estimates that the food supply will need to increase by 70 % over the next 30-40 years;

| E. | whereas because between 30 % and 50 % of food produced in the EU is wasted, with the global average being around 30 %, a substantial part of the increased food supply needed could be met by better, more efficient and sustainable food production practices in developed nations in conjunction with enlarged storage and distribution systems in developing nations; |
| --- | --- |

E.

whereas because between 30 % and 50 % of food produced in the EU is wasted, with the global average being around 30 %, a substantial part of the increased food supply needed could be met by better, more efficient and sustainable food production practices in developed nations in conjunction with enlarged storage and distribution systems in developing nations;

| F. | whereas the main problem remains of how populations in different parts of the world will be able to feed themselves, as the cultivable land area declines due to inappropriate land use, including poor agricultural practices, a problem which has been exacerbated by climate change, and whereas opportunities to increase the area under cultivation are extremely limited, given that in many parts of the world it is thought to be quite unrealistic to bring new agricultural land into use; |
| --- | --- |

F.

whereas the main problem remains of how populations in different parts of the world will be able to feed themselves, as the cultivable land area declines due to inappropriate land use, including poor agricultural practices, a problem which has been exacerbated by climate change, and whereas opportunities to increase the area under cultivation are extremely limited, given that in many parts of the world it is thought to be quite unrealistic to bring new agricultural land into use;

| G. | whereas the FAO estimates that it will be possible to achieve approximately 10 % of an increase in agricultural production by cultivating new farmland, which means that around 90 % will have to be achieved by increasing the yields from existing farmland, and whereas products must also continue to be of a high quality; |
| --- | --- |

G.

whereas the FAO estimates that it will be possible to achieve approximately 10 % of an increase in agricultural production by cultivating new farmland, which means that around 90 % will have to be achieved by increasing the yields from existing farmland, and whereas products must also continue to be of a high quality;

| H. | whereas over-exploitation of farmland could impoverish the soil and, in the worst case scenario, lead to erosion and desertification; whereas the same applies to woodland, because converting woodland to farmland would have such a serious impact on the climate, water management and on biodiversity that it is an inconceivable option for increasing food production; |
| --- | --- |

H.

whereas over-exploitation of farmland could impoverish the soil and, in the worst case scenario, lead to erosion and desertification; whereas the same applies to woodland, because converting woodland to farmland would have such a serious impact on the climate, water management and on biodiversity that it is an inconceivable option for increasing food production;

| I. | whereas, in addition to a reduction in the area of farmland, agricultural productivity has levelled off, and worrying trends, including falling productivity, have been noted, and will have a seriously adverse impact on agriculture in the future and on human food needs; |
| --- | --- |

I.

whereas, in addition to a reduction in the area of farmland, agricultural productivity has levelled off, and worrying trends, including falling productivity, have been noted, and will have a seriously adverse impact on agriculture in the future and on human food needs;

| J. | whereas food production depends not only on having sufficient land mass but also on factors such as the climate, water, energy, and access to nutrients; whereas in the future these basic resources will be more limited, and this lack of resources is likely to have an adverse effect on the increased demands on agricultural land use, production and viability; |
| --- | --- |

J.

whereas food production depends not only on having sufficient land mass but also on factors such as the climate, water, energy, and access to nutrients; whereas in the future these basic resources will be more limited, and this lack of resources is likely to have an adverse effect on the increased demands on agricultural land use, production and viability;

| K. | whereas major changes in the climate are likely to occur in the future; whereas for Europe this means a significantly drier climate in the southern regions, which are areas of great importance for the production of fruit and vegetables; whereas in central and northern latitudes within Europe, meanwhile, winters are expected to be milder and summers are expected to have considerably more rainfall than at present; whereas the consequences are very likely to include an increase in animal and plant diseases and a need for new farming techniques; |
| --- | --- |

K.

whereas major changes in the climate are likely to occur in the future; whereas for Europe this means a significantly drier climate in the southern regions, which are areas of great importance for the production of fruit and vegetables; whereas in central and northern latitudes within Europe, meanwhile, winters are expected to be milder and summers are expected to have considerably more rainfall than at present; whereas the consequences are very likely to include an increase in animal and plant diseases and a need for new farming techniques;

| L. | whereas it is undoubtedly the case that European agriculture faces enormous challenges, and with more extreme weather conditions, such as droughts, floods and other natural disasters, farming will need to adapt in order to safeguard production; whereas the crops seen in the fields today cannot remain the same in the future if we are to meet the increased need for food; |
| --- | --- |

L.

whereas it is undoubtedly the case that European agriculture faces enormous challenges, and with more extreme weather conditions, such as droughts, floods and other natural disasters, farming will need to adapt in order to safeguard production; whereas the crops seen in the fields today cannot remain the same in the future if we are to meet the increased need for food;

| M. | whereas the length of the protection of variety rights in respect of those plants that require an extended development period prior to the commercialisation stage is not sufficient to encourage commercial investment in their research and development; |
| --- | --- |

M.

whereas the length of the protection of variety rights in respect of those plants that require an extended development period prior to the commercialisation stage is not sufficient to encourage commercial investment in their research and development;

| 1. | Stresses that, in order to respond to forthcoming challenges, such as future food supply needs and climate change, it is exceptionally important to have an effective and competitive plant-breeding sector; |
| --- | --- |

1.

Stresses that, in order to respond to forthcoming challenges, such as future food supply needs and climate change, it is exceptionally important to have an effective and competitive plant-breeding sector;

| 2. | Notwithstanding the primary importance of healthy soil and diversity as regards agro-ecosystem resilience, stresses the importance of developing varieties that can cope with the conditions we expect to encounter in the future, for example increased precipitation and an estimated increased occurrence of plant diseases; notes that it is also important to preserve and develop existing diversity in Europe, both within the agro-ecosystem as a whole and as regards genetic diversity within strains and the absolute number of different breeds and landraces, as all these are needed to ensure that we can adapt to the challenges of climate change; |
| --- | --- |

2.

Notwithstanding the primary importance of healthy soil and diversity as regards agro-ecosystem resilience, stresses the importance of developing varieties that can cope with the conditions we expect to encounter in the future, for example increased precipitation and an estimated increased occurrence of plant diseases; notes that it is also important to preserve and develop existing diversity in Europe, both within the agro-ecosystem as a whole and as regards genetic diversity within strains and the absolute number of different breeds and landraces, as all these are needed to ensure that we can adapt to the challenges of climate change;

| 3. | Notes the need for crops that, for example, absorb nitrogen and phosphorus effectively, are more tolerant of drought and heavier precipitation, are resistant to pests and can withstand changes in temperature; underlines the fact that it is also necessary to develop perennial crops, i.e. multiannual crops; notes that, with multiannual crops, the land need not be tilled every year, making farming more environmentally sound; |
| --- | --- |

3.

Notes the need for crops that, for example, absorb nitrogen and phosphorus effectively, are more tolerant of drought and heavier precipitation, are resistant to pests and can withstand changes in temperature; underlines the fact that it is also necessary to develop perennial crops, i.e. multiannual crops; notes that, with multiannual crops, the land need not be tilled every year, making farming more environmentally sound;

| 4. | Stresses that, as it takes on average 10 years to develop a new variety, from the research stage to the finished seed, and additional time to trial and commercially propagate that variety, even now there is a need to encourage substantially more research investment in order to meet future food needs and cope with climate change; |
| --- | --- |

4.

Stresses that, as it takes on average 10 years to develop a new variety, from the research stage to the finished seed, and additional time to trial and commercially propagate that variety, even now there is a need to encourage substantially more research investment in order to meet future food needs and cope with climate change;

| 5. | Stresses that, as opportunities to bring new land into use for farming are very limited, it is vital to facilitate the process of developing new crops that are characterised by their adaptability to the environmental conditions, suitability as regards the need for them to cope with scarce resources, support for sustainability goals, sufficient productivity and high-quality, and underlines the fact that it is also important to develop crops which are already widely used, in order to inject flexibility into future technical and scientific developments in the crop sector; |
| --- | --- |

5.

Stresses that, as opportunities to bring new land into use for farming are very limited, it is vital to facilitate the process of developing new crops that are characterised by their adaptability to the environmental conditions, suitability as regards the need for them to cope with scarce resources, support for sustainability goals, sufficient productivity and high-quality, and underlines the fact that it is also important to develop crops which are already widely used, in order to inject flexibility into future technical and scientific developments in the crop sector;

| 6. | Notes that the continuing loss of specific plant protection products for minor uses is having a very significant impact on the quality and yields of fruit and vegetables and is jeopardising the production of some speciality crops; stresses the need to find both short- and long-term solutions as regards the cultivation of these crops; |
| --- | --- |

6.

Notes that the continuing loss of specific plant protection products for minor uses is having a very significant impact on the quality and yields of fruit and vegetables and is jeopardising the production of some speciality crops; stresses the need to find both short- and long-term solutions as regards the cultivation of these crops;

| 7. | Notes that it can take on average 10 years to develop a new variety of wheat, rape or any other crop, and that it is therefore important to develop and use new plant-breeding techniques which respond to societal and agricultural demands and to be open to the technologies available in order to meet those needs and enhance the competitiveness of the agriculture and horticulture sectors; expresses concern at the Commission’s delay in assessing new breeding techniques, and calls on the Commission, as a matter of urgency, to clarify their regulatory status; |
| --- | --- |

7.

Notes that it can take on average 10 years to develop a new variety of wheat, rape or any other crop, and that it is therefore important to develop and use new plant-breeding techniques which respond to societal and agricultural demands and to be open to the technologies available in order to meet those needs and enhance the competitiveness of the agriculture and horticulture sectors; expresses concern at the Commission’s delay in assessing new breeding techniques, and calls on the Commission, as a matter of urgency, to clarify their regulatory status;

| 8. | Calls on the Commission to use the Horizon 2020 Framework Programme for Research and Innovation to fund applied research that supports the development of new, innovative planting-breeding techniques such as accelerated breeding; |
| --- | --- |

8.

Calls on the Commission to use the Horizon 2020 Framework Programme for Research and Innovation to fund applied research that supports the development of new, innovative planting-breeding techniques such as accelerated breeding;

| 9. | Notes the estimates put forward by the FAO that the diversity of cultivated crops declined by 75 % during the 20th century and that a third of today’s diversity could disappear by 2050; stresses that, in order to ensure long-term food security for a growing world population and resilience in food production systems, it is of crucial importance that we protect and preserve European biological and genetic diversity; believes that it is vital, therefore, to preserve the vast majority of local and regional varieties in situ and on-farm, in order to maintain and increase genetic and cultural diversity both within strains and breeds and in terms of their absolute number; |
| --- | --- |

9.

Notes the estimates put forward by the FAO that the diversity of cultivated crops declined by 75 % during the 20th century and that a third of today’s diversity could disappear by 2050; stresses that, in order to ensure long-term food security for a growing world population and resilience in food production systems, it is of crucial importance that we protect and preserve European biological and genetic diversity; believes that it is vital, therefore, to preserve the vast majority of local and regional varieties in situ and on-farm, in order to maintain and increase genetic and cultural diversity both within strains and breeds and in terms of their absolute number;

| 10. | Stresses that, to make it possible to develop new varieties, it is vital to have many genetic variations available; believes, therefore, that the rapid decline is cause for serious concern; |
| --- | --- |

10.

Stresses that, to make it possible to develop new varieties, it is vital to have many genetic variations available; believes, therefore, that the rapid decline is cause for serious concern;

| 11. | Welcomes both the development of partnerships between government, industry and research organisations, for example in the area of participatory breeding, aimed at stimulating research in pre-breeding and breeding, and the characterisation and maintenance of genetic resources; draws attention to the benefits of strengthening and extending such partnerships as well as transnational initiatives in this field, and stresses the need to ensure that support schemes are structured in a way that maximises the impact and coherence of investments overall; |
| --- | --- |

11.

Welcomes both the development of partnerships between government, industry and research organisations, for example in the area of participatory breeding, aimed at stimulating research in pre-breeding and breeding, and the characterisation and maintenance of genetic resources; draws attention to the benefits of strengthening and extending such partnerships as well as transnational initiatives in this field, and stresses the need to ensure that support schemes are structured in a way that maximises the impact and coherence of investments overall;

| 12. | Believes that it is vital, with a view to Europe’s future, to work seriously to preserve our genetic heritage, and that it is particularly important to cultivate and preserve local and regional varieties in order to conserve both genetic and cultural diversity; |
| --- | --- |

12.

Believes that it is vital, with a view to Europe’s future, to work seriously to preserve our genetic heritage, and that it is particularly important to cultivate and preserve local and regional varieties in order to conserve both genetic and cultural diversity;

| 13. | Notes that, in an attempt to preserve and maintain genetic variety in agriculture and plant-breeding, collections of seed and plant material are being gathered at various gene banks around the world; notes in particular that there is a gene bank on Svalbard containing genetic material from all over the world, and stresses the fact that this is a very important and ambitious project aimed at safeguarding genetic diversity for the future; |
| --- | --- |

13.

Notes that, in an attempt to preserve and maintain genetic variety in agriculture and plant-breeding, collections of seed and plant material are being gathered at various gene banks around the world; notes in particular that there is a gene bank on Svalbard containing genetic material from all over the world, and stresses the fact that this is a very important and ambitious project aimed at safeguarding genetic diversity for the future;

| 14. | Believes that it is important to preserve the vast majority of varieties and plant genetic resources in situ and on-farm; draws attention to the fact that public institutions are currently not making enough effort or providing enough support to facilitate this goal; |
| --- | --- |

14.

Believes that it is important to preserve the vast majority of varieties and plant genetic resources in situ and on-farm; draws attention to the fact that public institutions are currently not making enough effort or providing enough support to facilitate this goal;

| 15. | Stresses that this and other similar projects are vital to the future of plant breeding, agricultural production and the food supply; |
| --- | --- |

15.

Stresses that this and other similar projects are vital to the future of plant breeding, agricultural production and the food supply;

| 16. | Underlines the fact that plant-breeding research and practice is key to the future of agricultural production, in particular work on the development of existing and new varieties, with a view to safeguarding future food supply; |
| --- | --- |

16.

Underlines the fact that plant-breeding research and practice is key to the future of agricultural production, in particular work on the development of existing and new varieties, with a view to safeguarding future food supply;

| 17. | Acknowledges the importance of guaranteeing access to genetic resources as the basis for plant breeding; upholds in particular the fundamental principle of the international system of plant breeders’ rights enshrined in the UPOV Convention, and stresses that the use of a protected variety for further breeding and the exploitation of a newly bred variety cannot be prevented by the holders of such rights; notes that this fundamental principle is also recognised in Article 13.2(d)(ii) of the FAO International Treaty on Plant Genetic Resources for Food and Agriculture; |
| --- | --- |

17.

Acknowledges the importance of guaranteeing access to genetic resources as the basis for plant breeding; upholds in particular the fundamental principle of the international system of plant breeders’ rights enshrined in the UPOV Convention, and stresses that the use of a protected variety for further breeding and the exploitation of a newly bred variety cannot be prevented by the holders of such rights; notes that this fundamental principle is also recognised in Article 13.2(d)(ii) of the FAO International Treaty on Plant Genetic Resources for Food and Agriculture;

| 18. | Understands that it is both costly and time-consuming to develop new improved varieties, but stresses that this is needed in order to maintain Europe’s competitiveness in this area; suggests that such costs could be compensated for by extending the length of plant variety protection rights after a proper impact assessment; |
| --- | --- |

18.

Understands that it is both costly and time-consuming to develop new improved varieties, but stresses that this is needed in order to maintain Europe’s competitiveness in this area; suggests that such costs could be compensated for by extending the length of plant variety protection rights after a proper impact assessment;

| 19. | Expresses its concern at the fact that the global plant-breeding market is dominated by just a few large multinational undertakings that invest in only a limited number of varieties, while in Europe the plant-breeding market remains more diversified in comparison with the situation globally, with small and medium-sized enterprises accounting for a substantial part of the sector; stresses that the European plant-breeding market must be further improved in the interest of healthy competition; |
| --- | --- |

19.

Expresses its concern at the fact that the global plant-breeding market is dominated by just a few large multinational undertakings that invest in only a limited number of varieties, while in Europe the plant-breeding market remains more diversified in comparison with the situation globally, with small and medium-sized enterprises accounting for a substantial part of the sector; stresses that the European plant-breeding market must be further improved in the interest of healthy competition;

| 20. | Believes that large global plant-breeding undertakings have acquired a worrying degree of influence over global agriculture and agricultural policy; emphasises the role of publicly-funded independent scientific research carried out in the long-term public interest as regards long-term food security; |
| --- | --- |

20.

Believes that large global plant-breeding undertakings have acquired a worrying degree of influence over global agriculture and agricultural policy; emphasises the role of publicly-funded independent scientific research carried out in the long-term public interest as regards long-term food security;

| 21. | Believes furthermore that the larger undertakings should better exploit and share their plant-breeding techniques, which, if used correctly, could help to solve problems relating to the environment, the climate and the food supply; |
| --- | --- |

21.

Believes furthermore that the larger undertakings should better exploit and share their plant-breeding techniques, which, if used correctly, could help to solve problems relating to the environment, the climate and the food supply;

| 22. | Notes the fact that SMEs have an important role to play in the seed market and plant-breeding sector in the EU, in view of their significant contribution to commercial plant breeding, and draws attention to their ability to turn research and knowledge into new commercial products; as plant breeding becomes an increasingly research-intensive and high-tech sector, however, draws attention to the fact that the cost and tools required to develop and then market a new variety could constitute a barrier to smaller companies; believes that an adequate length of protection of their plant variety rights and full access to research results could contribute significantly to levelling the playing field, and stresses that it is of vital importance that investment in these companies in the EU be maintained going forward; |
| --- | --- |

22.

Notes the fact that SMEs have an important role to play in the seed market and plant-breeding sector in the EU, in view of their significant contribution to commercial plant breeding, and draws attention to their ability to turn research and knowledge into new commercial products; as plant breeding becomes an increasingly research-intensive and high-tech sector, however, draws attention to the fact that the cost and tools required to develop and then market a new variety could constitute a barrier to smaller companies; believes that an adequate length of protection of their plant variety rights and full access to research results could contribute significantly to levelling the playing field, and stresses that it is of vital importance that investment in these companies in the EU be maintained going forward;

| 23. | Stresses that it is important for Europe to win back and further develop European plant-breeding research and practice; |
| --- | --- |

23.

Stresses that it is important for Europe to win back and further develop European plant-breeding research and practice;

| 24. | Stresses the importance of diversity of species in Europe, and of European plant-breeding research that focuses on European needs, including plants, cereals and fruits which are appropriate for local and regional conditions; notes that any developments in this area will help European farmers improve the quantity and quality of their food and feed production; |
| --- | --- |

24.

Stresses the importance of diversity of species in Europe, and of European plant-breeding research that focuses on European needs, including plants, cereals and fruits which are appropriate for local and regional conditions; notes that any developments in this area will help European farmers improve the quantity and quality of their food and feed production;

| 25. | Stresses that Europe needs a range of diverse actors in the plant-breeding sector and that it should become possible for more undertakings and research centres to carry out research projects and to operate in the plant-breeding sector; |
| --- | --- |

25.

Stresses that Europe needs a range of diverse actors in the plant-breeding sector and that it should become possible for more undertakings and research centres to carry out research projects and to operate in the plant-breeding sector;

| 26. | Believes that plant-breeding research, if it is to continue, requires long-term financial support, and that it is untenable to grant financial support to a plant-breeding research project for only a relatively short period, as it takes on average 10 years to develop a new variety; |
| --- | --- |

26.

Believes that plant-breeding research, if it is to continue, requires long-term financial support, and that it is untenable to grant financial support to a plant-breeding research project for only a relatively short period, as it takes on average 10 years to develop a new variety;

| 27. | Stresses that the EU, under the Common Agricultural Policy, has a duty to shoulder its responsibility to meet future challenges in the area of agriculture and plant-breeding in Europe; believes that the EU should play a leading role in the development of sustainable plant-breeding techniques and in promoting agricultural and plant-breeding research and practice; |
| --- | --- |

27.

Stresses that the EU, under the Common Agricultural Policy, has a duty to shoulder its responsibility to meet future challenges in the area of agriculture and plant-breeding in Europe; believes that the EU should play a leading role in the development of sustainable plant-breeding techniques and in promoting agricultural and plant-breeding research and practice;

| 28. | Stresses that fundamental plant-breeding research in the EU should be funded by the EU and its Member States; does not believe it possible for small and medium-sized plant-breeding undertakings in the EU to fund much of the research themselves and at the same time be competitive; |
| --- | --- |

28.

Stresses that fundamental plant-breeding research in the EU should be funded by the EU and its Member States; does not believe it possible for small and medium-sized plant-breeding undertakings in the EU to fund much of the research themselves and at the same time be competitive;

| 29. | Calls on the Commission to allocate financial resources to and create a coherent structure for plant-breeding research and practice within research programmes and other suitable policy instruments, so that European diversity can be preserved and developed; believes it important, in particular, that research projects be given enough time and funding to achieve results; stresses that it is also very important that plant-breeding undertakings have unrestricted access to research results, and that there should be a range of different research projects, so that failure would have a lesser impact; |
| --- | --- |

29.

Calls on the Commission to allocate financial resources to and create a coherent structure for plant-breeding research and practice within research programmes and other suitable policy instruments, so that European diversity can be preserved and developed; believes it important, in particular, that research projects be given enough time and funding to achieve results; stresses that it is also very important that plant-breeding undertakings have unrestricted access to research results, and that there should be a range of different research projects, so that failure would have a lesser impact;

| 30. | Underlines the fact that there will be a continuous need for highly skilled workers to meet future demands in plant-breeding research, and that plant science and plant breeding should be further promoted in schools, universities and among the general public; points in particular to the success of the ‘Fascination of Plants Day’ on 18 May 2013; |
| --- | --- |

30.

Underlines the fact that there will be a continuous need for highly skilled workers to meet future demands in plant-breeding research, and that plant science and plant breeding should be further promoted in schools, universities and among the general public; points in particular to the success of the ‘Fascination of Plants Day’ on 18 May 2013;

| 31. | Stresses that the ultimate aim of legislation on plant-breeding should be to facilitate both the application of plant-breeding techniques and research into agriculture and plant-breeding; believes that it should result in products being better adapted to the local climate and geographical conditions, which would ultimately lead to large yields that are safe for people’s health and the environment; |
| --- | --- |

31.

Stresses that the ultimate aim of legislation on plant-breeding should be to facilitate both the application of plant-breeding techniques and research into agriculture and plant-breeding; believes that it should result in products being better adapted to the local climate and geographical conditions, which would ultimately lead to large yields that are safe for people’s health and the environment;

| 32. | Notes that, with today’s technique-based plant-breeding legislation, it has proven difficult, after the event, to define what technique was used at the time of plant-breeding, which serves to confirm the difficulties posed by technique-based laws; |
| --- | --- |

32.

Notes that, with today’s technique-based plant-breeding legislation, it has proven difficult, after the event, to define what technique was used at the time of plant-breeding, which serves to confirm the difficulties posed by technique-based laws;

| 33. | Calls on the Commission, in view of the challenges and the current state of the European and global plant-breeding sector, as described above, to examine and analyse the situation carefully and to propose effective and practical measures in order to meet the enormous challenges facing Europe’s breeders and farmers; |
| --- | --- |

33.

Calls on the Commission, in view of the challenges and the current state of the European and global plant-breeding sector, as described above, to examine and analyse the situation carefully and to propose effective and practical measures in order to meet the enormous challenges facing Europe’s breeders and farmers;

| 34. | Encourages the Commission to elaborate an overall strategy on agricultural inputs, especially in relation to plant breeding; urges the Commission to provide a policy framework that supports the agricultural input sector as one of the key areas for the development of agricultural productivity and sustainability; |
| --- | --- |

34.

Encourages the Commission to elaborate an overall strategy on agricultural inputs, especially in relation to plant breeding; urges the Commission to provide a policy framework that supports the agricultural input sector as one of the key areas for the development of agricultural productivity and sustainability;

| 35. | Instructs its President to forward this resolution to the Council and the Commission. |
| --- | --- |

35.

Instructs its President to forward this resolution to the Council and the Commission.

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(1)  http://www.regjeringen.no/en/dep/lmd/campain/svalbard-global-seed-vault.html?id=462220.

(2)  OJ L 268, 18.10.2003, p. 1.

(3)  OJ L 193, 20.7.2002, p. 1.

(4)  OJ L 193, 20.7.2002, p. 33.

(5)  OJ L 268, 18.10.2003, p. 24.

(6)  OJ L 227, 1.9.1994, p. 1.

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Wednesday 26 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/52 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/52

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P7_TA(2014)0132

Cohesion Policy

European Parliament resolution of 26 February 2014 on the European Commission’s 7th and 8th progress reports on the EU Cohesion Policy and the Strategic Report 2013 on programme implementation 2007-2013 (2013/2008(INI))

(2017/C 285/07)

The European Parliament,

| — | having regard to the Commission’s ‘Seventh progress report on economic, social and territorial cohesion’, of 24 November 2011 (COM(2011)0776), and its accompanying staff working paper (SEC(2011)1372), |
| --- | --- |

—

having regard to the Commission’s ‘Seventh progress report on economic, social and territorial cohesion’, of 24 November 2011 (COM(2011)0776), and its accompanying staff working paper (SEC(2011)1372),

| — | having regard to the Commission’s ‘Eighth progress report on economic, social and territorial cohesion — The regional and urban dimension of the crisis’, of 26 June 2013 (COM(2013)0463), and its accompanying staff working document (SWD(2013)0232), |
| --- | --- |

—

having regard to the Commission’s ‘Eighth progress report on economic, social and territorial cohesion — The regional and urban dimension of the crisis’, of 26 June 2013 (COM(2013)0463), and its accompanying staff working document (SWD(2013)0232),

| — | having regard to the Commission’s ‘Cohesion policy strategic report 2013 on programme implementation 2007-2013’, of 18 April 2013 (COM(2013)0210), and its accompanying staff working document (SWD(2013)0129), |
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—

having regard to the Commission’s ‘Cohesion policy strategic report 2013 on programme implementation 2007-2013’, of 18 April 2013 (COM(2013)0210), and its accompanying staff working document (SWD(2013)0129),

| — | having regard to the Commission proposal of 6 October 2011 for a regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund covered by the Common Strategic Framework and laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1083/2006 (COM(2011)0615), |
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—

having regard to the Commission proposal of 6 October 2011 for a regulation of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund covered by the Common Strategic Framework and laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1083/2006 (COM(2011)0615),

| — | having regard to its resolution of 11 March 2009 on Cohesion Policy: investing in the real economy (1), |
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—

having regard to its resolution of 11 March 2009 on Cohesion Policy: investing in the real economy (1),

| — | having regard to its resolution of 7 October 2010 on EU cohesion and regional policy after 2013 (2), |
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—

having regard to its resolution of 7 October 2010 on EU cohesion and regional policy after 2013 (2),

| — | having regard to its resolution of 20 May 2010 on the contribution of the cohesion policy to the achievement of Lisbon and the EU2020 Objectives (3), |
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—

having regard to its resolution of 20 May 2010 on the contribution of the cohesion policy to the achievement of Lisbon and the EU2020 Objectives (3),

| — | having regard to the Commission proposal of 6 October 2011 for a regulation of the European Parliament and of the Council on specific provisions concerning the European Regional Development Fund and the Investment for growth and jobs goal and repealing Regulation (EC) No 1080/2006 (COM(2011)0614), |
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—

having regard to the Commission proposal of 6 October 2011 for a regulation of the European Parliament and of the Council on specific provisions concerning the European Regional Development Fund and the Investment for growth and jobs goal and repealing Regulation (EC) No 1080/2006 (COM(2011)0614),

| — | having regard to the 4th CoR Monitoring Report on Europe 2020, Committee of the Regions, October 2013, |
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—

having regard to the 4th CoR Monitoring Report on Europe 2020, Committee of the Regions, October 2013,

| — | having regard to the joint paper from the Commission’s Directorates-General for Regional & Urban Policy and Employment, Social Affairs & Inclusion, entitled ‘EU Cohesion Policy Contributing to Employment and Growth in Europe’, July 2013, |
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—

having regard to the joint paper from the Commission’s Directorates-General for Regional & Urban Policy and Employment, Social Affairs & Inclusion, entitled ‘EU Cohesion Policy Contributing to Employment and Growth in Europe’, July 2013,

| — | having regard to the study published by Parliament entitled ‘Cohesion policy after 2013: a critical assessment of the legislative proposals’, June 2012, |
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—

having regard to the study published by Parliament entitled ‘Cohesion policy after 2013: a critical assessment of the legislative proposals’, June 2012,

| — | having regard to Rule 48 of its Rules of Procedure, |
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—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Regional Development and the opinions of the Committee on Employment and Social Affairs and the Committee on Women’s Rights and Gender Equality (A7-0081/2014), |
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—

having regard to the report of the Committee on Regional Development and the opinions of the Committee on Employment and Social Affairs and the Committee on Women’s Rights and Gender Equality (A7-0081/2014),

| A. | whereas empirical evidence shows that the economic, financial and social crisis has brought the convergence process to a halt or has even reversed it, thus aggravating disparities between regions and bringing to an end a long period during which regional disparities in GDP per head, and unemployment within the EU, had been consistently decreasing, while at the same time affecting more severely the weaker regions in the Union; |
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A.

whereas empirical evidence shows that the economic, financial and social crisis has brought the convergence process to a halt or has even reversed it, thus aggravating disparities between regions and bringing to an end a long period during which regional disparities in GDP per head, and unemployment within the EU, had been consistently decreasing, while at the same time affecting more severely the weaker regions in the Union;

| B. | whereas public resources both at Member State and EU level have become scarcer and subject to increasing pressure, while the crisis and the ensuing recession, as well as the sovereign debt crisis in several Member States, have pushed Member States to finally implement the needed important structural reforms to contribute to the restoration of economic growth and job creation, sometimes leading to cuts in the co-financing of the Structural Funds and the Cohesion Fund; |
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B.

whereas public resources both at Member State and EU level have become scarcer and subject to increasing pressure, while the crisis and the ensuing recession, as well as the sovereign debt crisis in several Member States, have pushed Member States to finally implement the needed important structural reforms to contribute to the restoration of economic growth and job creation, sometimes leading to cuts in the co-financing of the Structural Funds and the Cohesion Fund;

| C. | whereas the policies of fiscal consolidation have increased the role and importance of cohesion policy as a source of public investment, in particular at sub-national level, as this policy funding represents more than half of all public investment in a significant number of Member States and regions; |
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C.

whereas the policies of fiscal consolidation have increased the role and importance of cohesion policy as a source of public investment, in particular at sub-national level, as this policy funding represents more than half of all public investment in a significant number of Member States and regions;

| D. | whereas the crisis is adversely affecting all European regions and cities, thus increasing the importance of cohesion policy funding also in transition regions and in more developed regions; |
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D.

whereas the crisis is adversely affecting all European regions and cities, thus increasing the importance of cohesion policy funding also in transition regions and in more developed regions;

| E. | whereas the contribution to the aims of the Europe 2020 Strategy has a very strong regional dimension that should be taken into account in the preparation and implementation of the next generation of programmes under cohesion and other investment policies of the EU; |
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E.

whereas the contribution to the aims of the Europe 2020 Strategy has a very strong regional dimension that should be taken into account in the preparation and implementation of the next generation of programmes under cohesion and other investment policies of the EU;

| F. | whereas the emphasis of cohesion policy has up until now rather been on absorption than on defining and monitoring — and evaluating the achievement of — objectives, while the monitoring and evaluation systems fail to fully achieve their purpose of improving the definition of differentiated targets according to the local, regional and interregional features, specificities and needs; |
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F.

whereas the emphasis of cohesion policy has up until now rather been on absorption than on defining and monitoring — and evaluating the achievement of — objectives, while the monitoring and evaluation systems fail to fully achieve their purpose of improving the definition of differentiated targets according to the local, regional and interregional features, specificities and needs;

| G. | whereas the cohesion policy continues to be the main source of EU public funding in the context of the multiannual financial framework 2014-2020, and whereas within the new framework for the cohesion policy all the emphasis is placed on the need to concentrate investment at regional and local level in important areas such as job creation, SMEs, employment (in particular youth employment), labour mobility, training and education, research and innovation, ICT, sustainable transport and the removal of bottlenecks, sustainable energy, the environment, promotion of the institutional capacity of public authorities and efficient public administration, urban development and cities; |
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G.

whereas the cohesion policy continues to be the main source of EU public funding in the context of the multiannual financial framework 2014-2020, and whereas within the new framework for the cohesion policy all the emphasis is placed on the need to concentrate investment at regional and local level in important areas such as job creation, SMEs, employment (in particular youth employment), labour mobility, training and education, research and innovation, ICT, sustainable transport and the removal of bottlenecks, sustainable energy, the environment, promotion of the institutional capacity of public authorities and efficient public administration, urban development and cities;

| H. | whereas the need to achieve more with fewer resources has led to the inclusion of smart specialisation in the new cohesion policy framework (the Common Provisions Regulation (4)), in order for regions to take a strategic and less fragmented approach to economic development through targeted support for research and innovation; |
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H.

whereas the need to achieve more with fewer resources has led to the inclusion of smart specialisation in the new cohesion policy framework (the Common Provisions Regulation (4)), in order for regions to take a strategic and less fragmented approach to economic development through targeted support for research and innovation;

| I. | whereas partnership and multi-level governance constitute horizontal general principles in view of delivering the Union strategy for smart, sustainable and inclusive growth, in the context of the next legislative framework of cohesion policy; |
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I.

whereas partnership and multi-level governance constitute horizontal general principles in view of delivering the Union strategy for smart, sustainable and inclusive growth, in the context of the next legislative framework of cohesion policy;

| J. | whereas the evaluations performed during the 2007-2013 programme did not look at the whole evaluation cycle including efficiency, effectiveness and impact; |
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J.

whereas the evaluations performed during the 2007-2013 programme did not look at the whole evaluation cycle including efficiency, effectiveness and impact;

| K. | whereas the fund absorption rate is around 50 % within the Member States and around 30 % for the last year of the period; |
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K.

whereas the fund absorption rate is around 50 % within the Member States and around 30 % for the last year of the period;

| L. | whereas SMEs are experiencing difficulty in accessing financing from the banking sector; |
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L.

whereas SMEs are experiencing difficulty in accessing financing from the banking sector;

General implementation challenges for the current programming period

| 1. | Welcomes the seventh and eighth progress reports, as well as the strategic report 2013, and calls on the Commission — which is now launching the 2007-2013 ex-post evaluation — and the Member States to ensure that the monitoring and evaluation are based on reliable data, to look at the efficiency, effectiveness and impact of operations, and to ensure that the ex-post evaluation is completed by the end of 2015 as stipulated in the former General Regulation, in order for clear lessons to be drawn with a view to the implementation of the new programming period; |
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1.

Welcomes the seventh and eighth progress reports, as well as the strategic report 2013, and calls on the Commission — which is now launching the 2007-2013 ex-post evaluation — and the Member States to ensure that the monitoring and evaluation are based on reliable data, to look at the efficiency, effectiveness and impact of operations, and to ensure that the ex-post evaluation is completed by the end of 2015 as stipulated in the former General Regulation, in order for clear lessons to be drawn with a view to the implementation of the new programming period;

| 2. | Considers that policies of budgetary consolidation are in themselves insufficient to enhance growth and promote investments that generate good-quality, sustainable jobs, which require as well measures that support the economy and encourage the progress — still fragile and timid — made towards recovery; |
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2.

Considers that policies of budgetary consolidation are in themselves insufficient to enhance growth and promote investments that generate good-quality, sustainable jobs, which require as well measures that support the economy and encourage the progress — still fragile and timid — made towards recovery;

| 3. | Calls on the Commission and the Member States to increase investment in the areas of entrepreneurship, business start-ups and self-employment as a means of creating more jobs, in particular since SMEs and microenterprises provide over two thirds of the EU’s private sector jobs; takes the view that special emphasis should be placed on the regional and local levels; in addition, considers that investment in social business and social entrepreneurship provides a good additional option with a view to meeting social needs that are not satisfied by public goods and services; |
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3.

Calls on the Commission and the Member States to increase investment in the areas of entrepreneurship, business start-ups and self-employment as a means of creating more jobs, in particular since SMEs and microenterprises provide over two thirds of the EU’s private sector jobs; takes the view that special emphasis should be placed on the regional and local levels; in addition, considers that investment in social business and social entrepreneurship provides a good additional option with a view to meeting social needs that are not satisfied by public goods and services;

| 4. | Expresses its concern over the lack of sufficient public financial resources, in particular at sub-national level, to implement the Europe 2020 Strategy adequately, owing to the impact of the economic crisis, and over the fact that a significant number of less-developed Member States and regions depend to a great extent on cohesion policy funding; considers that before taking any decision related to potential macro-economic sanctions, the huge dependence of certain Member States’ development on cohesion funding should be carefully considered; |
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4.

Expresses its concern over the lack of sufficient public financial resources, in particular at sub-national level, to implement the Europe 2020 Strategy adequately, owing to the impact of the economic crisis, and over the fact that a significant number of less-developed Member States and regions depend to a great extent on cohesion policy funding; considers that before taking any decision related to potential macro-economic sanctions, the huge dependence of certain Member States’ development on cohesion funding should be carefully considered;

| 5. | Believes that, although the resources allocated to cohesion policy in the current multiannual financial framework are relatively small as compared to the needs on the ground, ensuring greater efficiency as well as synergies between the EU budget and the national budgets may nevertheless constitute important levers for growth-enhancing policies; |
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5.

Believes that, although the resources allocated to cohesion policy in the current multiannual financial framework are relatively small as compared to the needs on the ground, ensuring greater efficiency as well as synergies between the EU budget and the national budgets may nevertheless constitute important levers for growth-enhancing policies;

| 6. | Takes the view that in order to contribute to achieving the EU 2020 Strategy for smart, sustainable and inclusive growth in line with the objectives of economic, social and territorial cohesion, notwithstanding the need to focus on sectors with a long-term potential for job creation and innovation, it is important to take account of the significant needs of many less-developed regions regarding investment in infrastructure projects in basic sectors such as transport, telecommunication and sustainable energy; |
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6.

Takes the view that in order to contribute to achieving the EU 2020 Strategy for smart, sustainable and inclusive growth in line with the objectives of economic, social and territorial cohesion, notwithstanding the need to focus on sectors with a long-term potential for job creation and innovation, it is important to take account of the significant needs of many less-developed regions regarding investment in infrastructure projects in basic sectors such as transport, telecommunication and sustainable energy;

| 7. | Believes that — notwithstanding the evidence that local and regional authorities are being involved in the preparation of Partnership Agreements — further action must be taken to reinforce the territorial dimension of the governance system of cohesion policy, the Europe 2020 strategy and the European Semester, by ensuring real dialogue and complementarity among the different levels of governance, on the one hand, and consistency of the priorities established at those levels with the needs and specificities identified at national, regional and local levels, on the other; stresses in this regard the importance of ensuring that municipalities and regions are duly involved in establishing national strategies and defining their specific problems and challenges, while avoiding any increase in the administrative burden; |
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7.

Believes that — notwithstanding the evidence that local and regional authorities are being involved in the preparation of Partnership Agreements — further action must be taken to reinforce the territorial dimension of the governance system of cohesion policy, the Europe 2020 strategy and the European Semester, by ensuring real dialogue and complementarity among the different levels of governance, on the one hand, and consistency of the priorities established at those levels with the needs and specificities identified at national, regional and local levels, on the other; stresses in this regard the importance of ensuring that municipalities and regions are duly involved in establishing national strategies and defining their specific problems and challenges, while avoiding any increase in the administrative burden;

| 8. | Considers that cohesion policy is best placed to give the Europe 2020 Strategy the territorial dimension needed to tackle the very relevant growth differentials within the Union and within Member States, to ensure that growth potential is also utilised in the Union's outermost and most sparsely populated areas, and to address the fact that differences in institutional capacity mean that the different regions cannot use the given targets as references in the same way; |
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8.

Considers that cohesion policy is best placed to give the Europe 2020 Strategy the territorial dimension needed to tackle the very relevant growth differentials within the Union and within Member States, to ensure that growth potential is also utilised in the Union's outermost and most sparsely populated areas, and to address the fact that differences in institutional capacity mean that the different regions cannot use the given targets as references in the same way;

Focus on employment and social inclusion

| 9. | Is particularly worried that, owing to the crisis, the percentage of the population at risk of poverty or social exclusion, suffering of material deprivation, environmental degradation and poor housing conditions, or having very low work intensity and threatened by exclusion and energy poverty has increased considerably, with greater prevalence in convergence regions and cities, and in particular in the regions around capital cities which, according to the indicators, are classified as developed, while also affecting more particularly women, single parent families, large families with four or more children, carers (especially carers of disabled family members), members of marginalised communities or older people close to retirement for whom access to equal opportunities is difficult; |
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9.

Is particularly worried that, owing to the crisis, the percentage of the population at risk of poverty or social exclusion, suffering of material deprivation, environmental degradation and poor housing conditions, or having very low work intensity and threatened by exclusion and energy poverty has increased considerably, with greater prevalence in convergence regions and cities, and in particular in the regions around capital cities which, according to the indicators, are classified as developed, while also affecting more particularly women, single parent families, large families with four or more children, carers (especially carers of disabled family members), members of marginalised communities or older people close to retirement for whom access to equal opportunities is difficult;

| 10. | Considers it urgent to tackle these issues — which severely undermine cohesion among regions and may put at risk the competitiveness of the Union in the medium and long term — by focusing on policies that ensure access to sustainable, good-quality employment and social inclusion, and in particular by young people, promoting the vital role of SMEs in this regard, reducing fragmentation and facilitating transition between jobs, focusing on professional retraining programmes for the long-term unemployed, drawing on the experience acquired by those at the end of their careers and promoting equal economic independence for women and men; considers it essential also to promote physical accessibility and access to information and communication media, the achievement of which must be assessed using reliable, objective and comparable indicators, and considering the demographic challenges; |
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10.

Considers it urgent to tackle these issues — which severely undermine cohesion among regions and may put at risk the competitiveness of the Union in the medium and long term — by focusing on policies that ensure access to sustainable, good-quality employment and social inclusion, and in particular by young people, promoting the vital role of SMEs in this regard, reducing fragmentation and facilitating transition between jobs, focusing on professional retraining programmes for the long-term unemployed, drawing on the experience acquired by those at the end of their careers and promoting equal economic independence for women and men; considers it essential also to promote physical accessibility and access to information and communication media, the achievement of which must be assessed using reliable, objective and comparable indicators, and considering the demographic challenges;

| 11. | Insists on the role that the European Social Fund (ESF) plays in reducing the disparities in human capital among regions and in helping to increase employment rates, in parallel and in combination with the European Regional Development Fund (ERDF), contributes to the fulfilment of some of the current major priorities of the Union, namely boosting youth employment and the labour market, promoting sustainable economy and growth, reducing the number of early school leavers, and combating poverty, discrimination and social exclusion; insists therefore that there is a need to reinforce the principle of sound financial management, in particular as regards the efficiency and effectiveness of ESF operations, and calls on the Commission to fully analyse the overall effect and real impact of the ESF on the unemployment rate and on job creation; |
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11.

Insists on the role that the European Social Fund (ESF) plays in reducing the disparities in human capital among regions and in helping to increase employment rates, in parallel and in combination with the European Regional Development Fund (ERDF), contributes to the fulfilment of some of the current major priorities of the Union, namely boosting youth employment and the labour market, promoting sustainable economy and growth, reducing the number of early school leavers, and combating poverty, discrimination and social exclusion; insists therefore that there is a need to reinforce the principle of sound financial management, in particular as regards the efficiency and effectiveness of ESF operations, and calls on the Commission to fully analyse the overall effect and real impact of the ESF on the unemployment rate and on job creation;

| 12. | Acknowledges that a large proportion of ESF expenditure is allocated with a view to promoting more and better jobs, supporting integration and participation of disadvantaged groups, including disabled people, and developing an inclusive society that is accessible to all; stresses, however, that at times of crisis, more emphasis should be placed on the ESF being efficiently targeted to combat local and regional inequalities and social exclusion, to provide access to employment for the most vulnerable groups and young people in particular, and to assist women’s re-integration into the labour market by reducing gender-based segregation; |
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12.

Acknowledges that a large proportion of ESF expenditure is allocated with a view to promoting more and better jobs, supporting integration and participation of disadvantaged groups, including disabled people, and developing an inclusive society that is accessible to all; stresses, however, that at times of crisis, more emphasis should be placed on the ESF being efficiently targeted to combat local and regional inequalities and social exclusion, to provide access to employment for the most vulnerable groups and young people in particular, and to assist women’s re-integration into the labour market by reducing gender-based segregation;

| 13. | Notes that the high proportion of early school-leavers in some regions is significantly above the target of 10 % and that early school-leavers must receive an offer of education, training or work that meets their needs; refers, in this context, to the importance of the Youth Guarantee for early school-leavers; stresses that in order to reduce the number of early school-leavers it is important that the education system is inclusive, offering equal chances to all young people; stresses that a solution must therefore be found to the problem of integrating poorly-trained young people into the labour market, by providing barrier-free, accessible and quality vocational and in-work training to help them acquire skills, taking into account the fact that a lack of qualifications can increase the risk of unemployment, which in turn increases the poverty risk and involves a multitude of social challenges linked to exclusion, alienation and failed efforts to build an independent life; points out that, to this end, the ESF’s contribution is crucial in helping more young people to stay at school and acquire the appropriate qualifications needed for a job and career and in ensuring wider access to high-quality education with special projects for children from disadvantaged groups and minorities, including disabled people; calls on Member States to encourage appropriate vocational and on-the-job training for those who will benefit from it; |
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13.

Notes that the high proportion of early school-leavers in some regions is significantly above the target of 10 % and that early school-leavers must receive an offer of education, training or work that meets their needs; refers, in this context, to the importance of the Youth Guarantee for early school-leavers; stresses that in order to reduce the number of early school-leavers it is important that the education system is inclusive, offering equal chances to all young people; stresses that a solution must therefore be found to the problem of integrating poorly-trained young people into the labour market, by providing barrier-free, accessible and quality vocational and in-work training to help them acquire skills, taking into account the fact that a lack of qualifications can increase the risk of unemployment, which in turn increases the poverty risk and involves a multitude of social challenges linked to exclusion, alienation and failed efforts to build an independent life; points out that, to this end, the ESF’s contribution is crucial in helping more young people to stay at school and acquire the appropriate qualifications needed for a job and career and in ensuring wider access to high-quality education with special projects for children from disadvantaged groups and minorities, including disabled people; calls on Member States to encourage appropriate vocational and on-the-job training for those who will benefit from it;

| 14. | Stresses that the employment situation of young people is highly dependent on the overall economic situation and that therefore it is very important to support, guide and monitor young people in their move from education to professional life; takes the view that the Commission could therefore align any future policy proposals in this area with the ‘Youth on the Move’ and ‘Youth Opportunities’ initiatives; |
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14.

Stresses that the employment situation of young people is highly dependent on the overall economic situation and that therefore it is very important to support, guide and monitor young people in their move from education to professional life; takes the view that the Commission could therefore align any future policy proposals in this area with the ‘Youth on the Move’ and ‘Youth Opportunities’ initiatives;

| 15. | Stresses that employment in some regions remains below 60 % and that some regions are missing their national targets by a factor of 20-25 %, which is having a particularly adverse effect on young people, women, older people, carers and people with disabilities; stresses that certain crisis measures have had an adverse effect on cohesion and have fundamentally increased inequalities in the EU; stresses that keeping high-risk groups in employment or creating employment options for them requires targeted measures addressing job creation, training opportunities and job retention; stresses that unemployment has been a feature of certain isolated settlements for generations, and this poses a particular threat to marginalised communities; |
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15.

Stresses that employment in some regions remains below 60 % and that some regions are missing their national targets by a factor of 20-25 %, which is having a particularly adverse effect on young people, women, older people, carers and people with disabilities; stresses that certain crisis measures have had an adverse effect on cohesion and have fundamentally increased inequalities in the EU; stresses that keeping high-risk groups in employment or creating employment options for them requires targeted measures addressing job creation, training opportunities and job retention; stresses that unemployment has been a feature of certain isolated settlements for generations, and this poses a particular threat to marginalised communities;

| 16. | Points out that employment rates have remained well below the Europe 2020 target of having at least 75 % of the population aged 20–64 in employment by 2020; notes that while there are no specific employment rate targets at a regional level, Member States have individually set national targets which, in most cases, have not been met as the financial and economic crisis has had a major asymmetrical impact on regional labour markets, predominantly in Southern Europe, with a marked increase in youth unemployment; |
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16.

Points out that employment rates have remained well below the Europe 2020 target of having at least 75 % of the population aged 20–64 in employment by 2020; notes that while there are no specific employment rate targets at a regional level, Member States have individually set national targets which, in most cases, have not been met as the financial and economic crisis has had a major asymmetrical impact on regional labour markets, predominantly in Southern Europe, with a marked increase in youth unemployment;

| 17. | Believes that all regions face the challenge of creating sustainable growth and enhancing resource efficiency; emphasises in this regard the need for policies, which include the prioritisation of spending in the areas of education, life-long learning, research, innovation and development, energy efficiency and local entrepreneurship, as well as the creation of new financial instruments for all kinds of businesses, and especially for SMEs; |
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17.

Believes that all regions face the challenge of creating sustainable growth and enhancing resource efficiency; emphasises in this regard the need for policies, which include the prioritisation of spending in the areas of education, life-long learning, research, innovation and development, energy efficiency and local entrepreneurship, as well as the creation of new financial instruments for all kinds of businesses, and especially for SMEs;

| 18. | Recalls the potential that SMEs have for job creation and urges the Member States to develop policies that improve access to financing and financing conditions for SMEs; calls on the Commission to work with the Member States with a view to increasing the transparency and predictability of the system of invitations to tender and reducing the amount of time that elapses between the issuing of an invitation to tender and the award of a contract, in particular for SMEs, which compete in a rapidly changing environment; |
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18.

Recalls the potential that SMEs have for job creation and urges the Member States to develop policies that improve access to financing and financing conditions for SMEs; calls on the Commission to work with the Member States with a view to increasing the transparency and predictability of the system of invitations to tender and reducing the amount of time that elapses between the issuing of an invitation to tender and the award of a contract, in particular for SMEs, which compete in a rapidly changing environment;

| 19. | Urges that particular attention be given to the cultural and creative sectors, contributing to the achievement of the Europe 2020 Strategy objectives, in particular job creation; stresses the vital contribution of these sectors to the development of regions and cities; calls for sustained measures to promote continuing education for women specifically relating to these sectors in a bid to ensure that their qualifications can be effectively turned to account and new job prospects created; |
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19.

Urges that particular attention be given to the cultural and creative sectors, contributing to the achievement of the Europe 2020 Strategy objectives, in particular job creation; stresses the vital contribution of these sectors to the development of regions and cities; calls for sustained measures to promote continuing education for women specifically relating to these sectors in a bid to ensure that their qualifications can be effectively turned to account and new job prospects created;

Evaluation evidence

| 20. | Recalls that while there is strong evidence that implementation of cohesion policy has accelerated, and that the resulting programmes have made important contributions in many areas where investment is necessary for economic modernisation and competiveness (such as research and development, SME support, re-industrialisation, social inclusion, and education and training), a number of Member States are at risk of failing to implement their programmes before the end of the current programming period; urges the Commission, in this regard, to analyse in depth the causes of the low absorption rates, and urges the Member States to provide co-financing in order to accelerate the implementation of funds; |
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20.

Recalls that while there is strong evidence that implementation of cohesion policy has accelerated, and that the resulting programmes have made important contributions in many areas where investment is necessary for economic modernisation and competiveness (such as research and development, SME support, re-industrialisation, social inclusion, and education and training), a number of Member States are at risk of failing to implement their programmes before the end of the current programming period; urges the Commission, in this regard, to analyse in depth the causes of the low absorption rates, and urges the Member States to provide co-financing in order to accelerate the implementation of funds;

| 21. | Encourages the Member States to explore synergies between cohesion policy financing and other sources of EU funding (such as for TEN-T, TEN-E, CEF, Horizon 2020, COSME and other programmes) as well as with financing provided by the European Investment Bank and the European Bank for Reconstruction and Development; urges the Member States to accelerate implementation and to simplify and improve access to the funds available in order to encourage SMEs, civil society organisations, local municipalities and other interested beneficiaries to make use of them; |
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21.

Encourages the Member States to explore synergies between cohesion policy financing and other sources of EU funding (such as for TEN-T, TEN-E, CEF, Horizon 2020, COSME and other programmes) as well as with financing provided by the European Investment Bank and the European Bank for Reconstruction and Development; urges the Member States to accelerate implementation and to simplify and improve access to the funds available in order to encourage SMEs, civil society organisations, local municipalities and other interested beneficiaries to make use of them;

Monitoring and evaluation challenges

| 22. | Considers that evaluation has an essential role to play in the policy debate and learning, but is concerned that, although the provision of monitoring data and information on implementation is improving the quality of targets set, the uneven quality of progress reporting in many cases nevertheless makes it difficult to develop a full and accurate picture of progress towards the targets at regional and local level; emphasises that evaluation should also assess and propose measures to relieve unnecessary burdens on beneficiaries, including SMEs, local and regional authorities and NGOs; considers that any additional burdens connected with monitoring must not be imposed; |
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22.

Considers that evaluation has an essential role to play in the policy debate and learning, but is concerned that, although the provision of monitoring data and information on implementation is improving the quality of targets set, the uneven quality of progress reporting in many cases nevertheless makes it difficult to develop a full and accurate picture of progress towards the targets at regional and local level; emphasises that evaluation should also assess and propose measures to relieve unnecessary burdens on beneficiaries, including SMEs, local and regional authorities and NGOs; considers that any additional burdens connected with monitoring must not be imposed;

| 23. | Believes that the progress reports do not fully provide a clear picture of the progress made in the implementation of cohesion policy and towards the established targets, owing either to the unavailability of data at relevant level or to the insufficiently clear linkage between the statistical data provided and the extent to which the cohesion policy aims that require monitoring have been met; |
| --- | --- |

23.

Believes that the progress reports do not fully provide a clear picture of the progress made in the implementation of cohesion policy and towards the established targets, owing either to the unavailability of data at relevant level or to the insufficiently clear linkage between the statistical data provided and the extent to which the cohesion policy aims that require monitoring have been met;

| 24. | Asks the Commission and the Member States, in order to strengthen the transparency of reporting and the quality of programming and its implementation, to make full use of the monitoring and evaluation tools available in the context of the current legislative framework (stronger result orientation, use of common output indicators, choice of programme-specific result indicators and a clear performance framework); |
| --- | --- |

24.

Asks the Commission and the Member States, in order to strengthen the transparency of reporting and the quality of programming and its implementation, to make full use of the monitoring and evaluation tools available in the context of the current legislative framework (stronger result orientation, use of common output indicators, choice of programme-specific result indicators and a clear performance framework);

| 25. | Considers that while the evaluations of cohesion policy programmes over the 2007-2013 period co-financed by the ERDF and the Cohesion Fund show good overall awareness in the Member States of the gender equality requirement when setting up such programmes (70 % (5)), they also indicate that gender equality is by no means effectively integrated into the programmes through clear identification of problems or quantified targets (less than 8 %); calls on the Commission to further improve Member States’ reporting systems by introducing and utilising indicators so as to make it possible to assess the support provided under cohesion policy for genuine progress on gender equality and to what extent this is being achieved; |
| --- | --- |

25.

Considers that while the evaluations of cohesion policy programmes over the 2007-2013 period co-financed by the ERDF and the Cohesion Fund show good overall awareness in the Member States of the gender equality requirement when setting up such programmes (70 % (5)), they also indicate that gender equality is by no means effectively integrated into the programmes through clear identification of problems or quantified targets (less than 8 %); calls on the Commission to further improve Member States’ reporting systems by introducing and utilising indicators so as to make it possible to assess the support provided under cohesion policy for genuine progress on gender equality and to what extent this is being achieved;

| 26. | Urges the Commission to check whether Managing Authorities apply the Late Payment Directive in relation with beneficiaries of projects and take adequate measures to decrease the payments’ delays; |
| --- | --- |

26.

Urges the Commission to check whether Managing Authorities apply the Late Payment Directive in relation with beneficiaries of projects and take adequate measures to decrease the payments’ delays;

| 27. | Calls on the Commission’s Internal Audit Service and the European Court of Auditors to increase their performance audits on Cohesion and Structural Funds, and in particular on the ESF; |
| --- | --- |

27.

Calls on the Commission’s Internal Audit Service and the European Court of Auditors to increase their performance audits on Cohesion and Structural Funds, and in particular on the ESF;

o

o o

| 28. | Instructs its President to forward this resolution to the Council, the Commission and the Member States. |
| --- | --- |

28.

Instructs its President to forward this resolution to the Council, the Commission and the Member States.

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(1)  OJ C 87 E, 1.4.2010, p. 113.

(2)  OJ C 371 E, 20.12.2011, p. 39.

(3)  OJ C 161 E, 31.5.2011, p. 120.

(4)  Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006 (OJ L 347, 20.12.2013, p. 320).

(5)  http://ec.europa.eu/regional_policy/sources/docgener/evaluation/pdf/2009-03-16-inception-report.pdf

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/58 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/58

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P7_TA(2014)0133

Optimising the potential of outermost regions

European Parliament resolution of 26 February 2014 on optimising the potential of outermost regions by creating synergies between the Structural Funds and other European Union programmes (2013/2178(INI))

(2017/C 285/08)

The European Parliament,

| — | having regard to Articles 349 and 355(1) of the Treaty on the Functioning of the European Union (TFEU), which confer a special status on the outermost regions (ORs) and provide for the adoption of ‘specific measures’ that enable the Treaties and common policies to be fully implemented, |
| --- | --- |

—

having regard to Articles 349 and 355(1) of the Treaty on the Functioning of the European Union (TFEU), which confer a special status on the outermost regions (ORs) and provide for the adoption of ‘specific measures’ that enable the Treaties and common policies to be fully implemented,

| — | having regard to Article 107(3)(a) of the TFEU on rules governing state aid to such regions, |
| --- | --- |

—

having regard to Article 107(3)(a) of the TFEU on rules governing state aid to such regions,

| — | having regard to Articles 174 et seq. of the TFEU, which establish the objective of economic, social and territorial cohesion and specify the structural financial instruments to achieve this, |
| --- | --- |

—

having regard to Articles 174 et seq. of the TFEU, which establish the objective of economic, social and territorial cohesion and specify the structural financial instruments to achieve this,

| — | having regard to the Commission communications on outermost regions, in particular that of 17 October 2008 entitled ‘The outermost regions: an asset for Europe’ (COM(2008)0642), |
| --- | --- |

—

having regard to the Commission communications on outermost regions, in particular that of 17 October 2008 entitled ‘The outermost regions: an asset for Europe’ (COM(2008)0642),

| — | having regard to its resolutions on the ORs, in particular that of 20 May 2008 on the strategy for the outermost regions: achievements and future prospects (1), |
| --- | --- |

—

having regard to its resolutions on the ORs, in particular that of 20 May 2008 on the strategy for the outermost regions: achievements and future prospects (1),

| — | having regard to the Commission staff working document entitled ‘Regions 2020 — an assessment of future challenges for EU regions’ (SEC(2008)2868), |
| --- | --- |

—

having regard to the Commission staff working document entitled ‘Regions 2020 — an assessment of future challenges for EU regions’ (SEC(2008)2868),

| — | having regard to the Message from Reunion Island of 7 July 2008 adopted by the participants in the Conference on ‘The European Union and its Overseas Entities: Strategies to Counter Climate Change and Biodiversity Loss’ and to the EU Council conclusions of 25 June 2009 on ‘A mid-term assessment of implementing the EU Biodiversity Action Plan and Towards an EU Strategy on Invasive Alien Species’, |
| --- | --- |

—

having regard to the Message from Reunion Island of 7 July 2008 adopted by the participants in the Conference on ‘The European Union and its Overseas Entities: Strategies to Counter Climate Change and Biodiversity Loss’ and to the EU Council conclusions of 25 June 2009 on ‘A mid-term assessment of implementing the EU Biodiversity Action Plan and Towards an EU Strategy on Invasive Alien Species’,

| — | having regard to the joint memorandum of the outermost regions of 14 October 2009 on ‘The Outermost Regions in 2020’, |
| --- | --- |

—

having regard to the joint memorandum of the outermost regions of 14 October 2009 on ‘The Outermost Regions in 2020’,

| — | having regard to the common platform of 6 July 2010, presented to the President of the Commission, José Manuel Durão Barroso, by the Conference of Members of the European Parliament from the outermost regions, |
| --- | --- |

—

having regard to the common platform of 6 July 2010, presented to the President of the Commission, José Manuel Durão Barroso, by the Conference of Members of the European Parliament from the outermost regions,

| — | having regard to the Memorandum of Spain, France, Portugal and the Outermost Regions of 7 May 2010 entitled ‘A Renewed Vision of the European Strategy for the Outermost Regions’, |
| --- | --- |

—

having regard to the Memorandum of Spain, France, Portugal and the Outermost Regions of 7 May 2010 entitled ‘A Renewed Vision of the European Strategy for the Outermost Regions’,

| — | having regard to the joint contribution of the outermost regions of 28 January 2011 on the Fifth Report on Economic, Social and Territorial Cohesion, |
| --- | --- |

—

having regard to the joint contribution of the outermost regions of 28 January 2011 on the Fifth Report on Economic, Social and Territorial Cohesion,

| — | having regard to the report of 12 October 2011 entitled ‘Europe’s outermost regions and the Single Market: The EU’s influence in the world’, submitted to Commissioner Michel Barnier by Pedro Solbes Mira, |
| --- | --- |

—

having regard to the report of 12 October 2011 entitled ‘Europe’s outermost regions and the Single Market: The EU’s influence in the world’, submitted to Commissioner Michel Barnier by Pedro Solbes Mira,

| — | having regard to its resolution of 18 April 2012 on the role of cohesion policy in the outermost regions of the European Union in the context of EU 2020 (2), |
| --- | --- |

—

having regard to its resolution of 18 April 2012 on the role of cohesion policy in the outermost regions of the European Union in the context of EU 2020 (2),

| — | having regard to the Commission communication of 20 June 2012 entitled ‘The outermost regions of the European Union: towards a partnership for smart, sustainable and inclusive growth’ (COM(2012)0287), |
| --- | --- |

—

having regard to the Commission communication of 20 June 2012 entitled ‘The outermost regions of the European Union: towards a partnership for smart, sustainable and inclusive growth’ (COM(2012)0287),

| — | having regard to the report produced by Serge Letchimy, Member of the French National Assembly, for the French Prime Minister on Article 349 of the Treaty on the Functioning of the European Union: a contribution to bringing the derogation provisions to bear in support of a global development project for the outermost regions, |
| --- | --- |

—

having regard to the report produced by Serge Letchimy, Member of the French National Assembly, for the French Prime Minister on Article 349 of the Treaty on the Functioning of the European Union: a contribution to bringing the derogation provisions to bear in support of a global development project for the outermost regions,

| — | having regard to the joint contributions and technical and political documents of the Conference of Presidents of the Outermost Regions of the European Union, in particular the final declaration of the 19th conference of 17 and 18 October 2013, |
| --- | --- |

—

having regard to the joint contributions and technical and political documents of the Conference of Presidents of the Outermost Regions of the European Union, in particular the final declaration of the 19th conference of 17 and 18 October 2013,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Regional Development (A7-0121/2014), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development (A7-0121/2014),

| A. | whereas the assets, resources and potential of the ORs highlighted by the Commission in its 2008 strategy and 2012 communication, which lie in areas of key importance to EU research, innovation and growth, attract too little support and financing under EU funds and programmes; |
| --- | --- |

A.

whereas the assets, resources and potential of the ORs highlighted by the Commission in its 2008 strategy and 2012 communication, which lie in areas of key importance to EU research, innovation and growth, attract too little support and financing under EU funds and programmes;

| B. | whereas the ORs consist of a number of archipelagos and islands and a region bordering on the Amazon forest and share specific constraints that set them apart from other EU geographical areas with special profiles (island, upland and sparsely populated regions); |
| --- | --- |

B.

whereas the ORs consist of a number of archipelagos and islands and a region bordering on the Amazon forest and share specific constraints that set them apart from other EU geographical areas with special profiles (island, upland and sparsely populated regions);

| C. | whereas the ORs are regions of excellence making a significant contribution towards meeting the objectives the EU has set as part of the Europe 2020 growth strategy, the Horizon 2020 strategy, the Energy 2020 strategy, the LIFE+ and Natura 2000 programmes and the trans-European telecommunications, transport and energy networks; |
| --- | --- |

C.

whereas the ORs are regions of excellence making a significant contribution towards meeting the objectives the EU has set as part of the Europe 2020 growth strategy, the Horizon 2020 strategy, the Energy 2020 strategy, the LIFE+ and Natura 2000 programmes and the trans-European telecommunications, transport and energy networks;

| D. | whereas, in this connection, long-term investment needs to be encouraged and innovation promoted in the ORs, in order to provide a firm and sustainable basis for their economic and social development and give the various EU strategies a better chance of success; |
| --- | --- |

D.

whereas, in this connection, long-term investment needs to be encouraged and innovation promoted in the ORs, in order to provide a firm and sustainable basis for their economic and social development and give the various EU strategies a better chance of success;

| E. | whereas, in pursuit of these strategies, the volume of structural and investment funding being provided to the ORs must be adjusted or supplemented in order to enable them to play a role commensurate with their potential and consistent with their aspirations in addressing the major challenges facing the EU; |
| --- | --- |

E.

whereas, in pursuit of these strategies, the volume of structural and investment funding being provided to the ORs must be adjusted or supplemented in order to enable them to play a role commensurate with their potential and consistent with their aspirations in addressing the major challenges facing the EU;

| F. | whereas the current economic and social crisis is having a particularly serious impact on the outermost regions of the European Union, particularly in terms of competitiveness and employment, and both the need for economic growth and the unemployment situation require urgent and appropriate responses in the next financial programming period; |
| --- | --- |

F.

whereas the current economic and social crisis is having a particularly serious impact on the outermost regions of the European Union, particularly in terms of competitiveness and employment, and both the need for economic growth and the unemployment situation require urgent and appropriate responses in the next financial programming period;

| G. | whereas Article 349 of the TFEU should be used as the legal basis enabling the ORs, by means of specific measures, to take their rightful place in the EU programmes that can properly harness the potential they are recognised as having; |
| --- | --- |

G.

whereas Article 349 of the TFEU should be used as the legal basis enabling the ORs, by means of specific measures, to take their rightful place in the EU programmes that can properly harness the potential they are recognised as having;

| H. | whereas the ORs can become pilot regions and regions of excellence, to the benefit of the EU as a whole, in areas such as biodiversity, environment, adapting to climate change, dealing with and observing extreme weather events, research, innovation, space, the aerospace industry, oceans, blue growth, maritime spatial planning and maritime governance, seismology, volcanology, emerging diseases, renewable energy, transport, telecommunications, emergency humanitarian assistance outside the EU and culture; |
| --- | --- |

H.

whereas the ORs can become pilot regions and regions of excellence, to the benefit of the EU as a whole, in areas such as biodiversity, environment, adapting to climate change, dealing with and observing extreme weather events, research, innovation, space, the aerospace industry, oceans, blue growth, maritime spatial planning and maritime governance, seismology, volcanology, emerging diseases, renewable energy, transport, telecommunications, emergency humanitarian assistance outside the EU and culture;

| I. | whereas the ORs are located in the Caribbean, Indian Ocean and Atlantic Ocean maritime basins and make the EU a world maritime power; whereas their geo-strategic location helps the EU to exert influence worldwide; and whereas their exceptional natural, marine and fisheries resources account for 50 % of the world’s biodiversity; |
| --- | --- |

I.

whereas the ORs are located in the Caribbean, Indian Ocean and Atlantic Ocean maritime basins and make the EU a world maritime power; whereas their geo-strategic location helps the EU to exert influence worldwide; and whereas their exceptional natural, marine and fisheries resources account for 50 % of the world’s biodiversity;

| J. | whereas the ORs are a special case, forming a common entity which is both inside and outside the EU at the same time and which the Commission should promote and support, including through the implementation of common policies; |
| --- | --- |

J.

whereas the ORs are a special case, forming a common entity which is both inside and outside the EU at the same time and which the Commission should promote and support, including through the implementation of common policies;

| K. | whereas in order to maximise the potential of the ORs, the closest possible synergies need to be created between all EU instruments, funds and programmes; |
| --- | --- |

K.

whereas in order to maximise the potential of the ORs, the closest possible synergies need to be created between all EU instruments, funds and programmes;

Fresh prospects for the ORs

| 1. | Views the ORs' potential, assets and resources, together with the experience they have accumulated, as additional tools for the EU and the Member States to use in addressing the challenges facing it in connection with globalisation, innovation capacity, growth, social cohesion, demographic pressures, climate change, major natural disaster risk prevention, energy and sustainable management of natural resources and biodiversity conservation; |
| --- | --- |

1.

Views the ORs' potential, assets and resources, together with the experience they have accumulated, as additional tools for the EU and the Member States to use in addressing the challenges facing it in connection with globalisation, innovation capacity, growth, social cohesion, demographic pressures, climate change, major natural disaster risk prevention, energy and sustainable management of natural resources and biodiversity conservation;

| 2. | Believes that improving the ORs’ access to the various EU programmes and sources of funding will be of both short-term and long-term benefit to the EU as a whole; deplores the approach advocated at European level whereby the cohesion policy alone should be used to finance virtually all OR development projects; |
| --- | --- |

2.

Believes that improving the ORs’ access to the various EU programmes and sources of funding will be of both short-term and long-term benefit to the EU as a whole; deplores the approach advocated at European level whereby the cohesion policy alone should be used to finance virtually all OR development projects;

| 3. | Endorses the Commission approach of implementing policies seeking to make the ORs more self-reliant, economically robust and better able to create sustainable jobs by capitalising on their assets and taking practical, imaginative action on the basis of Article 349 of the TFEU and of ad hoc instruments, notably in the fields of energy, transport and ICT, introduced for each EU fund and programme that can help turn the ORs’ assets into sustainable development; |
| --- | --- |

3.

Endorses the Commission approach of implementing policies seeking to make the ORs more self-reliant, economically robust and better able to create sustainable jobs by capitalising on their assets and taking practical, imaginative action on the basis of Article 349 of the TFEU and of ad hoc instruments, notably in the fields of energy, transport and ICT, introduced for each EU fund and programme that can help turn the ORs’ assets into sustainable development;

| 4. | Stresses, furthermore, that it is important and necessary for European policies to contribute, including by means of specific tax and customs instruments, to promoting and diversifying the economic base in the outermost regions and creating jobs; |
| --- | --- |

4.

Stresses, furthermore, that it is important and necessary for European policies to contribute, including by means of specific tax and customs instruments, to promoting and diversifying the economic base in the outermost regions and creating jobs;

| 5. | Takes the view that Article 349 TFEU provides an appropriate legal basis for the adoption of specific measures for the ORs but regrets the limited and scant use made of this article, which establishes the possibility of special arrangements being introduced on the basis of outermost region status; |
| --- | --- |

5.

Takes the view that Article 349 TFEU provides an appropriate legal basis for the adoption of specific measures for the ORs but regrets the limited and scant use made of this article, which establishes the possibility of special arrangements being introduced on the basis of outermost region status;

| 6. | Calls on the Commission to set up a contact group made up of the relevant Commissioners, the inter-service working party that coordinates policies involving the ORs and the Members of the European Parliament representing the ORs to review the progress of programmes planned and/or introduced for the ORs; |
| --- | --- |

6.

Calls on the Commission to set up a contact group made up of the relevant Commissioners, the inter-service working party that coordinates policies involving the ORs and the Members of the European Parliament representing the ORs to review the progress of programmes planned and/or introduced for the ORs;

| 7. | Stresses that, by virtue of the fact that they lie far away from mainland Europe, the ORs help to spread the influence of an EU that is becoming increasingly aware of its global dimension and the role it has to play in a rapidly changing world; |
| --- | --- |

7.

Stresses that, by virtue of the fact that they lie far away from mainland Europe, the ORs help to spread the influence of an EU that is becoming increasingly aware of its global dimension and the role it has to play in a rapidly changing world;

| 8. | Stresses that special attention must be paid to the ORs in the event of natural disasters, in the light of their specific characteristics and of Article 349 of the TFEU, which provides for the possibility of adopting specific measures, while also pointing out that it is important to coordinate the Structural Funds with the European Union Solidarity Fund; |
| --- | --- |

8.

Stresses that special attention must be paid to the ORs in the event of natural disasters, in the light of their specific characteristics and of Article 349 of the TFEU, which provides for the possibility of adopting specific measures, while also pointing out that it is important to coordinate the Structural Funds with the European Union Solidarity Fund;

| 9. | Calls for investment in ICT, transport, water and energy through services of general economic interest to be given priority in these regions and recommends a more consistent framework for state aid in the ORs in order to implement the Europe 2020 Strategy; |
| --- | --- |

9.

Calls for investment in ICT, transport, water and energy through services of general economic interest to be given priority in these regions and recommends a more consistent framework for state aid in the ORs in order to implement the Europe 2020 Strategy;

| 10. | Believes there to be a close correlation between the EU’s awareness of the global role it can play and the attention it pays to the ORs; believes the fact that the Union and the Member States have failed to take sufficient account of the importance and implications of its strategic investment decisions regarding the ORs and sees this situation as indicative of a more general failure to accord suitable importance to the Union's global dimension; considers improved synergies between instruments and programmes to be essential for the ORs, in order to promote international cooperation on the part of these regions; |
| --- | --- |

10.

Believes there to be a close correlation between the EU’s awareness of the global role it can play and the attention it pays to the ORs; believes the fact that the Union and the Member States have failed to take sufficient account of the importance and implications of its strategic investment decisions regarding the ORs and sees this situation as indicative of a more general failure to accord suitable importance to the Union's global dimension; considers improved synergies between instruments and programmes to be essential for the ORs, in order to promote international cooperation on the part of these regions;

| 11. | Considers it essential, with a view to encouraging synergies between the Structural Funds and the Union's other programmes, to adopt a macroregion approach and draw up strategies for macroregions that include the ORs, taking advantage of those regions’ characteristics and resources; |
| --- | --- |

11.

Considers it essential, with a view to encouraging synergies between the Structural Funds and the Union's other programmes, to adopt a macroregion approach and draw up strategies for macroregions that include the ORs, taking advantage of those regions’ characteristics and resources;

| 12. | Calls on the national and regional authorities to draw on a multi-fund approach and establish links between the Structural Funds and the financial instruments provided under the European Union’s other programmes, wherever this is possible and more efficient; |
| --- | --- |

12.

Calls on the national and regional authorities to draw on a multi-fund approach and establish links between the Structural Funds and the financial instruments provided under the European Union’s other programmes, wherever this is possible and more efficient;

| 13. | Calls on the Commission to flesh out the EU’s strategy in respect of the ORs in such a way as to enable those region’s assets to be developed while taking into account their permanent structural constraints; calls on the Commission, in this connection, to act on the proposals made by the ORs, including those contained in their action plans; |
| --- | --- |

13.

Calls on the Commission to flesh out the EU’s strategy in respect of the ORs in such a way as to enable those region’s assets to be developed while taking into account their permanent structural constraints; calls on the Commission, in this connection, to act on the proposals made by the ORs, including those contained in their action plans;

Synergies with the Horizon 2020 programme

| 14. | Believes that the ORs have the potential to be at the forefront of research and technology in the areas covered by the Horizon 2020 objectives, such as space, the aerospace industry, biotechnology, observation of natural hazards, marine research, biodiversity, renewable energy, health, adaptation to climate change and smart transport solutions; |
| --- | --- |

14.

Believes that the ORs have the potential to be at the forefront of research and technology in the areas covered by the Horizon 2020 objectives, such as space, the aerospace industry, biotechnology, observation of natural hazards, marine research, biodiversity, renewable energy, health, adaptation to climate change and smart transport solutions;

| 15. | Points out that one of the aims of cohesion policy over the period 2014-2020 is to step up research, technological development and innovation efforts; |
| --- | --- |

15.

Points out that one of the aims of cohesion policy over the period 2014-2020 is to step up research, technological development and innovation efforts;

| 16. | Criticises the fact that, owing to the serious difficulties which their projects face in meeting some of the requirements for securing EU funding as a result of their specific characteristics, the ORs have not received sufficient support under the 2007-2013 programme for research and development, which has resulted in low levels of participation and success and a weak OR presence in European research networks; calls therefore on the Commission to take steps to support research in the ORs and help achieve a critical mass; |
| --- | --- |

16.

Criticises the fact that, owing to the serious difficulties which their projects face in meeting some of the requirements for securing EU funding as a result of their specific characteristics, the ORs have not received sufficient support under the 2007-2013 programme for research and development, which has resulted in low levels of participation and success and a weak OR presence in European research networks; calls therefore on the Commission to take steps to support research in the ORs and help achieve a critical mass;

| 17. | Believes that ERDF funding alone will not be enough to allow the ORs to meet the Europe 2020 and Horizon 2020 targets; considers, in this connection, that the Commission should make the necessary adjustments and guarantee OR access to the Horizon 2020 programme by setting up dedicated programmes that can help to foster greater OR inclusion in European and international research and innovation networks; points out in this connection that the Horizon 2020 strategy itself, in its ‘Spreading Excellence and Widening Participation’ section, draws attention to significant disparities, as identified in the Innovation Union Scoreboard, between research and innovation performance and the specific measures for spreading excellence and widening participation in Member States and regions that are low-performing in terms of research and innovation; |
| --- | --- |

17.

Believes that ERDF funding alone will not be enough to allow the ORs to meet the Europe 2020 and Horizon 2020 targets; considers, in this connection, that the Commission should make the necessary adjustments and guarantee OR access to the Horizon 2020 programme by setting up dedicated programmes that can help to foster greater OR inclusion in European and international research and innovation networks; points out in this connection that the Horizon 2020 strategy itself, in its ‘Spreading Excellence and Widening Participation’ section, draws attention to significant disparities, as identified in the Innovation Union Scoreboard, between research and innovation performance and the specific measures for spreading excellence and widening participation in Member States and regions that are low-performing in terms of research and innovation;

| 18. | Calls for OR universities to be expanded and promoted in order to help, in synergy with Horizon 2020, to raise the European and international profile of those universities, their research centres, their researchers and their students; points out that all the programmes promoting inter-university mobility — for students, teachers and administrative staff — are seriously compromised in the ORs owing to the extra costs arising from distance and isolation; |
| --- | --- |

18.

Calls for OR universities to be expanded and promoted in order to help, in synergy with Horizon 2020, to raise the European and international profile of those universities, their research centres, their researchers and their students; points out that all the programmes promoting inter-university mobility — for students, teachers and administrative staff — are seriously compromised in the ORs owing to the extra costs arising from distance and isolation;

| 19. | Points out that research and innovation programmes should be sufficiently flexible to adapt to new frontiers and new challenges for knowledge, such as the sea-bed, which has significant potential; |
| --- | --- |

19.

Points out that research and innovation programmes should be sufficiently flexible to adapt to new frontiers and new challenges for knowledge, such as the sea-bed, which has significant potential;

| 20. | Highlights the growing economic interest in the immense riches of the ocean depths and the enormous biogenetic, mineral and biotechnology potential of the outermost regions, which must be included in the ‘Renewed Strategy for the ORs’ with the aim of developing a knowledge economy based on the sea and creating economic activities with a high added value in areas such as medicine, pharmaceuticals and energy, among others; |
| --- | --- |

20.

Highlights the growing economic interest in the immense riches of the ocean depths and the enormous biogenetic, mineral and biotechnology potential of the outermost regions, which must be included in the ‘Renewed Strategy for the ORs’ with the aim of developing a knowledge economy based on the sea and creating economic activities with a high added value in areas such as medicine, pharmaceuticals and energy, among others;

Synergies with the internal market

| 21. | Calls on the Commission to draw on the various conclusions set out in the Solbes report with a view to enhancing the ORs’ inclusion and development in the internal market; |
| --- | --- |

21.

Calls on the Commission to draw on the various conclusions set out in the Solbes report with a view to enhancing the ORs’ inclusion and development in the internal market;

| 22. | Points out in this connection that, in terms of competition, the circumstances are not the same as in the rest of the European area, since in the ORs a free market is not possible in most sectors of activity, the bulk of which cannot attract private investment; notes that the supply of high-quality products at competitive prices in the ORs can only be ensured if the state provides appropriate financial support, and takes the view that the Commission should accordingly conduct an urgent assessment with a view to making the EU legislative framework more flexible and better suited to these specific circumstances; |
| --- | --- |

22.

Points out in this connection that, in terms of competition, the circumstances are not the same as in the rest of the European area, since in the ORs a free market is not possible in most sectors of activity, the bulk of which cannot attract private investment; notes that the supply of high-quality products at competitive prices in the ORs can only be ensured if the state provides appropriate financial support, and takes the view that the Commission should accordingly conduct an urgent assessment with a view to making the EU legislative framework more flexible and better suited to these specific circumstances;

| 23. | Calls on the Commission to enforce the competition rules more strictly in order to guard against monopolies and cartels in the ORs; |
| --- | --- |

23.

Calls on the Commission to enforce the competition rules more strictly in order to guard against monopolies and cartels in the ORs;

| 24. | Calls on the Commission to publish a guide for small and medium-sized enterprises in the ORs and on their contribution to the internal market, taking account of the various European programmes and funds in force in the ORs; |
| --- | --- |

24.

Calls on the Commission to publish a guide for small and medium-sized enterprises in the ORs and on their contribution to the internal market, taking account of the various European programmes and funds in force in the ORs;

| 25. | Calls on the Commission to look into the issue of the additional costs and high cost of living in the ORs and to take this issue into account when shaping European policies; |
| --- | --- |

25.

Calls on the Commission to look into the issue of the additional costs and high cost of living in the ORs and to take this issue into account when shaping European policies;

Synergies with the LIFE+ programme and the Energy 2020 strategy

| 26. | Believes that the ORs’ potential in the areas of biodiversity management, conservation and rehabilitation, adaptation to climate change and renewable energy development can be maximised through the establishment of synergies and cross-funding arrangements between cohesion policy, the LIFE+ programme and the Energy 2020 strategy, and that this will at the same time enable the Union to achieve its own objectives; |
| --- | --- |

26.

Believes that the ORs’ potential in the areas of biodiversity management, conservation and rehabilitation, adaptation to climate change and renewable energy development can be maximised through the establishment of synergies and cross-funding arrangements between cohesion policy, the LIFE+ programme and the Energy 2020 strategy, and that this will at the same time enable the Union to achieve its own objectives;

| 27. | Notes that cofinancing is to be provided for innovative environmental conservation and climate change projects under the LIFE+ programme for 2014-2020; considers it vital to create synergies with thematic objectives 5 and 6 of the cohesion policy for 2014-2020, given the need to step up OR participation in the LIFE+ programme; |
| --- | --- |

27.

Notes that cofinancing is to be provided for innovative environmental conservation and climate change projects under the LIFE+ programme for 2014-2020; considers it vital to create synergies with thematic objectives 5 and 6 of the cohesion policy for 2014-2020, given the need to step up OR participation in the LIFE+ programme;

| 28. | Deplores the failure to make the BEST preparatory action a fully-fledged programme for the ORs and OCTs, in spite of the views expressed by Parliament and the Council conclusions of 25 June 2009; |
| --- | --- |

28.

Deplores the failure to make the BEST preparatory action a fully-fledged programme for the ORs and OCTs, in spite of the views expressed by Parliament and the Council conclusions of 25 June 2009;

| 29. | Deplores the failure to include the animal and plant species requiring protection in the French ORs in Annex I to Directive 92/43/EEC (habitats, wild flora and fauna), which has, in practice, made it impossible for the directive to be implemented in the French ORs and for those ORs to take part in Natura 2000 networks and programmes; |
| --- | --- |

29.

Deplores the failure to include the animal and plant species requiring protection in the French ORs in Annex I to Directive 92/43/EEC (habitats, wild flora and fauna), which has, in practice, made it impossible for the directive to be implemented in the French ORs and for those ORs to take part in Natura 2000 networks and programmes;

| 30. | Calls on the Commission to draw up a specific Natura 2000 programme for the ORs on the basis of Article 349 of the TFEU; |
| --- | --- |

30.

Calls on the Commission to draw up a specific Natura 2000 programme for the ORs on the basis of Article 349 of the TFEU;

| 31. | Calls on the Commission, drawing on the positive examples and results achieved by some outermost regions in the field of renewable energy, to encourage measures geared to achieving energy self-sufficiency and meeting the Energy 2020 targets, and reminds the Commission of its proposal that a specific programme be established in the field of energy to reduce supply, infrastructure and service costs in the ORs in order to promote renewable energy policies, based on the POSEI programmes and with the best possible synergies with other EU strands of action; |
| --- | --- |

31.

Calls on the Commission, drawing on the positive examples and results achieved by some outermost regions in the field of renewable energy, to encourage measures geared to achieving energy self-sufficiency and meeting the Energy 2020 targets, and reminds the Commission of its proposal that a specific programme be established in the field of energy to reduce supply, infrastructure and service costs in the ORs in order to promote renewable energy policies, based on the POSEI programmes and with the best possible synergies with other EU strands of action;

| 32. | Draws attention to the need to promote action to harness the renewable energy potential of islands, where fossil fuel dependency is aggravated by distance and geographical isolation; considers, accordingly, that account should be taken of the need to include instruments in European energy policy that will make it possible adequately to address the challenges posed by isolated energy systems; |
| --- | --- |

32.

Draws attention to the need to promote action to harness the renewable energy potential of islands, where fossil fuel dependency is aggravated by distance and geographical isolation; considers, accordingly, that account should be taken of the need to include instruments in European energy policy that will make it possible adequately to address the challenges posed by isolated energy systems;

Synergies with European youth programmes

| 33. | Points out that thematic objectives 8, 9 and 10 of the new cohesion policy cover employment, social inclusion, action against poverty, education, skills and lifelong learning; |
| --- | --- |

33.

Points out that thematic objectives 8, 9 and 10 of the new cohesion policy cover employment, social inclusion, action against poverty, education, skills and lifelong learning;

| 34. | Stresses that the ORs have some of the highest unemployment rates in the EU and that youth unemployment rates are particularly high; draws attention nonetheless to the difficulties experienced in implementing Youth Guarantee funding through cofinancing; regrets, furthermore, the lack of any special provisions for the ORs in the Programme for Employment and Social Innovation and draws attention to the difficulties experienced by the ORs in taking advantage of the opportunities offered by the Progress programme; calls for further action on the employment front in the form of an urgent pilot plan to combat unemployment in the ORs; calls for special youth employment action teams to be set up in the Commission, with a view to implementing the Youth Guarantee scheme and mobilising the ESF and the YEI; |
| --- | --- |

34.

Stresses that the ORs have some of the highest unemployment rates in the EU and that youth unemployment rates are particularly high; draws attention nonetheless to the difficulties experienced in implementing Youth Guarantee funding through cofinancing; regrets, furthermore, the lack of any special provisions for the ORs in the Programme for Employment and Social Innovation and draws attention to the difficulties experienced by the ORs in taking advantage of the opportunities offered by the Progress programme; calls for further action on the employment front in the form of an urgent pilot plan to combat unemployment in the ORs; calls for special youth employment action teams to be set up in the Commission, with a view to implementing the Youth Guarantee scheme and mobilising the ESF and the YEI;

| 35. | Calls on the EIB to include the ORs in its Jobs for Youth initiative and its Investment in Skills programme; |
| --- | --- |

35.

Calls on the EIB to include the ORs in its Jobs for Youth initiative and its Investment in Skills programme;

| 36. | Voices concern at the severe skills drain from the ORs brought about by high unemployment rates and a lack of suitable training opportunities, given that a properly trained and qualified workforce is an essential prerequisite for sustainable growth, especially in fields specific or traditional to those regions, and for spurring the development of new types of activity to address global challenges; |
| --- | --- |

36.

Voices concern at the severe skills drain from the ORs brought about by high unemployment rates and a lack of suitable training opportunities, given that a properly trained and qualified workforce is an essential prerequisite for sustainable growth, especially in fields specific or traditional to those regions, and for spurring the development of new types of activity to address global challenges;

| 37. | Notes that the new Erasmus programme is intended to foster the development of a knowledge society; stresses that it is essential for this goal to be met if the Europe 2020 strategy, under which knowledge is viewed as the primary driving force in Europe’s economy, is to be a success; points, accordingly, to the need for greater synergies to be achieved between the Erasmus programme and the ESF in the ORs, in order to maximise local human capital and expertise, which are powerful driving forces for growth; |
| --- | --- |

37.

Notes that the new Erasmus programme is intended to foster the development of a knowledge society; stresses that it is essential for this goal to be met if the Europe 2020 strategy, under which knowledge is viewed as the primary driving force in Europe’s economy, is to be a success; points, accordingly, to the need for greater synergies to be achieved between the Erasmus programme and the ESF in the ORs, in order to maximise local human capital and expertise, which are powerful driving forces for growth;

| 38. | Supports the further development of universities in the ORs and the establishment of new centres of excellence, with a view to giving OR universities a higher profile and enhancing their drawing power in Europe; supports the development of partnerships between universities, not least as a result of the opening up of such arrangements to universities in non-EU countries with which ORs have a special relationship; calls for the additional travel costs arising as a result of the ORs’ remoteness to be under the Erasmus+ and Eures programmes, so that OR students may take advantage of European exchange and training programmes and that OR universities could seek to derive greater benefit from the Erasmus Mundus programme between the Member States and the rest of the world; |
| --- | --- |

38.

Supports the further development of universities in the ORs and the establishment of new centres of excellence, with a view to giving OR universities a higher profile and enhancing their drawing power in Europe; supports the development of partnerships between universities, not least as a result of the opening up of such arrangements to universities in non-EU countries with which ORs have a special relationship; calls for the additional travel costs arising as a result of the ORs’ remoteness to be under the Erasmus+ and Eures programmes, so that OR students may take advantage of European exchange and training programmes and that OR universities could seek to derive greater benefit from the Erasmus Mundus programme between the Member States and the rest of the world;

Synergies with trans-European networks (transport, telecommunications, energy)

| 39. | Draws attention to the Teixeira report on the role of cohesion policy in the outermost regions of the European Union in the context of EU 2020 (2011/2195(INI)), which called on the Commission to establish a specific programme in the field of energy, transport, and information and communication technologies, based on the POSEI schemes, and in particular to lay down a specific framework providing for transport subsidies in the ORs, particularly for public transport and to develop shipping services between islands; |
| --- | --- |

39.

Draws attention to the Teixeira report on the role of cohesion policy in the outermost regions of the European Union in the context of EU 2020 (2011/2195(INI)), which called on the Commission to establish a specific programme in the field of energy, transport, and information and communication technologies, based on the POSEI schemes, and in particular to lay down a specific framework providing for transport subsidies in the ORs, particularly for public transport and to develop shipping services between islands;

| 40. | Stresses the need for synergies to be created in the ORs between the trans-European networks, the Connecting Europe Facility, the Civitas and Horizon 2020 programmes and ERDF and Cohesion Fund funding for transport, telecommunications and energy projects; |
| --- | --- |

40.

Stresses the need for synergies to be created in the ORs between the trans-European networks, the Connecting Europe Facility, the Civitas and Horizon 2020 programmes and ERDF and Cohesion Fund funding for transport, telecommunications and energy projects;

| 41. | Points out that accessibility plays a key role where the development of the ORs is concerned, frequently requiring a complex internal and external network of sea and air transport services and creating difficulties as regards mobility and accessibility, bearing in mind that the ORs have no alternative to air or sea transport and also have to cope with increased transport costs, a fact which in itself entails adverse economic and social effects; |
| --- | --- |

41.

Points out that accessibility plays a key role where the development of the ORs is concerned, frequently requiring a complex internal and external network of sea and air transport services and creating difficulties as regards mobility and accessibility, bearing in mind that the ORs have no alternative to air or sea transport and also have to cope with increased transport costs, a fact which in itself entails adverse economic and social effects;

| 42. | Welcomes the Commission’s intention to include the ORs in the trans-European networks, but deplores the fact that most of the ORs have been excluded from the priority corridors and hence also from CEF funding; calls on the Commission to look again at the exclusion of the ORs when considering its strategy for the outermost regions and to guarantee investment in transport in the ORs, so as to help them to cope with their remoteness and their island status; calls on the Commission to establish a specific sectoral framework for ORs in order to make them more accessible and improve links to mainland Europe; |
| --- | --- |

42.

Welcomes the Commission’s intention to include the ORs in the trans-European networks, but deplores the fact that most of the ORs have been excluded from the priority corridors and hence also from CEF funding; calls on the Commission to look again at the exclusion of the ORs when considering its strategy for the outermost regions and to guarantee investment in transport in the ORs, so as to help them to cope with their remoteness and their island status; calls on the Commission to establish a specific sectoral framework for ORs in order to make them more accessible and improve links to mainland Europe;

| 43. | Deplores the fact that progress with the sea highways has been hampered by the priority given to short sea links, given that this approach discriminates against the ORs; calls on the Commission to look again at the exclusion of the ORs when considering its strategy for the outermost regions; |
| --- | --- |

43.

Deplores the fact that progress with the sea highways has been hampered by the priority given to short sea links, given that this approach discriminates against the ORs; calls on the Commission to look again at the exclusion of the ORs when considering its strategy for the outermost regions;

| 44. | Points to the need to review the state aid framework for sea transport in order to enable public support to be provided for links between ORs and countries outside the EU; |
| --- | --- |

44.

Points to the need to review the state aid framework for sea transport in order to enable public support to be provided for links between ORs and countries outside the EU;

| 45. | Stresses the need to adjust the classification system for regional airports, given that, as far as the ORs are concerned, passenger flows and profitability cannot be the sole criteria; |
| --- | --- |

45.

Stresses the need to adjust the classification system for regional airports, given that, as far as the ORs are concerned, passenger flows and profitability cannot be the sole criteria;

| 46. | Believes that, in view of the digital economy’s importance, the digital divide between the ORs and mainland Europe is hampering the ORs’ development and competitiveness; points out that this digital divide, which is a result of delays in the roll-out and modernisation of ICT infrastructure in the ORs, is adding to the problems already faced by the ORs because of their geographical remoteness; suggests that the development of ICTs in the ORs should be stepped up by extending and modernising networks, exploiting synergies with the ERDF and granting easier access to EIB funding for projects in this area, and also points to the need to grant the ORs priority access to the GMES and Galileo programmes; |
| --- | --- |

46.

Believes that, in view of the digital economy’s importance, the digital divide between the ORs and mainland Europe is hampering the ORs’ development and competitiveness; points out that this digital divide, which is a result of delays in the roll-out and modernisation of ICT infrastructure in the ORs, is adding to the problems already faced by the ORs because of their geographical remoteness; suggests that the development of ICTs in the ORs should be stepped up by extending and modernising networks, exploiting synergies with the ERDF and granting easier access to EIB funding for projects in this area, and also points to the need to grant the ORs priority access to the GMES and Galileo programmes;

Synergies with EU maritime policy (CFP, EMFF)

| 47. | Points out that the ORs contribute towards the EU’s status as a world maritime power; |
| --- | --- |

47.

Points out that the ORs contribute towards the EU’s status as a world maritime power;

| 48. | Calls on the Commission to take greater account of Europe’s global maritime dimension, the importance of the sea, the oceans and blue growth to the EU as a whole, the strategic location of the ORs, and the role they can play in ensuring that seas, oceans and coastal areas are used in a sustainable way, as well as in global maritime governance and the development of a knowledge economy based on the sea; |
| --- | --- |

48.

Calls on the Commission to take greater account of Europe’s global maritime dimension, the importance of the sea, the oceans and blue growth to the EU as a whole, the strategic location of the ORs, and the role they can play in ensuring that seas, oceans and coastal areas are used in a sustainable way, as well as in global maritime governance and the development of a knowledge economy based on the sea;

| 49. | Draws attention to the lack of synergies between cohesion policy and the CFP, which still takes too little account of conditions in the ORs; stresses the importance of maintaining a POSEI scheme for fisheries, and proposes that research and innovation should be stepped up in the maritime economy, as they are a potential source of growth; |
| --- | --- |

49.

Draws attention to the lack of synergies between cohesion policy and the CFP, which still takes too little account of conditions in the ORs; stresses the importance of maintaining a POSEI scheme for fisheries, and proposes that research and innovation should be stepped up in the maritime economy, as they are a potential source of growth;

| 50. | Stresses that the ORs are dependent on the fish stocks in their EEZs, which are biologically and ecologically highly vulnerable, and believes, therefore, that biogeographically sensitive OR zones need to be properly and effectively protected, including by allowing only local fleets using environment-friendly fishing gear to enter such zones; emphasises the need to ensure that fishery resources are used in a balanced and sustainable manner while maintaining the same level of fishing activity; calls for proper account to be taken of the long-term interests of local people when EU fisheries agreements are negotiated, with OR stakeholders playing a part in those negotiations, and for a section on the ORs to be included in all impact studies; |
| --- | --- |

50.

Stresses that the ORs are dependent on the fish stocks in their EEZs, which are biologically and ecologically highly vulnerable, and believes, therefore, that biogeographically sensitive OR zones need to be properly and effectively protected, including by allowing only local fleets using environment-friendly fishing gear to enter such zones; emphasises the need to ensure that fishery resources are used in a balanced and sustainable manner while maintaining the same level of fishing activity; calls for proper account to be taken of the long-term interests of local people when EU fisheries agreements are negotiated, with OR stakeholders playing a part in those negotiations, and for a section on the ORs to be included in all impact studies;

| 51. | Deplores the fact that the POSEI Fisheries programme, which established a scheme to compensate for the additional costs incurred in the marketing of OR fishery products, has recently been absorbed into the European Maritime and Fisheries Fund (EMFF) and thus ceased to be governed by a self-contained regulation aimed specifically and exclusively at the ORs, a fact which reduces the importance of the positive discrimination that the ORs are entitled to enjoy under Article 349 of the TFEU; |
| --- | --- |

51.

Deplores the fact that the POSEI Fisheries programme, which established a scheme to compensate for the additional costs incurred in the marketing of OR fishery products, has recently been absorbed into the European Maritime and Fisheries Fund (EMFF) and thus ceased to be governed by a self-contained regulation aimed specifically and exclusively at the ORs, a fact which reduces the importance of the positive discrimination that the ORs are entitled to enjoy under Article 349 of the TFEU;

| 52. | Criticises the fact that, given the situation in some ORs, that those regions will not be granted fleet renewal aid under the new CFP; |
| --- | --- |

52.

Criticises the fact that, given the situation in some ORs, that those regions will not be granted fleet renewal aid under the new CFP;

Synergies with the common agricultural policy

| 53. | Points out that farming is a thriving industry which provides jobs and plays a role in the development of activities with a high added value; also points out, however, that a number of specific factors — such as the small size of farm holdings and the limited market — have a major impact on farming in the ORs; draws attention to the fact that objective 3 of the new cohesion policy covers the development of SMEs in the farming sector; |
| --- | --- |

53.

Points out that farming is a thriving industry which provides jobs and plays a role in the development of activities with a high added value; also points out, however, that a number of specific factors — such as the small size of farm holdings and the limited market — have a major impact on farming in the ORs; draws attention to the fact that objective 3 of the new cohesion policy covers the development of SMEs in the farming sector;

| 54. | Points out that farming in the ORs is grappling with the challenges of diversification and competitiveness, as well as with new challenges which include globalisation, market liberalisation, food safety and sustainable development; |
| --- | --- |

54.

Points out that farming in the ORs is grappling with the challenges of diversification and competitiveness, as well as with new challenges which include globalisation, market liberalisation, food safety and sustainable development;

| 55. | Stresses that the POSEI programme, which has proved its worth but is hampered by chronic underfunding that needs to be dealt with as a matter of urgency, should remain in place; points to the need to ensure that POSEI has the necessary resources to help OR producers to cope with the impact of the liberalisation of a number of sectors resulting from EU policies and international agreements concluded in the milk, sugar, rum, meat and banana sectors in particular; stresses, in this connection, the economic, social and environmental importance of all OR agricultural products; maintains that the POSEI system should continue within its own self-contained framework; |
| --- | --- |

55.

Stresses that the POSEI programme, which has proved its worth but is hampered by chronic underfunding that needs to be dealt with as a matter of urgency, should remain in place; points to the need to ensure that POSEI has the necessary resources to help OR producers to cope with the impact of the liberalisation of a number of sectors resulting from EU policies and international agreements concluded in the milk, sugar, rum, meat and banana sectors in particular; stresses, in this connection, the economic, social and environmental importance of all OR agricultural products; maintains that the POSEI system should continue within its own self-contained framework;

| 56. | Believes that synergies should be created between cohesion policy and the EAFRD, with a view to modernising and extending irrigation networks and for the purposes of spatial planning, training and capitalising on the tourism potential of sustainable agriculture and rural communities; |
| --- | --- |

56.

Believes that synergies should be created between cohesion policy and the EAFRD, with a view to modernising and extending irrigation networks and for the purposes of spatial planning, training and capitalising on the tourism potential of sustainable agriculture and rural communities;

| 57. | Calls on the Commission to bolster local production and marketing of agricultural products, so that high-quality local products may take the place of imports; |
| --- | --- |

57.

Calls on the Commission to bolster local production and marketing of agricultural products, so that high-quality local products may take the place of imports;

| 58. | Supports the introduction of protected designations of origin and local labels in the ORs, and hopes that the promotional policy used will be tailored to the needs of the ORs and that GIs will be safeguarded; |
| --- | --- |

58.

Supports the introduction of protected designations of origin and local labels in the ORs, and hopes that the promotional policy used will be tailored to the needs of the ORs and that GIs will be safeguarded;

Synergies with EU external policy

| 59. | Deplores the continued lack of a proper linkage between the European funds EDF, ERDF and ETC, in particular in cross-border cooperation projects, despite the fact that this is essential if the funds’ objectives are to be met; points to the need, in this respect, to ensure that the programming methods used for the EDF and for the ERDF are compatible; |
| --- | --- |

59.

Deplores the continued lack of a proper linkage between the European funds EDF, ERDF and ETC, in particular in cross-border cooperation projects, despite the fact that this is essential if the funds’ objectives are to be met; points to the need, in this respect, to ensure that the programming methods used for the EDF and for the ERDF are compatible;

| 60. | Calls on the Commission to initiate discussions between the Member States, the ORs, the OCTs and the ACP countries, with a view to fostering closer dialogue and better integration of the ORs into their geographical areas; emphasises that, to this end, the EU delegations should play an even more pivotal role in facilitating dialogue between the various stakeholders involved in programming in the ORs, the OCTs and the ACP countries; |
| --- | --- |

60.

Calls on the Commission to initiate discussions between the Member States, the ORs, the OCTs and the ACP countries, with a view to fostering closer dialogue and better integration of the ORs into their geographical areas; emphasises that, to this end, the EU delegations should play an even more pivotal role in facilitating dialogue between the various stakeholders involved in programming in the ORs, the OCTs and the ACP countries;

| 61. | Calls on the Commission to take greater account of the geo-strategic importance of the ORs, which stems from their proximity to other continents; |
| --- | --- |

61.

Calls on the Commission to take greater account of the geo-strategic importance of the ORs, which stems from their proximity to other continents;

| 62. | Calls on the Commission to complete the wider neighbourhood action plan, on which it has been working since 1999, and to identify the factors that will help ORs to become more closely integrated into the geographical regions in which they are located, as well as the barriers to such integration; draws attention in this context to the particularly close historical and cultural relations that each OR has with non-EU countries and to the potential for developing economic, trade and cooperation relations with various regions of the world; |
| --- | --- |

62.

Calls on the Commission to complete the wider neighbourhood action plan, on which it has been working since 1999, and to identify the factors that will help ORs to become more closely integrated into the geographical regions in which they are located, as well as the barriers to such integration; draws attention in this context to the particularly close historical and cultural relations that each OR has with non-EU countries and to the potential for developing economic, trade and cooperation relations with various regions of the world;

| 63. | Calls on the Commission to take greater account of the impact that trade agreements concluded with non-EU countries have on OR economies, with impact studies being conducted in advance of each agreement in order to ensure that any ‘sensitive’ products are protected and fair compensation is provided for any losses incurred in specific sectors; calls also for a procedure for consulting OR regional authorities to be introduced; recommends that the Commission should arrange for periodic studies to be carried out in respect of the international agreements currently in force, in order to assess and take proper account of the vulnerability of OR markets; |
| --- | --- |

63.

Calls on the Commission to take greater account of the impact that trade agreements concluded with non-EU countries have on OR economies, with impact studies being conducted in advance of each agreement in order to ensure that any ‘sensitive’ products are protected and fair compensation is provided for any losses incurred in specific sectors; calls also for a procedure for consulting OR regional authorities to be introduced; recommends that the Commission should arrange for periodic studies to be carried out in respect of the international agreements currently in force, in order to assess and take proper account of the vulnerability of OR markets;

| 64. | Criticises the failure to take account of OR interests in the agreements concluded with Latin American and ACP countries, as well as the fact that no impact assessments were conducted prior to the negotiation of those agreements; |
| --- | --- |

64.

Criticises the failure to take account of OR interests in the agreements concluded with Latin American and ACP countries, as well as the fact that no impact assessments were conducted prior to the negotiation of those agreements;

| 65. | Calls on the Commission to negotiate the inclusion in all trade agreements with ACP countries that lie close to ORs a specific section on the creation of an OR-ACP market, with a view to integrating ORs more closely into their geographical neighbourhood; |
| --- | --- |

65.

Calls on the Commission to negotiate the inclusion in all trade agreements with ACP countries that lie close to ORs a specific section on the creation of an OR-ACP market, with a view to integrating ORs more closely into their geographical neighbourhood;

| 66. | Draws attention to the fact that the ORs can be a real asset for the EU in connection with building humanitarian response capacity and deploying it when natural disasters occur; recommends, in this connection, that a European civil protection force should be set up; |
| --- | --- |

66.

Draws attention to the fact that the ORs can be a real asset for the EU in connection with building humanitarian response capacity and deploying it when natural disasters occur; recommends, in this connection, that a European civil protection force should be set up;

Synergies with programmes to combat poverty and social exclusion

| 67. | Draws attention to the fact that a number of fundamental problems exist in the ORs, one of them being social exclusion; points out that thematic objective 9 of the new cohesion policy covers social inclusion and action against poverty and all forms of discrimination and that support for the most deprived sections of society is an ERDF investment priority; |
| --- | --- |

67.

Draws attention to the fact that a number of fundamental problems exist in the ORs, one of them being social exclusion; points out that thematic objective 9 of the new cohesion policy covers social inclusion and action against poverty and all forms of discrimination and that support for the most deprived sections of society is an ERDF investment priority;

| 68. | Welcomes the adoption of the FEAD Regulation and calls for it to be fully and properly implemented in the ORs; |
| --- | --- |

68.

Welcomes the adoption of the FEAD Regulation and calls for it to be fully and properly implemented in the ORs;

| 69. | Points out that some ORs are faced with major housing shortages stemming from, among other things, strong population growth; advocates the establishment of a social housing investment scheme and the introduction of special measures under which aid in support of investment in social housing is not considered to be State aid; points out that other ORs are facing growing desertification, which is also leading to deterioration of their characteristic built environment, and that this latter problem has to be tackled by supporting urban regeneration and stimulating economic activities suited to the areas affected, so as to encourage the population to remain there; |
| --- | --- |

69.

Points out that some ORs are faced with major housing shortages stemming from, among other things, strong population growth; advocates the establishment of a social housing investment scheme and the introduction of special measures under which aid in support of investment in social housing is not considered to be State aid; points out that other ORs are facing growing desertification, which is also leading to deterioration of their characteristic built environment, and that this latter problem has to be tackled by supporting urban regeneration and stimulating economic activities suited to the areas affected, so as to encourage the population to remain there;

Synergies with the COSME programme and the Progress Microfinance Facility

| 70. | Points out that some ORs are located in areas in which industrial competition is fierce, in particular owing to low labour costs and an abundant supply of raw materials in neighbouring countries; draws attention to the fact that thematic objectives 3 and 8 of the 2014-2020 cohesion policy cover action to enhance SME competitiveness and promote high-quality sustainable employment; |
| --- | --- |

70.

Points out that some ORs are located in areas in which industrial competition is fierce, in particular owing to low labour costs and an abundant supply of raw materials in neighbouring countries; draws attention to the fact that thematic objectives 3 and 8 of the 2014-2020 cohesion policy cover action to enhance SME competitiveness and promote high-quality sustainable employment;

| 71. | Points out that, although they show a healthy start-up rate despite the crisis, very small and small and medium-sized businesses in the ORs are finding it increasingly difficult to gain access to financing, and that this is jeopardising their development and future survival; |
| --- | --- |

71.

Points out that, although they show a healthy start-up rate despite the crisis, very small and small and medium-sized businesses in the ORs are finding it increasingly difficult to gain access to financing, and that this is jeopardising their development and future survival;

| 72. | Welcomes in this connection the objectives set for the future COSME programme, under which support will be provided to European SMEs, in particular as regards access to finance and to new markets; welcomes the development of the Progress Microfinance Facility; calls on the Commission to ensure that these programmes are implemented efficiently in the ORs as well and welcomes the possibility of dialogue with the EIB and the European Investment Fund in order to explore avenues for improving access to financing for OR SMEs with a view to setting up local investment funds in each OR and developing regional investment capital markets; |
| --- | --- |

72.

Welcomes in this connection the objectives set for the future COSME programme, under which support will be provided to European SMEs, in particular as regards access to finance and to new markets; welcomes the development of the Progress Microfinance Facility; calls on the Commission to ensure that these programmes are implemented efficiently in the ORs as well and welcomes the possibility of dialogue with the EIB and the European Investment Fund in order to explore avenues for improving access to financing for OR SMEs with a view to setting up local investment funds in each OR and developing regional investment capital markets;

| 73. | Stresses that the economic development model for each OR needs to be geared to harnessing its potential; points out, for example, that the shortage of waste processing facilities provides an opportunity to make substantial headway in terms of both job creation and environmental protection; |
| --- | --- |

73.

Stresses that the economic development model for each OR needs to be geared to harnessing its potential; points out, for example, that the shortage of waste processing facilities provides an opportunity to make substantial headway in terms of both job creation and environmental protection;

| 74. | Welcomes the recent opening of the public consultation on a Green Action Plan for SMEs; calls on the Commission to take proper account of the problems and expertise of outermost-region SMEs in this area when it draws up its conclusions on that consultation; |
| --- | --- |

74.

Welcomes the recent opening of the public consultation on a Green Action Plan for SMEs; calls on the Commission to take proper account of the problems and expertise of outermost-region SMEs in this area when it draws up its conclusions on that consultation;

| 75. | Stresses that tourism is a key economic driver in the ORs; considers it essential therefore for joint ERDF-COSME support to be provided for efforts to expand and modernise the ORs’ hotel network, in order to help diversify and develop the sustainable tourism services on offer in the ORs; |
| --- | --- |

75.

Stresses that tourism is a key economic driver in the ORs; considers it essential therefore for joint ERDF-COSME support to be provided for efforts to expand and modernise the ORs’ hotel network, in order to help diversify and develop the sustainable tourism services on offer in the ORs;

| 76. | Considers that thought should be given to simplifying visa policies in respect of both EU Member States and some non-EU countries, in order to streamline formalities for tourists and foster the development of multi-destination tourism in the ORs and neighbouring countries; |
| --- | --- |

76.

Considers that thought should be given to simplifying visa policies in respect of both EU Member States and some non-EU countries, in order to streamline formalities for tourists and foster the development of multi-destination tourism in the ORs and neighbouring countries;

Synergies with the Creative Europe programme

| 77. | Notes that some ORs are highly multicultural societies and points to the need for cultural interchange between the ORs and mainland Europe; calls on the Commission to allow projects from ORs to be funded under the Creative Europe programme; |
| --- | --- |

77.

Notes that some ORs are highly multicultural societies and points to the need for cultural interchange between the ORs and mainland Europe; calls on the Commission to allow projects from ORs to be funded under the Creative Europe programme;

| 78. | Calls on the Commission to draw up a strategy for the development and dissemination of the ORs' cultural heritage, using the Euromed Heritage IV programme as a model; |
| --- | --- |

78.

Calls on the Commission to draw up a strategy for the development and dissemination of the ORs' cultural heritage, using the Euromed Heritage IV programme as a model;

o

o o

| 79. | Instructs its President to forward this resolution to the Council and the Commission. |
| --- | --- |

79.

Instructs its President to forward this resolution to the Council and the Commission.

---

(1)  OJ C 279 E, 19.11.2009, p. 12.

(2)  OJ C 258 E, 7.9.2013, p. 1.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/68 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/68

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P7_TA(2014)0134

Evaluation of the Union's finances

European Parliament resolution of 26 February 2014 on the evaluation of the Union’s finances based on the results achieved: a new tool for the European Commission’s improved discharge procedure (2013/2172(INI))

(2017/C 285/09)

The European Parliament,

| — | having regard to Articles 318 and 319 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Articles 318 and 319 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to the evaluation reports adopted by the Commission in 2012 and 2013 (COM(2012)0040, COM(2012)0675 and COM(2013)0461), |
| --- | --- |

—

having regard to the evaluation reports adopted by the Commission in 2012 and 2013 (COM(2012)0040, COM(2012)0675 and COM(2013)0461),

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Budgetary Control (A7-0068/2014), |
| --- | --- |

—

having regard to the report of the Committee on Budgetary Control (A7-0068/2014),

| A. | whereas evaluation is a tool aimed at identifying and understanding the results and impact of a process and identifying alternatives to help in decision-making which would lead to further improvement of that process; |
| --- | --- |

A.

whereas evaluation is a tool aimed at identifying and understanding the results and impact of a process and identifying alternatives to help in decision-making which would lead to further improvement of that process;

| B. | whereas auditing is not to be confused with evaluation, evaluation being up to the management authorities while auditing is the responsibility of auditing bodies; |
| --- | --- |

B.

whereas auditing is not to be confused with evaluation, evaluation being up to the management authorities while auditing is the responsibility of auditing bodies;

| C. | whereas evaluation of results and performance auditing rely on the objectives laid down at the earliest stage at the programming level; |
| --- | --- |

C.

whereas evaluation of results and performance auditing rely on the objectives laid down at the earliest stage at the programming level;

| D. | whereas in his June 2011 presentation of the Commission’s draft for the new multiannual financial framework, President Barroso called for budgetary decisions to be made ‘not through traditional headings driven by bureaucracy but in terms of facts and goals [...] to make the most out of every euro spent’; |
| --- | --- |

D.

whereas in his June 2011 presentation of the Commission’s draft for the new multiannual financial framework, President Barroso called for budgetary decisions to be made ‘not through traditional headings driven by bureaucracy but in terms of facts and goals [...] to make the most out of every euro spent’;

| E. | whereas, despite the Commission’s commitment to performance, activity-based budgeting is still the fundamental principle in drafting the Union’s budget; |
| --- | --- |

E.

whereas, despite the Commission’s commitment to performance, activity-based budgeting is still the fundamental principle in drafting the Union’s budget;

| F. | whereas on 3 July 2013 Parliament asked the Commission to set up a working group comprising representatives of the Commission, Parliament, the Council and the Court of Auditors to examine measures aimed at implementing a performance-based budget and developing a scheduled action plan to this end; |
| --- | --- |

F.

whereas on 3 July 2013 Parliament asked the Commission to set up a working group comprising representatives of the Commission, Parliament, the Council and the Court of Auditors to examine measures aimed at implementing a performance-based budget and developing a scheduled action plan to this end;

| 1. | Points out that, thanks to its focus on the Union’s finances on the basis of the results achieved, the evaluation report introduced under Article 318 TFEU complements the compliance approach developed by the Court of Auditors in Chapters 1 to 9 of its annual report and gives Parliament the opportunity to exercise more effectively its power of political scrutiny over the actions of the European public authorities; |
| --- | --- |

1.

Points out that, thanks to its focus on the Union’s finances on the basis of the results achieved, the evaluation report introduced under Article 318 TFEU complements the compliance approach developed by the Court of Auditors in Chapters 1 to 9 of its annual report and gives Parliament the opportunity to exercise more effectively its power of political scrutiny over the actions of the European public authorities;

| 2. | Recalls that the discharge is a political procedure which focuses on the implementation of the European Union budget by the Commission under its own responsibility and in cooperation with the Member States; |
| --- | --- |

2.

Recalls that the discharge is a political procedure which focuses on the implementation of the European Union budget by the Commission under its own responsibility and in cooperation with the Member States;

| 3. | Recalls that on 17 April 2013 Parliament urged the Commission to modify the structure of the Article 318 evaluation report, ‘distinguishing the internal policies from the external ones and focussing, within the section relating to internal policies, on the Europe 2020 strategy [...] plac[ing] the emphasis on the progress made in the achievement of the flagship initiatives’ (1); |
| --- | --- |

3.

Recalls that on 17 April 2013 Parliament urged the Commission to modify the structure of the Article 318 evaluation report, ‘distinguishing the internal policies from the external ones and focussing, within the section relating to internal policies, on the Europe 2020 strategy [...] plac[ing] the emphasis on the progress made in the achievement of the flagship initiatives’ (1);

| 4. | Recalls also that the Interinstitutional Agreement (2) accompanying the Multiannual Financial Framework (MFF) 2014-2020 specifies that ‘the Commission will distinguish the internal policies, focused on the Europe 2020 strategy, from the external ones and will use more performance information, including performance audit results, to evaluate the EU’s finances based on the results achieved’; |
| --- | --- |

4.

Recalls also that the Interinstitutional Agreement (2) accompanying the Multiannual Financial Framework (MFF) 2014-2020 specifies that ‘the Commission will distinguish the internal policies, focused on the Europe 2020 strategy, from the external ones and will use more performance information, including performance audit results, to evaluate the EU’s finances based on the results achieved’;

| 5. | Points out that activity-based budgeting is still the fundamental principle when drafting the budget of the Union; is worried by the fact that the Court of Auditors, in its 2012 annual report, concludes that for many areas of the EU budget the legislative framework is complex and that there is insufficient focus on performance, and regrets that the proposals on agriculture and cohesion for the 2014–2020 programming period remain fundamentally input-based (expenditure oriented) and, therefore, still focused on compliance with the rules rather than on performance; |
| --- | --- |

5.

Points out that activity-based budgeting is still the fundamental principle when drafting the budget of the Union; is worried by the fact that the Court of Auditors, in its 2012 annual report, concludes that for many areas of the EU budget the legislative framework is complex and that there is insufficient focus on performance, and regrets that the proposals on agriculture and cohesion for the 2014–2020 programming period remain fundamentally input-based (expenditure oriented) and, therefore, still focused on compliance with the rules rather than on performance;

| 6. | Welcomes the fact that in its last report on the evaluation of the Union’s finances based on the results achieved (COM(2013)0461) the Commission took on board several recommendations made by Parliament in its decisions to grant discharge; |
| --- | --- |

6.

Welcomes the fact that in its last report on the evaluation of the Union’s finances based on the results achieved (COM(2013)0461) the Commission took on board several recommendations made by Parliament in its decisions to grant discharge;

| 7. | Deplores, nevertheless, the fact that instead of focusing on the achievement of the Union’s main objectives, and the effectiveness of its policies, the Commission provided a range of evaluation summaries covering EU programmes in all policy areas of expenditure under the current MFF, according to the current budget headings; |
| --- | --- |

7.

Deplores, nevertheless, the fact that instead of focusing on the achievement of the Union’s main objectives, and the effectiveness of its policies, the Commission provided a range of evaluation summaries covering EU programmes in all policy areas of expenditure under the current MFF, according to the current budget headings;

| 8. | Points out that the Court of Auditors has assessed the second and third evaluation reports and has come to the conclusion that, while there have been improvements, the reports do not yet provide evidence of what the EU’s policies have achieved that is sufficient, relevant and reliable enough to be used in the discharge procedure; |
| --- | --- |

8.

Points out that the Court of Auditors has assessed the second and third evaluation reports and has come to the conclusion that, while there have been improvements, the reports do not yet provide evidence of what the EU’s policies have achieved that is sufficient, relevant and reliable enough to be used in the discharge procedure;

| 9. | Urges the Commission to use specific information on the achievements of the Member States in its evaluation on the financial achievements of the Union; |
| --- | --- |

9.

Urges the Commission to use specific information on the achievements of the Member States in its evaluation on the financial achievements of the Union;

| 10. | Insists that the evaluation report on financial performance should not produce another set of partial evaluations, whether they be carried out at mid-term or at the end of the programming period; |
| --- | --- |

10.

Insists that the evaluation report on financial performance should not produce another set of partial evaluations, whether they be carried out at mid-term or at the end of the programming period;

| 11. | Points out that the budgetary authority needs, annually, a clear view of the real extent to which the Union’s main objectives have been achieved, to be provided by, in a first step, an evaluation of the main financial programmes and, in a second step, a cross-cutting evaluation, by programme statements of operational expenditures (3), assessing to what extent the programmes have contributed to achieving the objectives of the Europe 2020 strategy; |
| --- | --- |

11.

Points out that the budgetary authority needs, annually, a clear view of the real extent to which the Union’s main objectives have been achieved, to be provided by, in a first step, an evaluation of the main financial programmes and, in a second step, a cross-cutting evaluation, by programme statements of operational expenditures (3), assessing to what extent the programmes have contributed to achieving the objectives of the Europe 2020 strategy;

| 12. | Considers that the Commission evaluation should serve as a source of information and inspiration for the Court of Auditors; asks the Court to audit the Commission’s evaluation process annually, to report on it to Parliament in its annual report and to take it into account when defining its performance audit programme; |
| --- | --- |

12.

Considers that the Commission evaluation should serve as a source of information and inspiration for the Court of Auditors; asks the Court to audit the Commission’s evaluation process annually, to report on it to Parliament in its annual report and to take it into account when defining its performance audit programme;

| 13. | Calls on the Court to report to Parliament on the progress made by the Commission in designing and operating its risk management, governance and internal control processes with a view to achieving the Union’s objectives in a transparent and accountable manner, and to formulate recommendations if any shortcomings are encountered; |
| --- | --- |

13.

Calls on the Court to report to Parliament on the progress made by the Commission in designing and operating its risk management, governance and internal control processes with a view to achieving the Union’s objectives in a transparent and accountable manner, and to formulate recommendations if any shortcomings are encountered;

| 14. | Welcomes the action plan for the development of the Article 318 evaluation report, as set out in the staff working document accompanying the Commission’s last evaluation report (SWD(2013)0229), and, in particular, appreciates the fact that the Article 318 evaluation report incorporates performance information from the management plans, the annual activity reports and the synthesis report, as requested by Parliament in 2013; |
| --- | --- |

14.

Welcomes the action plan for the development of the Article 318 evaluation report, as set out in the staff working document accompanying the Commission’s last evaluation report (SWD(2013)0229), and, in particular, appreciates the fact that the Article 318 evaluation report incorporates performance information from the management plans, the annual activity reports and the synthesis report, as requested by Parliament in 2013;

| 15. | Welcomes, also, the fact that the Commission intends to structure and base its evaluation report on the new performance framework for the next MFF; |
| --- | --- |

15.

Welcomes, also, the fact that the Commission intends to structure and base its evaluation report on the new performance framework for the next MFF;

| 16. | Points out that such a performance framework should encompass the following three main elements: achievement of the programme objectives (results), sound programme management by the Commission and the Member States, and how programme results and sound management contribute to the Union’s main objectives; |
| --- | --- |

16.

Points out that such a performance framework should encompass the following three main elements: achievement of the programme objectives (results), sound programme management by the Commission and the Member States, and how programme results and sound management contribute to the Union’s main objectives;

| 17. | Emphasises that this performance evaluation can only be carried out in areas where the EU exercises real political responsibility and where it can actually exert significant influence; |
| --- | --- |

17.

Emphasises that this performance evaluation can only be carried out in areas where the EU exercises real political responsibility and where it can actually exert significant influence;

| 18. | Insists on the need to aggregate the data yielded by the evaluation process at global level and, as regards internal policies, in relation to Europe 2020 objectives; |
| --- | --- |

18.

Insists on the need to aggregate the data yielded by the evaluation process at global level and, as regards internal policies, in relation to Europe 2020 objectives;

| 19. | Calls on the Commission to submit to it and to the Council the evaluation report on the Union’s finances based on the results achieved, as provided for in the second paragraph of Article 318 TFEU, before 30 June of the year following the financial year which is the subject of the evaluation; |
| --- | --- |

19.

Calls on the Commission to submit to it and to the Council the evaluation report on the Union’s finances based on the results achieved, as provided for in the second paragraph of Article 318 TFEU, before 30 June of the year following the financial year which is the subject of the evaluation;

| 20. | Instructs its President to forward this resolution to the Commission, the Council and the Court of Auditors of the European Union. |
| --- | --- |

20.

Instructs its President to forward this resolution to the Commission, the Council and the Court of Auditors of the European Union.

---

(1)  See Parliament’s decision on ‘discharge in respect of the implementation of the general budget of the European Union for the financial year 2011, Section III — Commission and executive agencies’ (OJ L 308, 16.11.2013, p. 27).

(2)  OJ C 373, 20.12.2013, p. 1.

(3)  See ‘Draft General Budget of the European Commission for the financial year 2014:Working Document Part I — Programme Statements of operational expenditures’, COM(2013)0450, June 2013.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/71 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/71

---

P7_TA(2014)0161

Long-term financing of the European economy

European Parliament resolution of 26 February 2014 on long-term financing of the European economy (2013/2175(INI))

(2017/C 285/10)

The European Parliament,

| — | having regard to the Commission Green Paper entitled ‘Long-Term Financing of the European Economy’ (COM(2013)0150), |
| --- | --- |

—

having regard to the Commission Green Paper entitled ‘Long-Term Financing of the European Economy’ (COM(2013)0150),

| — | having regard to the Commission proposal for a regulation of the European Parliament and of the Council on European Long-term Investment Funds (COM(2013)0462), |
| --- | --- |

—

having regard to the Commission proposal for a regulation of the European Parliament and of the Council on European Long-term Investment Funds (COM(2013)0462),

| — | having regard to the OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors, |
| --- | --- |

—

having regard to the OECD High-Level Principles of Long-Term Investment Financing by Institutional Investors,

| — | having regard to the Commission communication entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020), |
| --- | --- |

—

having regard to the Commission communication entitled ‘Europe 2020: A strategy for smart, sustainable and inclusive growth’ (COM(2010)2020),

| — | having regard to the Commission communication entitled ‘“Think Small First’: A ‘Small Business Act for Europe’’ (COM(2008)0394), which recognises the central role of SMEs in the EU economy and aims to strengthen it and to promote their growth and job-creating potential by alleviating a number of problems thought to hamper their development, |
| --- | --- |

—

having regard to the Commission communication entitled ‘“Think Small First’: A ‘Small Business Act for Europe’’ (COM(2008)0394), which recognises the central role of SMEs in the EU economy and aims to strengthen it and to promote their growth and job-creating potential by alleviating a number of problems thought to hamper their development,

| — | having regard to the Commission communication entitled ‘An action plan to improve access to finance for SMEs’ (COM(2011)0870), |
| --- | --- |

—

having regard to the Commission communication entitled ‘An action plan to improve access to finance for SMEs’ (COM(2011)0870),

| — | having regard to the Commission ‘proposal for a regulation of the European Parliament and of the Council establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (2014-2020)’ (COM(2011)0834), |
| --- | --- |

—

having regard to the Commission ‘proposal for a regulation of the European Parliament and of the Council establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (2014-2020)’ (COM(2011)0834),

| — | having regard to the Commission communication of 23 February 2011 entitled ‘Review of the “Small Business Act” for Europe’ (COM(2011)0078) and to Parliament’s resolution of 12 May 2011 thereon (1), |
| --- | --- |

—

having regard to the Commission communication of 23 February 2011 entitled ‘Review of the “Small Business Act” for Europe’ (COM(2011)0078) and to Parliament’s resolution of 12 May 2011 thereon (1),

| — | having regard to Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds (2), |
| --- | --- |

—

having regard to Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds (2),

| — | having regard to Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (3), |
| --- | --- |

—

having regard to Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (3),

| — | having regard to the Transatlantic Trade and Investment Partnership negotiations, |
| --- | --- |

—

having regard to the Transatlantic Trade and Investment Partnership negotiations,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Economic and Monetary Affairs and to the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0065/2014), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs and to the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0065/2014),

| A. | whereas, according to the Commission, commercial banks are a primary source of finance in the EU, providing over 75 % of financial intermediation; |
| --- | --- |

A.

whereas, according to the Commission, commercial banks are a primary source of finance in the EU, providing over 75 % of financial intermediation;

| B. | whereas the global financial crisis and the sovereign debt crisis in the EU have significantly hampered the financial intermediation process and the ability of Europe’s financial sector to channel savings to long-term investment needs, given the weak macroeconomic environment; |
| --- | --- |

B.

whereas the global financial crisis and the sovereign debt crisis in the EU have significantly hampered the financial intermediation process and the ability of Europe’s financial sector to channel savings to long-term investment needs, given the weak macroeconomic environment;

| C. | whereas public investment has a key role to play in driving long-term investment; whereas, as shown by the Commission's recent studies (4), fiscal consolidation policies, in particular when coordinated at EU level, have had a very severe impact on long-term investment, owing to spillover effects and the existence of a positive fiscal multiplier; |
| --- | --- |

C.

whereas public investment has a key role to play in driving long-term investment; whereas, as shown by the Commission's recent studies (4), fiscal consolidation policies, in particular when coordinated at EU level, have had a very severe impact on long-term investment, owing to spillover effects and the existence of a positive fiscal multiplier;

| D. | whereas the EU’s international competitors, such as the US or Japan, have maintained high levels of public investment, while EU policies have led to very low levels of such investment; |
| --- | --- |

D.

whereas the EU’s international competitors, such as the US or Japan, have maintained high levels of public investment, while EU policies have led to very low levels of such investment;

| E. | whereas there is a persistent lack of confidence and a high level of risk aversion on the part of both private and institutional investors; |
| --- | --- |

E.

whereas there is a persistent lack of confidence and a high level of risk aversion on the part of both private and institutional investors;

| F. | whereas the low-interest environment, low growth projections, at least for the foreseeable future, and economic uncertainty have significantly decreased the supply of long-term financing and the risk appetite for long-term projects; |
| --- | --- |

F.

whereas the low-interest environment, low growth projections, at least for the foreseeable future, and economic uncertainty have significantly decreased the supply of long-term financing and the risk appetite for long-term projects;

| G. | whereas limited public finances in the Member States have hampered public-sector capacity to invest in infrastructure; |
| --- | --- |

G.

whereas limited public finances in the Member States have hampered public-sector capacity to invest in infrastructure;

| H. | whereas Parliament has more than once requested a legislative act on company restructuring (as already requested in January 2013) so as to allow long-term planning by businesses; |
| --- | --- |

H.

whereas Parliament has more than once requested a legislative act on company restructuring (as already requested in January 2013) so as to allow long-term planning by businesses;

| I. | whereas increasing overall unemployment, and youth unemployment in particular, remains a major threat to economic and social convergence at EU level; |
| --- | --- |

I.

whereas increasing overall unemployment, and youth unemployment in particular, remains a major threat to economic and social convergence at EU level;

Reasoning

| 1. | Welcomes the Commission’s initiative of starting a broad debate on ways to foster the supply of long-term financing and to improve and diversify the system of financial intermediation for long-term investment in the EU; stresses, however, that concrete advances need to be made as a matter of urgency in order to relaunch long-term investment and job creation in the EU; stresses that the definition of long-term financing should be balanced and include the existence of stable liabilities in order to handle long-term assets without any risk of excessive liquidity; |
| --- | --- |

1.

Welcomes the Commission’s initiative of starting a broad debate on ways to foster the supply of long-term financing and to improve and diversify the system of financial intermediation for long-term investment in the EU; stresses, however, that concrete advances need to be made as a matter of urgency in order to relaunch long-term investment and job creation in the EU; stresses that the definition of long-term financing should be balanced and include the existence of stable liabilities in order to handle long-term assets without any risk of excessive liquidity;

| 2. | Stresses that long-term investments must be in line with the needs of the real economy so as to provide the necessary basis for the continuous and sustainable economic growth and social well-being needed in order to achieve a competitive, sustainable, socially inclusive and innovative EU; |
| --- | --- |

2.

Stresses that long-term investments must be in line with the needs of the real economy so as to provide the necessary basis for the continuous and sustainable economic growth and social well-being needed in order to achieve a competitive, sustainable, socially inclusive and innovative EU;

| 3. | Notes the specificity of the circumstances faced by the local and regional levels and calls for efficient cooperation between the EU institutions, the Member States and local and regional authorities so as to facilitate transnational projects and the establishment of a long-term investment culture across the EU; |
| --- | --- |

3.

Notes the specificity of the circumstances faced by the local and regional levels and calls for efficient cooperation between the EU institutions, the Member States and local and regional authorities so as to facilitate transnational projects and the establishment of a long-term investment culture across the EU;

| 4. | Stresses that long-term investments must be in line with the objectives of the Europe 2020 growth strategy, the 2012 industrial policy update, the Innovation Union initiative and the Connecting Europe Facility; |
| --- | --- |

4.

Stresses that long-term investments must be in line with the objectives of the Europe 2020 growth strategy, the 2012 industrial policy update, the Innovation Union initiative and the Connecting Europe Facility;

| 5. | Stresses that training and education costs should be treated as long-term investments; |
| --- | --- |

5.

Stresses that training and education costs should be treated as long-term investments;

| 6. | Notes that the economy’s capacity to provide financing for long-term investment depends on public and private demand, both of which are very low in the EU, its investment culture and its ability to generate financing capacity and attract and retain domestic and foreign direct investment capital; |
| --- | --- |

6.

Notes that the economy’s capacity to provide financing for long-term investment depends on public and private demand, both of which are very low in the EU, its investment culture and its ability to generate financing capacity and attract and retain domestic and foreign direct investment capital;

| 7. | Emphasises that long-term investments play a crucial role in stabilising financial markets through counter-cyclical investment, thereby promoting sustainable economic growth; |
| --- | --- |

7.

Emphasises that long-term investments play a crucial role in stabilising financial markets through counter-cyclical investment, thereby promoting sustainable economic growth;

| 8. | Notes that banks in the EU provide over 75 % of long-term financing, which creates significant dependence on this funding source, while in the US less than 20 % of all long-term financing is provided by banks, and a large majority through well-developed capital markets; |
| --- | --- |

8.

Notes that banks in the EU provide over 75 % of long-term financing, which creates significant dependence on this funding source, while in the US less than 20 % of all long-term financing is provided by banks, and a large majority through well-developed capital markets;

| 9. | Notes that the EU financial system will become more resilient with a broader range of non-bank finance sources and instruments that serve savers and the long-term financing needs of companies; |
| --- | --- |

9.

Notes that the EU financial system will become more resilient with a broader range of non-bank finance sources and instruments that serve savers and the long-term financing needs of companies;

| 10. | Notes that in order to achieve EU objectives in the fields of climate and energy, asset allocation needs to be pushed towards long-term green investment; |
| --- | --- |

10.

Notes that in order to achieve EU objectives in the fields of climate and energy, asset allocation needs to be pushed towards long-term green investment;

| 11. | Emphasises that fiscal consolidation is the priority for public budgets with a view to ensuring and restoring compliance with the Stability and Growth Pact and the ‘two-pack’; supports, therefore, the initiative aimed at enhancing private investment in long-term financing; |
| --- | --- |

11.

Emphasises that fiscal consolidation is the priority for public budgets with a view to ensuring and restoring compliance with the Stability and Growth Pact and the ‘two-pack’; supports, therefore, the initiative aimed at enhancing private investment in long-term financing;

Barriers to smart, sustainable and inclusive growth

| 12. | Notes that public financing is limited owing to slow economic growth, poor public budget management and the granting of state aid to save financial institutions; |
| --- | --- |

12.

Notes that public financing is limited owing to slow economic growth, poor public budget management and the granting of state aid to save financial institutions;

| 13. | Notes that some countries are facing serious obstacles to, or even being denied, access to capital markets because they have contracted excessive levels of debt in recent years, while capital markets were the main cause of the recent crisis; notes, further, that SMEs in many Member States are having great difficulty accessing capital because commercial banks are only prepared to grant loans subject to unduly tough conditions; |
| --- | --- |

13.

Notes that some countries are facing serious obstacles to, or even being denied, access to capital markets because they have contracted excessive levels of debt in recent years, while capital markets were the main cause of the recent crisis; notes, further, that SMEs in many Member States are having great difficulty accessing capital because commercial banks are only prepared to grant loans subject to unduly tough conditions;

| 14. | Notes that some investors in the banking and insurance sectors need to adapt their business models to evolving and tightened regulatory requirements; points out that these requirements are supposed to strengthen the financing of the real economy and should contribute to the overarching EU objectives aimed at a sustainable, inclusive and smart economy; |
| --- | --- |

14.

Notes that some investors in the banking and insurance sectors need to adapt their business models to evolving and tightened regulatory requirements; points out that these requirements are supposed to strengthen the financing of the real economy and should contribute to the overarching EU objectives aimed at a sustainable, inclusive and smart economy;

| 15. | Notes that investors may also be deterred from investing in certain sectors, given the risk of regulatory changes which can materially alter the economics of a project; |
| --- | --- |

15.

Notes that investors may also be deterred from investing in certain sectors, given the risk of regulatory changes which can materially alter the economics of a project;

| 16. | Calls on the Commission, in cooperation with the European Systemic Risk Board, to assess systemic risks to capital markets and society at large owing to the overhang of unburnable carbon assets; asks the Commission to report on that assessment as a follow-up to its Green Paper; |
| --- | --- |

16.

Calls on the Commission, in cooperation with the European Systemic Risk Board, to assess systemic risks to capital markets and society at large owing to the overhang of unburnable carbon assets; asks the Commission to report on that assessment as a follow-up to its Green Paper;

| 17. | Notes that current bankruptcy codes in the EU are fragmented and may, in some cases, deter cross-border investment and restrict investors’ ability to recover their capital in the event that a project fails; warns that a race to the bottom as regards investor protection must be avoided; recognises that bankruptcy provisions fall within the competence of the Member States; |
| --- | --- |

17.

Notes that current bankruptcy codes in the EU are fragmented and may, in some cases, deter cross-border investment and restrict investors’ ability to recover their capital in the event that a project fails; warns that a race to the bottom as regards investor protection must be avoided; recognises that bankruptcy provisions fall within the competence of the Member States;

Alternative funding mechanisms

| 18. | Notes that commercial banks are likely to remain a main source of finance and that it is key for the Member States to establish new sources to complement established mechanisms and fill the funding gap, while providing for an appropriate regulatory and supervisory framework geared to the needs of the real economy; considers it regrettable that over the last 20 years public offerings have been declining in the EU, hampering growth, job creation, innovation and stability; notes that listed SMEs account for a significant proportion of all jobs created in the EU and considers regrettable the negative consequences of such companies being limited in terms of capital while they are growing; |
| --- | --- |

18.

Notes that commercial banks are likely to remain a main source of finance and that it is key for the Member States to establish new sources to complement established mechanisms and fill the funding gap, while providing for an appropriate regulatory and supervisory framework geared to the needs of the real economy; considers it regrettable that over the last 20 years public offerings have been declining in the EU, hampering growth, job creation, innovation and stability; notes that listed SMEs account for a significant proportion of all jobs created in the EU and considers regrettable the negative consequences of such companies being limited in terms of capital while they are growing;

| 19. | Proposes that consideration be given to the creation of an investment section in the EU budget; |
| --- | --- |

19.

Proposes that consideration be given to the creation of an investment section in the EU budget;

| 20. | Welcomes the Commission's legislative proposal in relation to long-term investment funds; notes that their envisaged characteristics will mean that they serve mainly institutional investors; points out that the EU regime for alternative investment funds, venture capital and social investment funds also provides suitable investment vehicle models; |
| --- | --- |

20.

Welcomes the Commission's legislative proposal in relation to long-term investment funds; notes that their envisaged characteristics will mean that they serve mainly institutional investors; points out that the EU regime for alternative investment funds, venture capital and social investment funds also provides suitable investment vehicle models;

| 21. | Emphasises the strengthened role of new, innovative financial instruments in all fields of activity and in all the funding covered by the European Structural and Investment Funds; stresses that the role of financial instruments in cohesion policy is growing, given the poor availability of lending for investment in the real economy; calls on the Commission to guarantee the legal clarity and transparency of the new off-the-shelf financial instruments and to establish firmer links with the lending options of the European Investment Bank (EIB); |
| --- | --- |

21.

Emphasises the strengthened role of new, innovative financial instruments in all fields of activity and in all the funding covered by the European Structural and Investment Funds; stresses that the role of financial instruments in cohesion policy is growing, given the poor availability of lending for investment in the real economy; calls on the Commission to guarantee the legal clarity and transparency of the new off-the-shelf financial instruments and to establish firmer links with the lending options of the European Investment Bank (EIB);

| 22. | Calls on the Commission to propose an enhanced European framework for less liquid investment funds in order to channel private households’ short-term liquidity into long-term investments and provide an additional retirement solution; |
| --- | --- |

22.

Calls on the Commission to propose an enhanced European framework for less liquid investment funds in order to channel private households’ short-term liquidity into long-term investments and provide an additional retirement solution;

| 23. | Encourages stakeholders in the EU-EIB Project Bond Initiative to develop it further in order to increase the financing of large European infrastructure projects in the transport, energy and information technology sectors; calls on the Member States to develop national project bond initiatives underpinned by guarantee schemes; recalls that public guarantees should only be granted under strict conditions aimed at ensuring the adequate provision of public goods; |
| --- | --- |

23.

Encourages stakeholders in the EU-EIB Project Bond Initiative to develop it further in order to increase the financing of large European infrastructure projects in the transport, energy and information technology sectors; calls on the Member States to develop national project bond initiatives underpinned by guarantee schemes; recalls that public guarantees should only be granted under strict conditions aimed at ensuring the adequate provision of public goods;

| 24. | Believes that public-private partnerships (PPPs) can be an effective and cost-efficient means of facilitating collaboration between the public and private sectors for certain investments, especially in infrastructure projects; notes that there is a strong need for a high level of expertise to allow the proper selection, evaluation, design and long-term planning of, and the establishment of funding arrangements for, such projects; |
| --- | --- |

24.

Believes that public-private partnerships (PPPs) can be an effective and cost-efficient means of facilitating collaboration between the public and private sectors for certain investments, especially in infrastructure projects; notes that there is a strong need for a high level of expertise to allow the proper selection, evaluation, design and long-term planning of, and the establishment of funding arrangements for, such projects;

| 25. | Believes that long-term public investors (national, regional or multilateral development banks and public financial institutions) are strong tools for stimulating private investment so as to allow SMEs access to funding and to catalyse long-term financing for undertakings of broader public interest and of strategic importance, namely those which would add value to public policy objectives related to economic growth, social cohesion and environmental protection; underlines the importance of accountability, transparency and democratic ownership of desirable long-term investment aims and facilitation mechanisms; |
| --- | --- |

25.

Believes that long-term public investors (national, regional or multilateral development banks and public financial institutions) are strong tools for stimulating private investment so as to allow SMEs access to funding and to catalyse long-term financing for undertakings of broader public interest and of strategic importance, namely those which would add value to public policy objectives related to economic growth, social cohesion and environmental protection; underlines the importance of accountability, transparency and democratic ownership of desirable long-term investment aims and facilitation mechanisms;

| 26. | Calls on the Commission, in a follow-up paper, to explore and develop a harmonised approach to the long-term valuation of projects of general interest supported with public resources at the EU and national levels; |
| --- | --- |

26.

Calls on the Commission, in a follow-up paper, to explore and develop a harmonised approach to the long-term valuation of projects of general interest supported with public resources at the EU and national levels;

| 27. | Calls on the Member States to create appropriate networks for cooperation and the exchange of information, and to set up national or regional long-term public investors which can learn from the best practice of already established institutions; emphasises, in this connection, that such national or regional development banks, which are often structured along cooperative lines, have continued to offer reliable funding to regional and local economies during the current crisis; calls on the Commission and the Member States to strengthen their support for financial institutions of this type; |
| --- | --- |

27.

Calls on the Member States to create appropriate networks for cooperation and the exchange of information, and to set up national or regional long-term public investors which can learn from the best practice of already established institutions; emphasises, in this connection, that such national or regional development banks, which are often structured along cooperative lines, have continued to offer reliable funding to regional and local economies during the current crisis; calls on the Commission and the Member States to strengthen their support for financial institutions of this type;

| 28. | Calls on the Commission to explore ways to support Member States requiring financial and technical assistance to set up their long-term national and regional public investors, and to study the possibility of an EU guarantee mechanism for long-term national public investors; |
| --- | --- |

28.

Calls on the Commission to explore ways to support Member States requiring financial and technical assistance to set up their long-term national and regional public investors, and to study the possibility of an EU guarantee mechanism for long-term national public investors;

| 29. | Calls on the Commission and the Member States to explore the potential for aggregation and pooling techniques as a means of improving the prospects of smaller-scale social and other infrastructure projects when it comes to attracting the necessary investment; |
| --- | --- |

29.

Calls on the Commission and the Member States to explore the potential for aggregation and pooling techniques as a means of improving the prospects of smaller-scale social and other infrastructure projects when it comes to attracting the necessary investment;

| 30. | Notes the rapid growth of crowd funding and believes it may bring new opportunities; stresses, however, that investor protection and transparency must be preserved; |
| --- | --- |

30.

Notes the rapid growth of crowd funding and believes it may bring new opportunities; stresses, however, that investor protection and transparency must be preserved;

| 31. | Believes that institutional investors — insurance companies, pension funds, family businesses, mutual funds and endowments — are suitable and reliable providers of long-term financing, given the longer time horizons of their business models; stresses that appropriate supervisory and prudential requirements related to these institutional investors need to be refined and calibrated so as to promote long-term investment for a smart, sustainable and inclusive real economy; |
| --- | --- |

31.

Believes that institutional investors — insurance companies, pension funds, family businesses, mutual funds and endowments — are suitable and reliable providers of long-term financing, given the longer time horizons of their business models; stresses that appropriate supervisory and prudential requirements related to these institutional investors need to be refined and calibrated so as to promote long-term investment for a smart, sustainable and inclusive real economy;

| 32. | Stresses the need to improve access to capital markets through new sources of funding such as initial public offerings, crowd funding, peer-to-peer lending and (covered) bonds or through new market segments; calls on the EU to take stock of, and build on, successful national initiatives in order to identify and remove obstacles to initial public offerings; supports the introduction of the SME growth markets classification under the Markets in Financial Instruments Directive; calls on the Commission to support their development through the review of the Prospectus Directive; also calls on the Commission to consider a cross-directorate approach with a view to exploring how public markets for SMEs can be enhanced and how the Financial Services Action Plan Directives can diversify the pool of investors; |
| --- | --- |

32.

Stresses the need to improve access to capital markets through new sources of funding such as initial public offerings, crowd funding, peer-to-peer lending and (covered) bonds or through new market segments; calls on the EU to take stock of, and build on, successful national initiatives in order to identify and remove obstacles to initial public offerings; supports the introduction of the SME growth markets classification under the Markets in Financial Instruments Directive; calls on the Commission to support their development through the review of the Prospectus Directive; also calls on the Commission to consider a cross-directorate approach with a view to exploring how public markets for SMEs can be enhanced and how the Financial Services Action Plan Directives can diversify the pool of investors;

| 33. | Encourages regulatory efforts that guarantee high-quality securitisation of assets while preventing structures of high complexity, excessive re-securitisation and more than three tranches; notes that there is scope for more standardisation and transparency with regard to the underlying risks; calls on the Commission and the European Central Bank to follow closely, and participate actively in, the work of the International Organisation of Securities Commissions–Financial Stability Board (FSB) working group on securitisation; notes that a consistent approach is lacking, and therefore calls for the development of an overall regulatory framework and a definition of ‘high-quality securitisation’; considers that high-quality securitisation can play a useful role in financial intermediation of both long- and short-term assets and be beneficial for small and medium-sized borrowers; |
| --- | --- |

33.

Encourages regulatory efforts that guarantee high-quality securitisation of assets while preventing structures of high complexity, excessive re-securitisation and more than three tranches; notes that there is scope for more standardisation and transparency with regard to the underlying risks; calls on the Commission and the European Central Bank to follow closely, and participate actively in, the work of the International Organisation of Securities Commissions–Financial Stability Board (FSB) working group on securitisation; notes that a consistent approach is lacking, and therefore calls for the development of an overall regulatory framework and a definition of ‘high-quality securitisation’; considers that high-quality securitisation can play a useful role in financial intermediation of both long- and short-term assets and be beneficial for small and medium-sized borrowers;

| 34. | Notes that securitisation was one of the factors contributing to the crisis, since long-term responsibility for risk was spread along the securitisation chain; calls on the Commission, therefore, to continue to strengthen both the banking system, including cooperative and public savings banks, and banks’ ability to access long-term refinancing to cover their long-term investments; |
| --- | --- |

34.

Notes that securitisation was one of the factors contributing to the crisis, since long-term responsibility for risk was spread along the securitisation chain; calls on the Commission, therefore, to continue to strengthen both the banking system, including cooperative and public savings banks, and banks’ ability to access long-term refinancing to cover their long-term investments;

| 35. | Welcomes the credit enhancement operations of the European Investment Fund (EIF) and the Competitiveness and Innovation Framework Programme intended to generate additional financing for SMEs; |
| --- | --- |

35.

Welcomes the credit enhancement operations of the European Investment Fund (EIF) and the Competitiveness and Innovation Framework Programme intended to generate additional financing for SMEs;

| 36. | Calls on the Commission to reduce unnecessary administrative and regulatory burden, and especially to take into account the specificities of SMEs and entrepreneurs; welcomes the adoption of the Small Business Act for Europe and of the Competitiveness of Enterprises and SMEs (COSME) and Horizon 2020 programmes; notes that the fragmentation of financial markets has made the financing of the SME sector more difficult and burdensome; |
| --- | --- |

36.

Calls on the Commission to reduce unnecessary administrative and regulatory burden, and especially to take into account the specificities of SMEs and entrepreneurs; welcomes the adoption of the Small Business Act for Europe and of the Competitiveness of Enterprises and SMEs (COSME) and Horizon 2020 programmes; notes that the fragmentation of financial markets has made the financing of the SME sector more difficult and burdensome;

| 37. | Recommends that the EIB set up a special branch for SME funding, with tailor-made loan conditions; |
| --- | --- |

37.

Recommends that the EIB set up a special branch for SME funding, with tailor-made loan conditions;

| 38. | Notes the Commission’s call for the use of private equity or venture capital, as regulated by the Alternative Investment Fund Managers (AIFM) Directive and the Regulation on European venture capital funds, as an alternative source of finance, in particular vis-à-vis companies in the start-up and growth phases; notes that there is currently a strong tax bias favouring debt financing; believes that venture capital and private equity firms can provide valuable non-financial support, including consultancy services, financial advice, advice on marketing strategy, and training; calls on the Commission further to assess the role of such firms in financing the EU economy; calls on the Commission to work on eliminating all bias against equity in the various national economies, the European economy and the global economy; |
| --- | --- |

38.

Notes the Commission’s call for the use of private equity or venture capital, as regulated by the Alternative Investment Fund Managers (AIFM) Directive and the Regulation on European venture capital funds, as an alternative source of finance, in particular vis-à-vis companies in the start-up and growth phases; notes that there is currently a strong tax bias favouring debt financing; believes that venture capital and private equity firms can provide valuable non-financial support, including consultancy services, financial advice, advice on marketing strategy, and training; calls on the Commission further to assess the role of such firms in financing the EU economy; calls on the Commission to work on eliminating all bias against equity in the various national economies, the European economy and the global economy;

Regulatory environment

| 39. | Emphasises that an investor-friendly business climate with a strong drive for technological progress is a prerequisite for making the EU an attractive destination for foreign direct investment; stresses the need to encourage the free movement of capital both within the EU and between the EU and third countries, so that the EU can access global pools of capital; notes in particular, in this connection, the importance of ensuring that the AIFM Directive is implemented in such a way as to encourage foreign investment in the EU; |
| --- | --- |

39.

Emphasises that an investor-friendly business climate with a strong drive for technological progress is a prerequisite for making the EU an attractive destination for foreign direct investment; stresses the need to encourage the free movement of capital both within the EU and between the EU and third countries, so that the EU can access global pools of capital; notes in particular, in this connection, the importance of ensuring that the AIFM Directive is implemented in such a way as to encourage foreign investment in the EU;

| 40. | Considers it important for investors to have a choice between many attractive investment products so that they can diversify their investment; |
| --- | --- |

40.

Considers it important for investors to have a choice between many attractive investment products so that they can diversify their investment;

| 41. | Stresses the need to eliminate excessive short-termism in investor behaviour and move towards a responsible investment culture conducive to long-term investment in the EU; |
| --- | --- |

41.

Stresses the need to eliminate excessive short-termism in investor behaviour and move towards a responsible investment culture conducive to long-term investment in the EU;

| 42. | Stresses the need to foster a shared understanding that financial stability and growth are not mutually exclusive, but rather interdependent, and form an important basis on which to build and enhance investor confidence on a long-term basis; |
| --- | --- |

42.

Stresses the need to foster a shared understanding that financial stability and growth are not mutually exclusive, but rather interdependent, and form an important basis on which to build and enhance investor confidence on a long-term basis;

| 43. | Underlines the importance of financial education and investor understanding in establishing a culture of long-term investment in the EU, and highlights the role that EU regulation can play in this regard; |
| --- | --- |

43.

Underlines the importance of financial education and investor understanding in establishing a culture of long-term investment in the EU, and highlights the role that EU regulation can play in this regard;

| 44. | Stresses that a consistent regulatory framework and legal certainty are indispensable for a functioning single market for financial services; believes that the current and future reform of the regulatory system should be carefully assessed, and its consequences closely followed; calls on the Commission and the Member States to speed up the promotion of the Banking Union in order to reduce the fragmentation of financial markets; calls on the Commission to complete the single market for services in order to unlock its full potential; |
| --- | --- |

44.

Stresses that a consistent regulatory framework and legal certainty are indispensable for a functioning single market for financial services; believes that the current and future reform of the regulatory system should be carefully assessed, and its consequences closely followed; calls on the Commission and the Member States to speed up the promotion of the Banking Union in order to reduce the fragmentation of financial markets; calls on the Commission to complete the single market for services in order to unlock its full potential;

| 45. | Calls for the implementation of incentives to enhance long-term shareholding, such as additional voting rights in management boards, additional shares and higher dividends; |
| --- | --- |

45.

Calls for the implementation of incentives to enhance long-term shareholding, such as additional voting rights in management boards, additional shares and higher dividends;

| 46. | Calls on the Commission to assess carefully the cumulative impact of already concluded and ongoing financial regulation of long-term investment; |
| --- | --- |

46.

Calls on the Commission to assess carefully the cumulative impact of already concluded and ongoing financial regulation of long-term investment;

| 47. | Welcomes developments in the ongoing negotiations on the Transatlantic Trade and Investment Partnership; notes the importance of these negotiations in strengthening policies and measures to increase US-EU investment in support of job creation, sustainable economic growth and international competitiveness; |
| --- | --- |

47.

Welcomes developments in the ongoing negotiations on the Transatlantic Trade and Investment Partnership; notes the importance of these negotiations in strengthening policies and measures to increase US-EU investment in support of job creation, sustainable economic growth and international competitiveness;

| 48. | Believes that a specific impact assessment of long-term financing should be included in any legislative proposals for relevant financial services regulation; |
| --- | --- |

48.

Believes that a specific impact assessment of long-term financing should be included in any legislative proposals for relevant financial services regulation;

| 49. | Supports the Commission's call for the European Insurance and Occupational Pensions Authority to examine the potential calibration of certain capital requirement provisions under the Solvency II regime with a view to avoiding possible obstacles to long-term financing; calls on the Commission to consult fully on the proposed calibrations and further to amend the current legislation; |
| --- | --- |

49.

Supports the Commission's call for the European Insurance and Occupational Pensions Authority to examine the potential calibration of certain capital requirement provisions under the Solvency II regime with a view to avoiding possible obstacles to long-term financing; calls on the Commission to consult fully on the proposed calibrations and further to amend the current legislation;

| 50. | Reiterates its call for the proposal for a regulation on prudential requirements for credit institutions and investment firms to assign an appropriate risk weight to exposures that are fully and completely secured by mortgages on critical infrastructure projects in the fields of transport, energy and communication; considers that further legislation should take into account the requirements of long-term investors, evaluate the risk attached to financial assets by including the nature and duration of liabilities, and recognise the positive effect of stable liabilities; |
| --- | --- |

50.

Reiterates its call for the proposal for a regulation on prudential requirements for credit institutions and investment firms to assign an appropriate risk weight to exposures that are fully and completely secured by mortgages on critical infrastructure projects in the fields of transport, energy and communication; considers that further legislation should take into account the requirements of long-term investors, evaluate the risk attached to financial assets by including the nature and duration of liabilities, and recognise the positive effect of stable liabilities;

| 51. | Encourages the Commission to seek enhanced international cooperation and convergence in the area of long-term investment by pursuing a global dialogue at the level of both the G20 and the FSB; |
| --- | --- |

51.

Encourages the Commission to seek enhanced international cooperation and convergence in the area of long-term investment by pursuing a global dialogue at the level of both the G20 and the FSB;

| 52. | Believes that investments in long-term assets require a thorough knowledge and assessment of the long-term risks attached to them; stresses, therefore, that investors need to establish strong expertise and good risk management in order to safeguard long-term commitments; |
| --- | --- |

52.

Believes that investments in long-term assets require a thorough knowledge and assessment of the long-term risks attached to them; stresses, therefore, that investors need to establish strong expertise and good risk management in order to safeguard long-term commitments;

| 53. | Believes that sound accounting principles consistent with long-term objectives applicable to institutional investors, such as the transition to a climate-friendly economy, can enhance the transparency and consistency of financial information and should systematically reflect the economic approach employed by long-term investors; stresses, however, that the implementation of these accounting principles must not have the effect of creating incentives for pro-cyclical strategies; urges the International Accounting Standards Board to take into consideration the risk of pro-cyclicality when reviewing the mark-to-market and mark-to-model practices and to recognise the central importance of prudence in the revision of its Conceptual Framework; believes that the disclosure of clear, standardised non-financial information pertaining to large companies can increase transparency and foster a more investor-friendly climate; |
| --- | --- |

53.

Believes that sound accounting principles consistent with long-term objectives applicable to institutional investors, such as the transition to a climate-friendly economy, can enhance the transparency and consistency of financial information and should systematically reflect the economic approach employed by long-term investors; stresses, however, that the implementation of these accounting principles must not have the effect of creating incentives for pro-cyclical strategies; urges the International Accounting Standards Board to take into consideration the risk of pro-cyclicality when reviewing the mark-to-market and mark-to-model practices and to recognise the central importance of prudence in the revision of its Conceptual Framework; believes that the disclosure of clear, standardised non-financial information pertaining to large companies can increase transparency and foster a more investor-friendly climate;

| 54. | Encourages the Commission to follow closely the G20's work on proposals to create a multilateral investment framework that sets minimum standards and modifies certain long-term investment regulations and fair value accounting rules in order to address short-term fluctuations and volatility, thereby fostering cross-border investment; |
| --- | --- |

54.

Encourages the Commission to follow closely the G20's work on proposals to create a multilateral investment framework that sets minimum standards and modifies certain long-term investment regulations and fair value accounting rules in order to address short-term fluctuations and volatility, thereby fostering cross-border investment;

| 55. | Believes that there is a strong need for a reliable tax environment which prevents impediments to long-term investment; notes that certain tax incentives and concessions can be key in fostering investment; encourages the sharing of best practices and stresses that the internal market requires transparency and better coordination of national tax policies in order to facilitate cross-border investment and avoid both double taxation and double non-taxation; encourages the Member States and the Commission to assess the possibility of granting tax-advantageous yields on sustainable infrastructure projects or other tax incentives and concessions to promote long-term investment; |
| --- | --- |

55.

Believes that there is a strong need for a reliable tax environment which prevents impediments to long-term investment; notes that certain tax incentives and concessions can be key in fostering investment; encourages the sharing of best practices and stresses that the internal market requires transparency and better coordination of national tax policies in order to facilitate cross-border investment and avoid both double taxation and double non-taxation; encourages the Member States and the Commission to assess the possibility of granting tax-advantageous yields on sustainable infrastructure projects or other tax incentives and concessions to promote long-term investment;

| 56. | Calls on the Member States, in collaboration with local and regional authorities, to revisit their budget planning tools and to develop and publish their own national infrastructure plans in order to provide investors and other stakeholders with detailed information and allow more certainty and forward planning in respect of future projects; calls on the Commission to enable the Member States to develop a means of standardising infrastructure project data and making it available via a central data warehouse; |
| --- | --- |

56.

Calls on the Member States, in collaboration with local and regional authorities, to revisit their budget planning tools and to develop and publish their own national infrastructure plans in order to provide investors and other stakeholders with detailed information and allow more certainty and forward planning in respect of future projects; calls on the Commission to enable the Member States to develop a means of standardising infrastructure project data and making it available via a central data warehouse;

| 57. | Believes that a stable, sector-specific regulatory framework is essential for concession-holders operating major items of transport infrastructure without public funding, as this will enable them, through the application of appropriate charging rules, to obtain the financing they need, recover their costs in the long term and secure a sufficient return on their investment; |
| --- | --- |

57.

Believes that a stable, sector-specific regulatory framework is essential for concession-holders operating major items of transport infrastructure without public funding, as this will enable them, through the application of appropriate charging rules, to obtain the financing they need, recover their costs in the long term and secure a sufficient return on their investment;

| 58. | Calls on the Commission to assess the impact of Member States’ tax incentives on long-term finance and the energy transition and to identify best practices in differentiating between lower capital costs for green investments and higher capital costs for investments in projects incompatible with the transition to sustainable energy provision; |
| --- | --- |

58.

Calls on the Commission to assess the impact of Member States’ tax incentives on long-term finance and the energy transition and to identify best practices in differentiating between lower capital costs for green investments and higher capital costs for investments in projects incompatible with the transition to sustainable energy provision;

| 59. | Asks for SMEs to be given priority access to European long-term investment funds (ELTIFs), since they constitute the backbone of growth and job creation in the EU; considers that this access should be accompanied by a simplification of the application procedures; highlights the importance of ensuring easier access to financing throughout a company’s lifecycle in order to create and maintain sustainable quality jobs; |
| --- | --- |

59.

Asks for SMEs to be given priority access to European long-term investment funds (ELTIFs), since they constitute the backbone of growth and job creation in the EU; considers that this access should be accompanied by a simplification of the application procedures; highlights the importance of ensuring easier access to financing throughout a company’s lifecycle in order to create and maintain sustainable quality jobs;

| 60. | Asks the Commission and the Member States to encourage pension funds to take socially responsible investment decisions consistent with EU and international human rights, social and environmental standards, including the relevant OECD and UN guidelines and principles; recalls that the Commission’s plans to review the Directive on the activities and supervision of institutions for occupational retirement provision (the IORP Directive) must not discourage sustainable long-term financing; |
| --- | --- |

60.

Asks the Commission and the Member States to encourage pension funds to take socially responsible investment decisions consistent with EU and international human rights, social and environmental standards, including the relevant OECD and UN guidelines and principles; recalls that the Commission’s plans to review the Directive on the activities and supervision of institutions for occupational retirement provision (the IORP Directive) must not discourage sustainable long-term financing;

| 61. | Underlines the need for better financial regulation and supervision to protect workers, taxpayers and the real economy against future market failures; |
| --- | --- |

61.

Underlines the need for better financial regulation and supervision to protect workers, taxpayers and the real economy against future market failures;

| 62. | Calls on the Commission to strengthen its communication and relationship with the EIB in relation to the design of tailored loans and guarantee schemes; encourages the EIB to work closely with the Member States and regions on their implementation of new innovative financial instruments through the European Structural and Investment Funds and to continue supporting their investment strategy targeting the social economy sector; additionally, invites the EIB also to consider the option of greater flexibility when defining the size of, and rules for, such tailored loans and other related schemes, so as to make them as compatible as possible with the financial instruments offered through the European Structural and Investment Funds, especially when it comes to appropriate financing for young entrepreneurs and social enterprises; |
| --- | --- |

62.

Calls on the Commission to strengthen its communication and relationship with the EIB in relation to the design of tailored loans and guarantee schemes; encourages the EIB to work closely with the Member States and regions on their implementation of new innovative financial instruments through the European Structural and Investment Funds and to continue supporting their investment strategy targeting the social economy sector; additionally, invites the EIB also to consider the option of greater flexibility when defining the size of, and rules for, such tailored loans and other related schemes, so as to make them as compatible as possible with the financial instruments offered through the European Structural and Investment Funds, especially when it comes to appropriate financing for young entrepreneurs and social enterprises;

o

o o

| 63. | Instructs its President to forward this resolution to the Council, the Commission and the governments and parliaments of the Member States. |
| --- | --- |

63.

Instructs its President to forward this resolution to the Council, the Commission and the governments and parliaments of the Member States.

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(1)  OJ C 377 E, 7.12.2012, p. 102.

(2)  OJ L 115, 25.4.2013, p. 1.

(3)  OJ L 174, 1.7.2011, p. 1.

(4)  http://ec.europa.eu/economy_finance/publications/economic_paper/2013/pdf/ecp506_en.pdf

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/78 |
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29.8.2017

EN

Official Journal of the European Union

C 285/78

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P7_TA(2014)0162

Sexual exploitation and prostitution and its impact on gender equality

European Parliament resolution of 26 February 2014 on sexual exploitation and prostitution and its impact on gender equality (2013/2103(INI))

(2017/C 285/11)

The European Parliament,

| — | having regard to Articles 4 and 5 of the 1948 Universal Declaration of Human Rights, |
| --- | --- |

—

having regard to Articles 4 and 5 of the 1948 Universal Declaration of Human Rights,

| — | having regard to the UN Convention of 1949 for the Suppression of the Traffic in Persons and of the Exploitation of the Prostitution of Others, |
| --- | --- |

—

having regard to the UN Convention of 1949 for the Suppression of the Traffic in Persons and of the Exploitation of the Prostitution of Others,

| — | having regard to Article 6 of the CEDAW Convention of 1979 which seeks to combat all forms of traffic in women and the exploitation of the prostitution of women, |
| --- | --- |

—

having regard to Article 6 of the CEDAW Convention of 1979 which seeks to combat all forms of traffic in women and the exploitation of the prostitution of women,

| — | having regard to the 1989 UN Convention on the Rights of the Child, |
| --- | --- |

—

having regard to the 1989 UN Convention on the Rights of the Child,

| — | having regard to the UN Declaration of 1993 on the Elimination of Violence against Women, Article 2 of which states that violence against women includes: ‘physical, sexual and psychological violence occurring within the general community, including rape, sexual abuse, sexual harassment and intimidation at work, in educational institutions and elsewhere, trafficking in women and forced prostitution’, |
| --- | --- |

—

having regard to the UN Declaration of 1993 on the Elimination of Violence against Women, Article 2 of which states that violence against women includes: ‘physical, sexual and psychological violence occurring within the general community, including rape, sexual abuse, sexual harassment and intimidation at work, in educational institutions and elsewhere, trafficking in women and forced prostitution’,

| — | having regard to the 2000 Palermo Protocol to prevent, suppress and punish trafficking in persons, especially women and children, supplementing the United Nations Convention against Transnational Organised Crime, annexed to the UN Convention against Transnational Organised Crime, |
| --- | --- |

—

having regard to the 2000 Palermo Protocol to prevent, suppress and punish trafficking in persons, especially women and children, supplementing the United Nations Convention against Transnational Organised Crime, annexed to the UN Convention against Transnational Organised Crime,

| — | having regard to the D.3 strategic objective of the 1995 Platform for Action and the Beijing Declaration, |
| --- | --- |

—

having regard to the D.3 strategic objective of the 1995 Platform for Action and the Beijing Declaration,

| — | having regard to ILO Convention No 29 on forced or compulsory labour, Article 2 of which defines forced labour, |
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—

having regard to ILO Convention No 29 on forced or compulsory labour, Article 2 of which defines forced labour,

| — | having regard to the International Organisation for Migration (IOM) Brussels Declaration (11) on preventing and combating trafficking in human beings, which calls for a comprehensive, multidisciplinary and effectively coordinated policy that involves actors from all the fields concerned, |
| --- | --- |

—

having regard to the International Organisation for Migration (IOM) Brussels Declaration (11) on preventing and combating trafficking in human beings, which calls for a comprehensive, multidisciplinary and effectively coordinated policy that involves actors from all the fields concerned,

| — | having regard to the Council of Europe recommendations in this field, such as Recommendation No R 11 of 2000 on trafficking in human beings for the purpose of sexual exploitation, Recommendation No R 5 of 2002 on the protection of women against violence, and Recommendation 1545 of 2002 on the campaign against trafficking in women, |
| --- | --- |

—

having regard to the Council of Europe recommendations in this field, such as Recommendation No R 11 of 2000 on trafficking in human beings for the purpose of sexual exploitation, Recommendation No R 5 of 2002 on the protection of women against violence, and Recommendation 1545 of 2002 on the campaign against trafficking in women,

| — | having regard to the Council of Europe Convention on Action against Trafficking in Human Beings, |
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—

having regard to the Council of Europe Convention on Action against Trafficking in Human Beings,

| — | having regard to the Parliamentary Assembly of the Council of Europe motion for a recommendation ‘Criminalising the purchase of sex to combat the trafficking of people for sexual exploitation’, Doc. 12920 of 26 April 2012, |
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—

having regard to the Parliamentary Assembly of the Council of Europe motion for a recommendation ‘Criminalising the purchase of sex to combat the trafficking of people for sexual exploitation’, Doc. 12920 of 26 April 2012,

| — | having regard to the 2000 OSCE Vienna Ministerial Decision No 1(12) in support of the OSCE measures and to the OSCE Action Plan to combat trafficking in human beings (Decision No 557, taken in 2003), |
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—

having regard to the 2000 OSCE Vienna Ministerial Decision No 1(12) in support of the OSCE measures and to the OSCE Action Plan to combat trafficking in human beings (Decision No 557, taken in 2003),

| — | having regard to Articles 2 and 13 of the Treaty on European Union, |
| --- | --- |

—

having regard to Articles 2 and 13 of the Treaty on European Union,

| — | having regard to Council Framework Decision 2002/629/JHA of 19 July 2002 on combating trafficking in human beings, |
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—

having regard to Council Framework Decision 2002/629/JHA of 19 July 2002 on combating trafficking in human beings,

| — | having regard to Council Framework Decision 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims, replacing Council Framework Decision 2002/629/JHA of 19 July 2002, |
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—

having regard to Council Framework Decision 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims, replacing Council Framework Decision 2002/629/JHA of 19 July 2002,

| — | having regard to the Council Resolution on initiatives to combat trafficking in human beings, in particular women (1), |
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—

having regard to the Council Resolution on initiatives to combat trafficking in human beings, in particular women (1),

| — | having regard to the EU Strategy Towards the Eradication of Trafficking in Human Beings, |
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—

having regard to the EU Strategy Towards the Eradication of Trafficking in Human Beings,

| — | having regard to its resolution of 15 June 1995 on the Fourth World Conference on Women, held in Beijing, ‘Action for Equality, Development and Peace’ (2), |
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—

having regard to its resolution of 15 June 1995 on the Fourth World Conference on Women, held in Beijing, ‘Action for Equality, Development and Peace’ (2),

| — | having regard to its resolution of 24 April 1997 on the Commission communication on illegal and harmful content on the Internet (3), |
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—

having regard to its resolution of 24 April 1997 on the Commission communication on illegal and harmful content on the Internet (3),

| — | having regard to its resolution of 16 September 1997 on the need to establish a European Union wide campaign for zero tolerance of violence against women (4), |
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—

having regard to its resolution of 16 September 1997 on the need to establish a European Union wide campaign for zero tolerance of violence against women (4),

| — | having regard to its resolution of 24 October 1997 on the Commission Green Paper on the protection of minors and human dignity in audiovisual and information services (5), |
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—

having regard to its resolution of 24 October 1997 on the Commission Green Paper on the protection of minors and human dignity in audiovisual and information services (5),

| — | having regard to its resolution of 6 November 1997 on the Commission communication on combating child sex tourism and the aide-memoire on the European Union’s contribution to reinforcing the prevention of the sexual abuse and exploitation of children (6), |
| --- | --- |

—

having regard to its resolution of 6 November 1997 on the Commission communication on combating child sex tourism and the aide-memoire on the European Union’s contribution to reinforcing the prevention of the sexual abuse and exploitation of children (6),

| — | having regard to its resolution of 16 December 1997 on the Commission communication on trafficking in women for the purpose of sexual exploitation (7), |
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—

having regard to its resolution of 16 December 1997 on the Commission communication on trafficking in women for the purpose of sexual exploitation (7),

| — | having regard to its resolution of 13 May 1998 on the proposal for a Council recommendation concerning the protection of minors and human dignity in audio-visual and information services (8), |
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—

having regard to its resolution of 13 May 1998 on the proposal for a Council recommendation concerning the protection of minors and human dignity in audio-visual and information services (8),

| — | having regard to its resolution of 17 December 1998 on respect for human rights in the European Union (9), |
| --- | --- |

—

having regard to its resolution of 17 December 1998 on respect for human rights in the European Union (9),

| — | having regard to its resolution of 10 February 1999 on the harmonisation of forms of protection complementing refugee status in the European Union (10), |
| --- | --- |

—

having regard to its resolution of 10 February 1999 on the harmonisation of forms of protection complementing refugee status in the European Union (10),

| — | having regard to its resolution of 30 March 2000 on the communication from the Commission to the Council, the European Parliament, the Economic and Social Committee and the Committee of the Regions on the implementation of measures to combat child sex tourism (11), |
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—

having regard to its resolution of 30 March 2000 on the communication from the Commission to the Council, the European Parliament, the Economic and Social Committee and the Committee of the Regions on the implementation of measures to combat child sex tourism (11),

| — | having regard to its resolution of 11 April 2000 on the initiative of the Republic of Austria with a view to adopting a Council decision to combat child pornography on the Internet (12), |
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—

having regard to its resolution of 11 April 2000 on the initiative of the Republic of Austria with a view to adopting a Council decision to combat child pornography on the Internet (12),

| — | having regard to its resolution of 18 May 2000 on the follow-up to the Beijing Action Platform (13), |
| --- | --- |

—

having regard to its resolution of 18 May 2000 on the follow-up to the Beijing Action Platform (13),

| — | having regard to its resolution of 19 May 2000 on the communication from the Commission to the Council and the European Parliament entitled ‘For further actions in the fight against trafficking in women’ (14), |
| --- | --- |

—

having regard to its resolution of 19 May 2000 on the communication from the Commission to the Council and the European Parliament entitled ‘For further actions in the fight against trafficking in women’ (14),

| — | having regard to its resolution of 15 June 2000 on the Commission communication on crime victims in the European Union: Reflexions on standards and action (15), |
| --- | --- |

—

having regard to its resolution of 15 June 2000 on the Commission communication on crime victims in the European Union: Reflexions on standards and action (15),

| — | having regard to its resolution of 12 June 2001 on the proposal for a Council framework decision on combating trafficking in human beings (16), |
| --- | --- |

—

having regard to its resolution of 12 June 2001 on the proposal for a Council framework decision on combating trafficking in human beings (16),

| — | having regard to its resolution of 17 January 2006 on strategies to prevent the trafficking of women and children vulnerable to sexual exploitation (17), |
| --- | --- |

—

having regard to its resolution of 17 January 2006 on strategies to prevent the trafficking of women and children vulnerable to sexual exploitation (17),

| — | having regard to its resolution of 2 February 2006 on the current situation in combating violence against women and any future action (18), |
| --- | --- |

—

having regard to its resolution of 2 February 2006 on the current situation in combating violence against women and any future action (18),

| — | having regard to its resolution of 15 March 2006 on forced prostitution in the context of world sports events (19), |
| --- | --- |

—

having regard to its resolution of 15 March 2006 on forced prostitution in the context of world sports events (19),

| — | having regard to its resolution of 26 November 2009 on the elimination of violence against women (20), |
| --- | --- |

—

having regard to its resolution of 26 November 2009 on the elimination of violence against women (20),

| — | having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (21), |
| --- | --- |

—

having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (21),

| — | having regard to its resolution of 6 February 2013 on the 57th session on UN CSW: Elimination and prevention of all forms of violence against women and girls (22), |
| --- | --- |

—

having regard to its resolution of 6 February 2013 on the 57th session on UN CSW: Elimination and prevention of all forms of violence against women and girls (22),

| — | having regard to its resolution of 23 October 2013 on organised crime, corruption and money laundering — recommendations on action and initiatives to be taken (23), |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on organised crime, corruption and money laundering — recommendations on action and initiatives to be taken (23),

| — | having regard to the European Women’s Lobby awareness raising campaign ‘Not for sale’, |
| --- | --- |

—

having regard to the European Women’s Lobby awareness raising campaign ‘Not for sale’,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Women’s Rights and Gender Equality and the opinion of the Committee on Development (A7-0071/2014), |
| --- | --- |

—

having regard to the report of the Committee on Women’s Rights and Gender Equality and the opinion of the Committee on Development (A7-0071/2014),

| A. | whereas prostitution and forced prostitution are gendered phenomena with a global dimension, involving around 40-42 million people worldwide, with the vast majority of prostituted persons being women and under-age females, and almost all buyers being men, and whereas it is therefore both a cause and a consequence of gender inequality which it aggravates further; |
| --- | --- |

A.

whereas prostitution and forced prostitution are gendered phenomena with a global dimension, involving around 40-42 million people worldwide, with the vast majority of prostituted persons being women and under-age females, and almost all buyers being men, and whereas it is therefore both a cause and a consequence of gender inequality which it aggravates further;

| B. | whereas prostitution and forced prostitution are forms of slavery incompatible with human dignity and fundamental human rights; |
| --- | --- |

B.

whereas prostitution and forced prostitution are forms of slavery incompatible with human dignity and fundamental human rights;

| C. | whereas trafficking of persons, particularly women and children, for sexual as well as other forms of exploitation is one of the most egregious violations of human rights; whereas trafficking in human beings is growing globally, led by the increase in organised crime and its profitability; |
| --- | --- |

C.

whereas trafficking of persons, particularly women and children, for sexual as well as other forms of exploitation is one of the most egregious violations of human rights; whereas trafficking in human beings is growing globally, led by the increase in organised crime and its profitability;

| D. | whereas work is one of the main sources of human self-realisation, through which individuals make a supportive contribution to collective wellbeing; |
| --- | --- |

D.

whereas work is one of the main sources of human self-realisation, through which individuals make a supportive contribution to collective wellbeing;

| E. | whereas prostitution and forced prostitution are intrinsically linked to gender inequality in society and have an impact on the status of women and men in society and the perception of their mutual relations and sexuality; |
| --- | --- |

E.

whereas prostitution and forced prostitution are intrinsically linked to gender inequality in society and have an impact on the status of women and men in society and the perception of their mutual relations and sexuality;

| F. | whereas sexual and reproductive health is promoted through healthy approaches to sexuality conducted with mutual respect; |
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F.

whereas sexual and reproductive health is promoted through healthy approaches to sexuality conducted with mutual respect;

| G. | whereas Directive 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims establishes robust provisions on victims; |
| --- | --- |

G.

whereas Directive 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims establishes robust provisions on victims;

| H. | whereas any policy on prostitution has an impact on achieving gender equality, affects the understanding of gender issues and delivers messages and norms to a society, including its youth; |
| --- | --- |

H.

whereas any policy on prostitution has an impact on achieving gender equality, affects the understanding of gender issues and delivers messages and norms to a society, including its youth;

| I. | whereas prostitution functions as a business and creates a market, with different actors being interlinked and where pimps and procurers are calculating and acting to secure or increase their markets and maximising profits, and whereas the buyers of sex play a key role as they maintain the demand in this market; |
| --- | --- |

I.

whereas prostitution functions as a business and creates a market, with different actors being interlinked and where pimps and procurers are calculating and acting to secure or increase their markets and maximising profits, and whereas the buyers of sex play a key role as they maintain the demand in this market;

| J. | whereas according to WHO, sexual health ‘requires a positive and respectful approach to sexuality and sexual relationships, as well as the possibility of having pleasurable and safe sexual experiences, free of coercion, discrimination and violence’; |
| --- | --- |

J.

whereas according to WHO, sexual health ‘requires a positive and respectful approach to sexuality and sexual relationships, as well as the possibility of having pleasurable and safe sexual experiences, free of coercion, discrimination and violence’;

| K. | whereas prostitution reduces all intimate acts to their monetary value and diminishes the human being to the level of merchandise or an object to be used by the client; |
| --- | --- |

K.

whereas prostitution reduces all intimate acts to their monetary value and diminishes the human being to the level of merchandise or an object to be used by the client;

| L. | whereas the vast majority of prostituted persons come from vulnerable groups; |
| --- | --- |

L.

whereas the vast majority of prostituted persons come from vulnerable groups;

| M. | whereas procuring is closely linked with organised crime; |
| --- | --- |

M.

whereas procuring is closely linked with organised crime;

| N. | whereas organised crime, human trafficking, extremely violent crime and corruption flourish in the shadow of prostitution, and any framework of legalisation primarily benefits the pimps, who are able to transform themselves into ‘businessmen’; |
| --- | --- |

N.

whereas organised crime, human trafficking, extremely violent crime and corruption flourish in the shadow of prostitution, and any framework of legalisation primarily benefits the pimps, who are able to transform themselves into ‘businessmen’;

| O. | whereas the prostitution markets fuel trafficking in women and children (24); |
| --- | --- |

O.

whereas the prostitution markets fuel trafficking in women and children (24);

| P. | whereas trafficking acts as a means to bring a supply of women and under-age females to the prostitution markets; |
| --- | --- |

P.

whereas trafficking acts as a means to bring a supply of women and under-age females to the prostitution markets;

| Q. | whereas EU data show that the current policy to combat trafficking is not effective and that there is a problem to identify and prosecute traffickers so that the investigation of sex-trafficking cases and the prosecution and conviction of human traffickers need to be strengthened; |
| --- | --- |

Q.

whereas EU data show that the current policy to combat trafficking is not effective and that there is a problem to identify and prosecute traffickers so that the investigation of sex-trafficking cases and the prosecution and conviction of human traffickers need to be strengthened;

| R. | whereas more and more young people, among whom alarmingly many are children, are forced into prostitution; |
| --- | --- |

R.

whereas more and more young people, among whom alarmingly many are children, are forced into prostitution;

| S. | whereas the pressures under which prostitution takes place can be direct and physical, or indirect, for example by means of pressure on the family in the country of origin, and whereas such pressures can be psychological and insidious; |
| --- | --- |

S.

whereas the pressures under which prostitution takes place can be direct and physical, or indirect, for example by means of pressure on the family in the country of origin, and whereas such pressures can be psychological and insidious;

| T. | whereas the main responsibility for addressing trafficking in human beings lies with the Member States, and whereas in April 2013 only six Member States have notified full transposition of the EU Directive against trafficking in human beings, the implementation deadline for which expired on 6 April 2013; |
| --- | --- |

T.

whereas the main responsibility for addressing trafficking in human beings lies with the Member States, and whereas in April 2013 only six Member States have notified full transposition of the EU Directive against trafficking in human beings, the implementation deadline for which expired on 6 April 2013;

| U. | whereas the Commission, in its Strategy for Equality between Women and Men (2010-2015), declares that ‘inequalities between women and men violate fundamental rights’; |
| --- | --- |

U.

whereas the Commission, in its Strategy for Equality between Women and Men (2010-2015), declares that ‘inequalities between women and men violate fundamental rights’;

| V. | whereas there is a huge divergence in the way that the Member States deal with prostitution, with two main approaches existing: one approach views prostitution as a violation of women’s rights — a form of sexual slavery –, which results in and maintains gender inequality for women; the other approach maintains that prostitution itself promotes gender equality by promoting a woman’s right to control what she wants to do with her body; in both instances individual Member States have the competence to decide how they approach the issue of prostitution; |
| --- | --- |

V.

whereas there is a huge divergence in the way that the Member States deal with prostitution, with two main approaches existing: one approach views prostitution as a violation of women’s rights — a form of sexual slavery –, which results in and maintains gender inequality for women; the other approach maintains that prostitution itself promotes gender equality by promoting a woman’s right to control what she wants to do with her body; in both instances individual Member States have the competence to decide how they approach the issue of prostitution;

| W. | whereas there is a difference between ‘forced’ and ‘voluntary’ prostitution; |
| --- | --- |

W.

whereas there is a difference between ‘forced’ and ‘voluntary’ prostitution;

| X. | whereas the issue of prostitution needs to be addressed with a long-term vision and the perspective of gender equality; |
| --- | --- |

X.

whereas the issue of prostitution needs to be addressed with a long-term vision and the perspective of gender equality;

| 1. | Recognises that prostitution, forced prostitution and sexual exploitation are highly gendered issues and violations of human dignity, contrary to human rights principles, among which gender equality, and therefore contrary to the principles of the Charter of Fundamental Rights of the European Union, including the goal and the principle of gender equality; |
| --- | --- |

1.

Recognises that prostitution, forced prostitution and sexual exploitation are highly gendered issues and violations of human dignity, contrary to human rights principles, among which gender equality, and therefore contrary to the principles of the Charter of Fundamental Rights of the European Union, including the goal and the principle of gender equality;

| 2. | Underlines that the health rights of all women must be respected, including their right to their bodies and sexuality and to be free of coercion, discrimination and violence; |
| --- | --- |

2.

Underlines that the health rights of all women must be respected, including their right to their bodies and sexuality and to be free of coercion, discrimination and violence;

| 3. | Stresses that there are several links between prostitution and trafficking, and recognises that prostitution — both globally and across Europe — feeds the trafficking of vulnerable women and under-age females, a large percentage of whom are between 13-25 years old; stresses that, as shown by data from the Commission, a majority of victims (62 %) are trafficked for sexual exploitation, with women and under-age females accounting for 96 % of identified and presumed victims, with the percentage of victims from non-EU countries showing an increase in the past few years; |
| --- | --- |

3.

Stresses that there are several links between prostitution and trafficking, and recognises that prostitution — both globally and across Europe — feeds the trafficking of vulnerable women and under-age females, a large percentage of whom are between 13-25 years old; stresses that, as shown by data from the Commission, a majority of victims (62 %) are trafficked for sexual exploitation, with women and under-age females accounting for 96 % of identified and presumed victims, with the percentage of victims from non-EU countries showing an increase in the past few years;

| 4. | Acknowledges, however, that the lack of reliable, accurate and comparable data among countries, owing mainly to the illegal and often invisible nature of prostitution and trafficking, keeps the prostitution market opaque and hinders political decision-making, which means that all figures are based solely on estimates; |
| --- | --- |

4.

Acknowledges, however, that the lack of reliable, accurate and comparable data among countries, owing mainly to the illegal and often invisible nature of prostitution and trafficking, keeps the prostitution market opaque and hinders political decision-making, which means that all figures are based solely on estimates;

| 5. | Stresses that prostitution is also a health issue, as it has detrimental health impacts on persons in prostitution, who are more likely to suffer from sexual, physical and mental health traumas, drug and alcohol addiction, and loss of self-respect, as well as a higher mortality rate, than the general population; adds and stresses that many of the sex buyers ask for unprotected commercial sex, which increases the risk of detrimental health impacts, both for persons in prostitution and for the buyers; |
| --- | --- |

5.

Stresses that prostitution is also a health issue, as it has detrimental health impacts on persons in prostitution, who are more likely to suffer from sexual, physical and mental health traumas, drug and alcohol addiction, and loss of self-respect, as well as a higher mortality rate, than the general population; adds and stresses that many of the sex buyers ask for unprotected commercial sex, which increases the risk of detrimental health impacts, both for persons in prostitution and for the buyers;

| 6. | Stresses that forced prostitution, prostitution and exploitation in the sex industry can have devastating and long-lasting psychological and physical consequences for the individual involved (even after they have left prostitution), especially children and adolescents, in addition to being both a cause and a consequence of gender inequality, while perpetuating gendered stereotypes and stereotypical thinking about women selling sex, such as the idea that women’s and under-age females’ bodies are for sale to satisfy male demand for sex; |
| --- | --- |

6.

Stresses that forced prostitution, prostitution and exploitation in the sex industry can have devastating and long-lasting psychological and physical consequences for the individual involved (even after they have left prostitution), especially children and adolescents, in addition to being both a cause and a consequence of gender inequality, while perpetuating gendered stereotypes and stereotypical thinking about women selling sex, such as the idea that women’s and under-age females’ bodies are for sale to satisfy male demand for sex;

| 7. | Calls, further, on the Member States to introduce, in accordance with national law, regular, confidential counselling and health checks for prostitutes, on premises other than those where prostitution takes place; |
| --- | --- |

7.

Calls, further, on the Member States to introduce, in accordance with national law, regular, confidential counselling and health checks for prostitutes, on premises other than those where prostitution takes place;

| 8. | Recognises that prostitutes are a high-risk group for HIV infections and other sexually transmitted diseases; |
| --- | --- |

8.

Recognises that prostitutes are a high-risk group for HIV infections and other sexually transmitted diseases;

| 9. | Calls on the Member States to exchange best practices on ways to reduce the dangers associated with street prostitution; |
| --- | --- |

9.

Calls on the Member States to exchange best practices on ways to reduce the dangers associated with street prostitution;

| 10. | Recognises that prostitution and forced prostitution can have an impact on violence against women in general, as research on sex buyers shows that men who buy sex have a degrading image of women (25); suggests to the competent national authorities, therefore, that the ban on the purchase of sexual services should be accompanied by a campaign to raise awareness among men; |
| --- | --- |

10.

Recognises that prostitution and forced prostitution can have an impact on violence against women in general, as research on sex buyers shows that men who buy sex have a degrading image of women (25); suggests to the competent national authorities, therefore, that the ban on the purchase of sexual services should be accompanied by a campaign to raise awareness among men;

| 11. | Stresses that prostituted persons are particularly vulnerable socially, economically, physically, psychologically, emotionally and in family terms, and are more at risk of violence and harm than persons engaged in any other activity; national police forces should therefore be encouraged to address, inter alia, the low conviction rates for rape against prostitutes; stresses that prostituted persons are also subject to public opprobrium and are socially stigmatised, even if they stop practising prostitution; |
| --- | --- |

11.

Stresses that prostituted persons are particularly vulnerable socially, economically, physically, psychologically, emotionally and in family terms, and are more at risk of violence and harm than persons engaged in any other activity; national police forces should therefore be encouraged to address, inter alia, the low conviction rates for rape against prostitutes; stresses that prostituted persons are also subject to public opprobrium and are socially stigmatised, even if they stop practising prostitution;

| 12. | Draws attention to the fact that women prostitutes have the right to maternity, and to raise and take care of their children; |
| --- | --- |

12.

Draws attention to the fact that women prostitutes have the right to maternity, and to raise and take care of their children;

| 13. | Stresses that the normalisation of prostitution has an impact on violence against women; points in particular to data that show that men buying sex were more likely to commit sexually coercive acts against women and other acts of violence against women, and often presented misogynist attitudes; |
| --- | --- |

13.

Stresses that the normalisation of prostitution has an impact on violence against women; points in particular to data that show that men buying sex were more likely to commit sexually coercive acts against women and other acts of violence against women, and often presented misogynist attitudes;

| 14. | Notes that 80-95 % of prostituted persons have suffered some form of violence before entering prostitution (rape, incest, paedophilia), that 62 % of them report having been raped and that 68 % suffer from post-traumatic stress disorder — a percentage similar to that of torture victims (26); |
| --- | --- |

14.

Notes that 80-95 % of prostituted persons have suffered some form of violence before entering prostitution (rape, incest, paedophilia), that 62 % of them report having been raped and that 68 % suffer from post-traumatic stress disorder — a percentage similar to that of torture victims (26);

| 15. | Underlines that child prostitution can never be voluntary, as children do not have the capacity to ‘consent’ to prostitution; urges the Member States to combat child prostitution (involving persons under the age of 18) as energetically as possible, as it is the most serious form of forced prostitution; urgently demands a zero-tolerance approach based on prevention, protection of victims and prosecution of clients; |
| --- | --- |

15.

Underlines that child prostitution can never be voluntary, as children do not have the capacity to ‘consent’ to prostitution; urges the Member States to combat child prostitution (involving persons under the age of 18) as energetically as possible, as it is the most serious form of forced prostitution; urgently demands a zero-tolerance approach based on prevention, protection of victims and prosecution of clients;

| 16. | Points out that child prostitution and the sexual exploitation of children are on the increase, also through social network media, where deception and intimidation are frequently used; |
| --- | --- |

16.

Points out that child prostitution and the sexual exploitation of children are on the increase, also through social network media, where deception and intimidation are frequently used;

| 17. | Calls attention to the phenomenon of the prostitution of minors, which is not the same as sexual molestation, and which is rooted in difficult economic situations and an absence of parental care; |
| --- | --- |

17.

Calls attention to the phenomenon of the prostitution of minors, which is not the same as sexual molestation, and which is rooted in difficult economic situations and an absence of parental care;

| 18. | Stresses the need for effective measures that allow special attention to be given to removing under-age prostituted persons from the so-called prostitution market and to preventing their entry into that market, as well as to focusing on activities contrary to the aims of the UN Convention on the Rights of the Child and its relevant Optional Protocol; |
| --- | --- |

18.

Stresses the need for effective measures that allow special attention to be given to removing under-age prostituted persons from the so-called prostitution market and to preventing their entry into that market, as well as to focusing on activities contrary to the aims of the UN Convention on the Rights of the Child and its relevant Optional Protocol;

| 19. | Takes the view that the purchase of sexual services from prostitutes under the age of 21 should be a criminal offence, while the provision of such services by prostitutes should not be punishable; |
| --- | --- |

19.

Takes the view that the purchase of sexual services from prostitutes under the age of 21 should be a criminal offence, while the provision of such services by prostitutes should not be punishable;

| 20. | Calls attention to the phenomenon of ‘grooming’, involving the prostitution of under-age females or females who have only just reached majority in exchange for luxury goods or small sums of money which provide funds to cover day-to-day expenditure or expenses related to education; |
| --- | --- |

20.

Calls attention to the phenomenon of ‘grooming’, involving the prostitution of under-age females or females who have only just reached majority in exchange for luxury goods or small sums of money which provide funds to cover day-to-day expenditure or expenses related to education;

| 21. | Points out to the Member States that education plays an important role in the prevention of prostitution and the organised crime associated with it, and therefore recommends that special, age-specific educational awareness-raising and preventive campaigns be conducted in schools and colleges, and recommends that education about equality be a fundamental goal in the education process for young people; |
| --- | --- |

21.

Points out to the Member States that education plays an important role in the prevention of prostitution and the organised crime associated with it, and therefore recommends that special, age-specific educational awareness-raising and preventive campaigns be conducted in schools and colleges, and recommends that education about equality be a fundamental goal in the education process for young people;

| 22. | Draws attention to the fact that advertisements for sexual services in newspapers and social media can be means of supporting trafficking and prostitution; |
| --- | --- |

22.

Draws attention to the fact that advertisements for sexual services in newspapers and social media can be means of supporting trafficking and prostitution;

| 23. | Draws attention to the growing role of the internet and social network media in recruiting new and young prostitutes through human trafficking networks; calls for prevention campaigns also to be conducted on the internet, taking into account the vulnerable groups targeted by these human trafficking networks; |
| --- | --- |

23.

Draws attention to the growing role of the internet and social network media in recruiting new and young prostitutes through human trafficking networks; calls for prevention campaigns also to be conducted on the internet, taking into account the vulnerable groups targeted by these human trafficking networks;

| 24. | Draws attention to some of the effects, mostly negative, of mass-media production and pornography, especially online, in creating an unfavourable image of women, which may have the effect of encouraging the human personality of women to be disregarded and of presenting them as a commodity; warns as well that sexual liberty must not be interpreted as a license to disregard women; |
| --- | --- |

24.

Draws attention to some of the effects, mostly negative, of mass-media production and pornography, especially online, in creating an unfavourable image of women, which may have the effect of encouraging the human personality of women to be disregarded and of presenting them as a commodity; warns as well that sexual liberty must not be interpreted as a license to disregard women;

| 25. | Stresses that the normalisation of prostitution has an impact on young people’s perception of sexuality and of the relationship between women and men; |
| --- | --- |

25.

Stresses that the normalisation of prostitution has an impact on young people’s perception of sexuality and of the relationship between women and men;

| 26. | Stresses that prostituted persons should not be criminalised and calls on all Member States to repeal repressive legislation against prostituted persons; |
| --- | --- |

26.

Stresses that prostituted persons should not be criminalised and calls on all Member States to repeal repressive legislation against prostituted persons;

| 27. | Calls on the Member States to refrain from criminalising and penalising prostituted persons, and to develop programmes to assist prostituted persons/sex workers to leave the profession should they wish to do so; |
| --- | --- |

27.

Calls on the Member States to refrain from criminalising and penalising prostituted persons, and to develop programmes to assist prostituted persons/sex workers to leave the profession should they wish to do so;

| 28. | Believes that demand reduction should form part of an integrated strategy against trafficking in the Member States; |
| --- | --- |

28.

Believes that demand reduction should form part of an integrated strategy against trafficking in the Member States;

| 29. | Considers that one way of combating the trafficking of women and under-age females for sexual exploitation and improving gender equality is the model implemented in Sweden, Iceland and Norway (the so-called Nordic model), and currently under consideration in several European countries, where the purchase of sexual services constitutes the criminal act, not the services of the prostituted persons; |
| --- | --- |

29.

Considers that one way of combating the trafficking of women and under-age females for sexual exploitation and improving gender equality is the model implemented in Sweden, Iceland and Norway (the so-called Nordic model), and currently under consideration in several European countries, where the purchase of sexual services constitutes the criminal act, not the services of the prostituted persons;

| 30. | Stresses that as prostitution is a cross-border problem, the Member States should assume responsibility for combating the buying of sex outside their own territory; |
| --- | --- |

30.

Stresses that as prostitution is a cross-border problem, the Member States should assume responsibility for combating the buying of sex outside their own territory;

| 31. | Emphasises that some data confirm the Nordic model’s deterrent effect on trafficking into Sweden, where prostitution and sex trafficking have not increased, and that this model is increasingly supported by the population, especially by young people, demonstrating that the legislation has brought about a change in attitudes; |
| --- | --- |

31.

Emphasises that some data confirm the Nordic model’s deterrent effect on trafficking into Sweden, where prostitution and sex trafficking have not increased, and that this model is increasingly supported by the population, especially by young people, demonstrating that the legislation has brought about a change in attitudes;

| 32. | Recognises the outcomes of a recent governmental report in Finland, calling for a full criminalisation of the purchase of sex, as the Finnish approach, which criminalises the purchase of sex from victims of trafficking, has proven to be ineffective in tackling trafficking; |
| --- | --- |

32.

Recognises the outcomes of a recent governmental report in Finland, calling for a full criminalisation of the purchase of sex, as the Finnish approach, which criminalises the purchase of sex from victims of trafficking, has proven to be ineffective in tackling trafficking;

| 33. | Believes that legislation provides an opportunity to clarify what the acceptable norms in society are and to create a society reflective of these values; |
| --- | --- |

33.

Believes that legislation provides an opportunity to clarify what the acceptable norms in society are and to create a society reflective of these values;

| 34. | Believes that looking upon prostitution as legal ‘sex work’, decriminalising the sex industry in general and making procuring legal is not a solution to keeping vulnerable women and under-age females safe from violence and exploitation, but has the opposite effect and puts them in danger of a higher level of violence, while at the same time encouraging prostitution markets — and thus the number of women and under-age females suffering abuse — to grow; |
| --- | --- |

34.

Believes that looking upon prostitution as legal ‘sex work’, decriminalising the sex industry in general and making procuring legal is not a solution to keeping vulnerable women and under-age females safe from violence and exploitation, but has the opposite effect and puts them in danger of a higher level of violence, while at the same time encouraging prostitution markets — and thus the number of women and under-age females suffering abuse — to grow;

| 35. | Condemns any policy attempt or discourse based on the notion that prostitution can be a solution for migrant women in Europe; |
| --- | --- |

35.

Condemns any policy attempt or discourse based on the notion that prostitution can be a solution for migrant women in Europe;

| 36. | Calls, therefore, on the Member States to give the police and the authorities responsible for premises where prostitution takes place the right, in accordance with national law, to enter such premises and to carry out checks at random; |
| --- | --- |

36.

Calls, therefore, on the Member States to give the police and the authorities responsible for premises where prostitution takes place the right, in accordance with national law, to enter such premises and to carry out checks at random;

| 37. | Urges the Commission and the Member States to mobilise the necessary means and tools to fight trafficking and sexual exploitation and to reduce prostitution as breaches of women’s fundamental rights — in particular with regard to minors — and gender equality; |
| --- | --- |

37.

Urges the Commission and the Member States to mobilise the necessary means and tools to fight trafficking and sexual exploitation and to reduce prostitution as breaches of women’s fundamental rights — in particular with regard to minors — and gender equality;

| 38. | Calls on the Member States to transpose Directive 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims, and replacing Council Framework Decision 2002/629/JHA, into national law as rapidly as possible, particularly with a view to protecting victims; |
| --- | --- |

38.

Calls on the Member States to transpose Directive 2011/36/EU of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims, and replacing Council Framework Decision 2002/629/JHA, into national law as rapidly as possible, particularly with a view to protecting victims;

| 39. | Urges the Commission to evaluate the impact that the European legal framework designed to eliminate trafficking for sexual exploitation has had to date, to undertake further research on patterns of prostitution, on human trafficking for the purpose of sexual exploitation and on the increased level of sex tourism in the EU, with particular reference to minors, and to promote the exchange of best practices among the Member States; |
| --- | --- |

39.

Urges the Commission to evaluate the impact that the European legal framework designed to eliminate trafficking for sexual exploitation has had to date, to undertake further research on patterns of prostitution, on human trafficking for the purpose of sexual exploitation and on the increased level of sex tourism in the EU, with particular reference to minors, and to promote the exchange of best practices among the Member States;

| 40. | Stresses that the Commission should continue funding projects and programmes to fight trafficking in human beings and sexual exploitation; |
| --- | --- |

40.

Stresses that the Commission should continue funding projects and programmes to fight trafficking in human beings and sexual exploitation;

| 41. | Calls on the Member States to design and implement policies to deal with trafficking, sexual exploitation and prostitution, and to ensure that all relevant parties, such as NGOs, the police and other law enforcement agencies, and social and medical services, are supported, involved in decision-making processes and work in cooperation; |
| --- | --- |

41.

Calls on the Member States to design and implement policies to deal with trafficking, sexual exploitation and prostitution, and to ensure that all relevant parties, such as NGOs, the police and other law enforcement agencies, and social and medical services, are supported, involved in decision-making processes and work in cooperation;

| 42. | Recognises that a vast majority of persons in prostitution would like to stop but feel unable to do so; stresses that these persons need appropriate support, particularly psychological and social assistance, to escape the sexual exploitation networks and the dependencies frequently associated with these; suggests, therefore, that the competent authorities put in place programmes to help persons escape prostitution, in close cooperation with the stakeholders; |
| --- | --- |

42.

Recognises that a vast majority of persons in prostitution would like to stop but feel unable to do so; stresses that these persons need appropriate support, particularly psychological and social assistance, to escape the sexual exploitation networks and the dependencies frequently associated with these; suggests, therefore, that the competent authorities put in place programmes to help persons escape prostitution, in close cooperation with the stakeholders;

| 43. | Stresses the importance of appropriate training for police services and judicial system personnel, in a more general manner, in the various aspects of sexual exploitation, including gender and immigration aspects, and urges the Member States to encourage police authorities to cooperate with the victims and encourage them to testify, to encourage the existence of specialised services within the police and to employ police women; stresses the need for judicial cooperation between Member States in order to combat human trafficking networks in Europe more effectively; |
| --- | --- |

43.

Stresses the importance of appropriate training for police services and judicial system personnel, in a more general manner, in the various aspects of sexual exploitation, including gender and immigration aspects, and urges the Member States to encourage police authorities to cooperate with the victims and encourage them to testify, to encourage the existence of specialised services within the police and to employ police women; stresses the need for judicial cooperation between Member States in order to combat human trafficking networks in Europe more effectively;

| 44. | Draws the attention of the national authorities to the impact of the economic downturn on the growing number of women and under-age females, including migrant women, forced to enter prostitution; |
| --- | --- |

44.

Draws the attention of the national authorities to the impact of the economic downturn on the growing number of women and under-age females, including migrant women, forced to enter prostitution;

| 45. | Points out that economic problems and poverty are major causes of prostitution among young women and under-age females, and that gender-specific prevention strategies, national and Europe-wide campaigns specially targeted at socially excluded communities and those in situations of increased vulnerability (such as persons with disabilities and youth in the child protection system), measures to reduce poverty and to raise awareness among both the purchasers and suppliers of sex, and the sharing of best practices are all key to combating the sexual exploitation of women and under-age females, especially among migrants; recommends that the Commission designate a ‘European Week for Combating Trafficking in Human Beings’; |
| --- | --- |

45.

Points out that economic problems and poverty are major causes of prostitution among young women and under-age females, and that gender-specific prevention strategies, national and Europe-wide campaigns specially targeted at socially excluded communities and those in situations of increased vulnerability (such as persons with disabilities and youth in the child protection system), measures to reduce poverty and to raise awareness among both the purchasers and suppliers of sex, and the sharing of best practices are all key to combating the sexual exploitation of women and under-age females, especially among migrants; recommends that the Commission designate a ‘European Week for Combating Trafficking in Human Beings’;

| 46. | Stresses that social exclusion is a key factor contributing to the increased vulnerability of disadvantaged women and under-age females to trafficking in human beings; stresses as well that the economic and social crisis has led to unemployment, often causing the most vulnerable women, including those further up the social scale, to enter the prostitution/sex business, in order to overcome poverty and social exclusion; calls on the Member States to tackle the underlying social problems that force men, women and children into prostitution; |
| --- | --- |

46.

Stresses that social exclusion is a key factor contributing to the increased vulnerability of disadvantaged women and under-age females to trafficking in human beings; stresses as well that the economic and social crisis has led to unemployment, often causing the most vulnerable women, including those further up the social scale, to enter the prostitution/sex business, in order to overcome poverty and social exclusion; calls on the Member States to tackle the underlying social problems that force men, women and children into prostitution;

| 47. | Urges the Member States to fund organisations working on the ground with support and exit strategies, to provide innovative social services for victims of trafficking or sexual exploitation, including migrant and undocumented persons, assessing their individual needs and risks in order to provide appropriate assistance and protection, and to implement policies — with a holistic approach and through the various police, immigration, health and education services — aimed at helping vulnerable women and minors leave prostitution, while ensuring that such programmes have a legal basis and the requisite funding to achieve this aim; stresses the importance of psychological counselling and the need for victims of sexual exploitation to be reintegrated into society; points out that this process takes time and requires the development of a life plan that represents a credible and viable alternative for former prostituted persons; |
| --- | --- |

47.

Urges the Member States to fund organisations working on the ground with support and exit strategies, to provide innovative social services for victims of trafficking or sexual exploitation, including migrant and undocumented persons, assessing their individual needs and risks in order to provide appropriate assistance and protection, and to implement policies — with a holistic approach and through the various police, immigration, health and education services — aimed at helping vulnerable women and minors leave prostitution, while ensuring that such programmes have a legal basis and the requisite funding to achieve this aim; stresses the importance of psychological counselling and the need for victims of sexual exploitation to be reintegrated into society; points out that this process takes time and requires the development of a life plan that represents a credible and viable alternative for former prostituted persons;

| 48. | Stresses that more analysis and statistical evidence is needed to judge which model is the most effective way of combating the trafficking of women and under-age females for purposes of sexual exploitation; |
| --- | --- |

48.

Stresses that more analysis and statistical evidence is needed to judge which model is the most effective way of combating the trafficking of women and under-age females for purposes of sexual exploitation;

| 49. | Urges the Member States to evaluate both the positive and negative effects of criminalising the purchase of sexual services on reducing prostitution and trafficking; |
| --- | --- |

49.

Urges the Member States to evaluate both the positive and negative effects of criminalising the purchase of sexual services on reducing prostitution and trafficking;

| 50. | Calls on the EU and its Member States to develop gender-specific prevention policies in the countries of origin of persons who are prostituted as a result of being trafficked, aimed both at purchasers of sex and at women and minors, through sanctions, awareness-raising campaigns and education; |
| --- | --- |

50.

Calls on the EU and its Member States to develop gender-specific prevention policies in the countries of origin of persons who are prostituted as a result of being trafficked, aimed both at purchasers of sex and at women and minors, through sanctions, awareness-raising campaigns and education;

| 51. | Requests that the EU and the Member States take measures to discourage the practice of sexual tourism inside as well as outside the EU; |
| --- | --- |

51.

Requests that the EU and the Member States take measures to discourage the practice of sexual tourism inside as well as outside the EU;

| 52. | Requests that the European External Action Service takes measures to stop the practice of prostitution in areas of conflict where EU military forces are present; |
| --- | --- |

52.

Requests that the European External Action Service takes measures to stop the practice of prostitution in areas of conflict where EU military forces are present;

| 53. | Instructs its President to forward this resolution to the Council and the Commission. |
| --- | --- |

53.

Instructs its President to forward this resolution to the Council and the Commission.

---

(1)  OJ C 260, 29.10.2003, p. 4.

(2)  OJ C 166, 3.7.1995, p. 92.

(3)  OJ C 150, 19.5.1997, p. 38.

(4)  OJ C 304, 6.10.1997, p. 55.

(5)  OJ C 339, 10.11.1997, p. 420.

(6)  OJ C 358, 24.11.1997, p. 37.

(7)  OJ C 14, 19.1.1998, p. 39.

(8)  OJ C 167, 1.6.1998, p. 128.

(9)  OJ C 98, 9.4.1999, p. 279.

(10)  OJ C 150, 28.5.1999, p. 203.

(11)  OJ C 378, 29.12.2000, p. 80.

(12)  OJ C 40, 7.2.2001, p. 41.

(13)  OJ C 59, 23.2.2001, p. 258.

(14)  OJ C 59, 23.2.2001, p. 307.

(15)  OJ C 67, 1.3.2001, p. 304.

(16)  OJ C 53 E, 28.2.2002, p. 114.

(17)  OJ C 287 E, 24.11.2006, p. 75.

(18)  OJ C 288 E, 25.11.2006, p. 66.

(19)  OJ C 291 E, 30.11.2006, p. 292.

(20)  OJ C 285 E, 21.10.2010, p. 53.

(21)  OJ C 296 E, 2.10.2012, p. 26.

(22)  Texts adopted, P7_TA(2013)0045.

(23)  Texts adopted, P7_TA(2013)0444.

(24)  The 2006 report by Sigma Huda, UN Special Rapporteur on Trafficking in Persons, especially in women and children, highlighted the direct impact of the policies on prostitution on the scale of trafficking in human beings.

(25)  Several studies on sex buyers can be found here: http://www.womenlobby.org/spip.php?article1948&lang=en.

(26)  Farley, M., ‘Violence against women and post-traumatic stress syndrome’, Women and Health, 1998; Damant, D. et al., ‘Trajectoires d’entrée en prostitution: violence, toxicomanie et criminalité’, Le Journal International de Victimologie, No 3, April 2005.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/87 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/87

---

P7_TA(2014)0163

Promoting development through responsible business practices

European Parliament resolution of 26 February 2014 on promoting development through responsible business practices, including the role of extractive industries in developing countries (2013/2126(INI))

(2017/C 285/12)

The European Parliament,

| — | having regard to the Addis Ababa Declaration on the Development and Management of Africa’s Mineral Resources, adopted by the First African Union Conference of Ministers Responsible for Mineral Resources Development in October 2008, |
| --- | --- |

—

having regard to the Addis Ababa Declaration on the Development and Management of Africa’s Mineral Resources, adopted by the First African Union Conference of Ministers Responsible for Mineral Resources Development in October 2008,

| — | having regard to the African Mining Vision adopted by the Heads of State and Government at the February 2009 AU Summit, |
| --- | --- |

—

having regard to the African Mining Vision adopted by the Heads of State and Government at the February 2009 AU Summit,

| — | having regard to the Lusaka Declaration of the ICGLR Special Summit to Fight Illegal Exploitation of Natural Resources in the Great Lakes Region of 15 December 2010 (1), |
| --- | --- |

—

having regard to the Lusaka Declaration of the ICGLR Special Summit to Fight Illegal Exploitation of Natural Resources in the Great Lakes Region of 15 December 2010 (1),

| — | having regard to the Action Plan for Implementing the African Mining Vision adopted by the second African Union Conference of Ministers responsible for mineral resources development, held in Addis Ababa in December 2011, |
| --- | --- |

—

having regard to the Action Plan for Implementing the African Mining Vision adopted by the second African Union Conference of Ministers responsible for mineral resources development, held in Addis Ababa in December 2011,

| — | having regard to the 10 principles for integrating the management of human rights risks into state-investor contract negotiations, proposed by the Special Representative of the Secretary-General at the 17th Session of the UN Human Rights Council in May 2011, |
| --- | --- |

—

having regard to the 10 principles for integrating the management of human rights risks into state-investor contract negotiations, proposed by the Special Representative of the Secretary-General at the 17th Session of the UN Human Rights Council in May 2011,

| — | having regard to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, which offers detailed recommendations to help companies respect human rights and avoid funding conflicts through their supply practices (2), |
| --- | --- |

—

having regard to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, which offers detailed recommendations to help companies respect human rights and avoid funding conflicts through their supply practices (2),

| — | having regard to the EITI international transparency standard, which requires governments to publish details of their revenue from natural resources, |
| --- | --- |

—

having regard to the EITI international transparency standard, which requires governments to publish details of their revenue from natural resources,

| — | having regard to the G8 Lough Erne Declaration of June 2013, in which the Heads of State and Government reiterated the importance of transparent and responsible management of natural resources and their supply chain (3), |
| --- | --- |

—

having regard to the G8 Lough Erne Declaration of June 2013, in which the Heads of State and Government reiterated the importance of transparent and responsible management of natural resources and their supply chain (3),

| — | having regard to the G20 final declaration published on 6 September 2013, in which the world’s leaders express support for the Extractive Industries Transparency Initiative (EITI), |
| --- | --- |

—

having regard to the G20 final declaration published on 6 September 2013, in which the world’s leaders express support for the Extractive Industries Transparency Initiative (EITI),

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Development (A7-0132/2014), |
| --- | --- |

—

having regard to the report of the Committee on Development (A7-0132/2014),

| A. | whereas for many developing countries natural resource extraction accounts for a significant proportion of GDP and often for the bulk of foreign exchange earnings and foreign investment; |
| --- | --- |

A.

whereas for many developing countries natural resource extraction accounts for a significant proportion of GDP and often for the bulk of foreign exchange earnings and foreign investment;

| B. | whereas Africa has some of the world’s largest mineral reserves, and whereas the profits from the mining of Africa’s mineral resources should be used to meet the MDGs, eradicate poverty and achieve rapid and broad-based socioeconomic development and growth; whereas, however, African countries still need to develop and implement coherent strategies to turn exploitation of natural resources into a motor for economic development and diversification of their economies; |
| --- | --- |

B.

whereas Africa has some of the world’s largest mineral reserves, and whereas the profits from the mining of Africa’s mineral resources should be used to meet the MDGs, eradicate poverty and achieve rapid and broad-based socioeconomic development and growth; whereas, however, African countries still need to develop and implement coherent strategies to turn exploitation of natural resources into a motor for economic development and diversification of their economies;

| C. | whereas, if the revenues they generate are managed properly and transparently, natural resources can be significant drivers of economic growth and social development; |
| --- | --- |

C.

whereas, if the revenues they generate are managed properly and transparently, natural resources can be significant drivers of economic growth and social development;

| D. | whereas disputes over oil, gas, minerals, timber and other natural resources rank second as a source of conflicts worldwide; whereas competition over resources, such as land and water, is on the rise, and exacerbating existing conflicts or triggering new ones; whereas the mismanagement of land and natural resources is compounded by environmental degradation, population growth and climate change; |
| --- | --- |

D.

whereas disputes over oil, gas, minerals, timber and other natural resources rank second as a source of conflicts worldwide; whereas competition over resources, such as land and water, is on the rise, and exacerbating existing conflicts or triggering new ones; whereas the mismanagement of land and natural resources is compounded by environmental degradation, population growth and climate change;

| E. | whereas, paradoxically, countries with rich natural resources often fare worse than other countries (the ‘resource curse’ phenomenon) and the control, exploitation, trade and taxation of minerals in some cases contribute to armed conflicts (the ‘conflict minerals’ problem); |
| --- | --- |

E.

whereas, paradoxically, countries with rich natural resources often fare worse than other countries (the ‘resource curse’ phenomenon) and the control, exploitation, trade and taxation of minerals in some cases contribute to armed conflicts (the ‘conflict minerals’ problem);

| F. | whereas the benefits of mining for local populations often fail to materialise or are heavily outweighed by negative social and environmental impacts; whereas local or national authorities can use more effective governance and greater transparency to enhance the benefits of mining for local populations, thereby also neutralising any negative social and environmental impacts; |
| --- | --- |

F.

whereas the benefits of mining for local populations often fail to materialise or are heavily outweighed by negative social and environmental impacts; whereas local or national authorities can use more effective governance and greater transparency to enhance the benefits of mining for local populations, thereby also neutralising any negative social and environmental impacts;

| G. | whereas environmental and social impact assessments play an important role in protecting the rights of indigenous peoples in mining areas; |
| --- | --- |

G.

whereas environmental and social impact assessments play an important role in protecting the rights of indigenous peoples in mining areas;

| H. | whereas in 2008 the World Bank estimated that 90 % of the mineral production of the Democratic Republic of Congo comes from small-scale miners who are not registered and work in remote and insecure areas controlled by armed groups; |
| --- | --- |

H.

whereas in 2008 the World Bank estimated that 90 % of the mineral production of the Democratic Republic of Congo comes from small-scale miners who are not registered and work in remote and insecure areas controlled by armed groups;

| I. | whereas small-scale mining provides considerable employment, especially in rural areas; whereas the formalisation of artisanal and small-scale mining (ASM) is needed to stimulate local/national entrepreneurship, improve livelihoods and advance integrated rural social and economic development; whereas, however, the informal nature of artisanal and small-scale mining in Africa makes it easy prey for organised crime and paramilitary organisations and is beset with a number of challenges, such as child labour, which prevent it from reaching its full development potential; |
| --- | --- |

I.

whereas small-scale mining provides considerable employment, especially in rural areas; whereas the formalisation of artisanal and small-scale mining (ASM) is needed to stimulate local/national entrepreneurship, improve livelihoods and advance integrated rural social and economic development; whereas, however, the informal nature of artisanal and small-scale mining in Africa makes it easy prey for organised crime and paramilitary organisations and is beset with a number of challenges, such as child labour, which prevent it from reaching its full development potential;

| J. | whereas the extractive industries should foster the development of high-technology, innovative sectors and offer solutions in the areas of resource and energy efficiency, ecodesign, performance enhancement, recycling and the circular economy which can benefit both developing and developed countries; |
| --- | --- |

J.

whereas the extractive industries should foster the development of high-technology, innovative sectors and offer solutions in the areas of resource and energy efficiency, ecodesign, performance enhancement, recycling and the circular economy which can benefit both developing and developed countries;

| K. | whereas the Africa Mining Vision offers a framework for integrating the sector more coherently and firmly into the continent’s economy and society; |
| --- | --- |

K.

whereas the Africa Mining Vision offers a framework for integrating the sector more coherently and firmly into the continent’s economy and society;

| L. | whereas human rights abuses are common within the extractive industry and include child labour, sexual violence, the disappearance of people, violation of the right to a clean environment, loss of land and livelihoods without negotiation and without adequate compensation, forced resettlement and the destruction of ritually or culturally significant sites; |
| --- | --- |

L.

whereas human rights abuses are common within the extractive industry and include child labour, sexual violence, the disappearance of people, violation of the right to a clean environment, loss of land and livelihoods without negotiation and without adequate compensation, forced resettlement and the destruction of ritually or culturally significant sites;

| M. | whereas forced labour, and the denial of trade union and collective bargaining rights remain major concerns; whereas likewise the often extremely poor or absent health and safety standards are a huge cause for concern, especially in small-scale mines, which often operate in very precarious conditions; |
| --- | --- |

M.

whereas forced labour, and the denial of trade union and collective bargaining rights remain major concerns; whereas likewise the often extremely poor or absent health and safety standards are a huge cause for concern, especially in small-scale mines, which often operate in very precarious conditions;

| N. | whereas the responsibility to respect human rights is a global standard of expected conduct for all business enterprises wherever they operate, as recalled in the Guiding Principles on Business and Human Rights prepared by the UN Secretary-General’s Special Representative on the issue of human rights and transnational corporations and other business enterprises, John Ruggie; whereas there is, however, too little agreement on the concrete implications of this responsibility and progress towards comprehensive respect of it is seriously hampered also by a lack of effective monitoring, reporting, verification and accountability mechanisms; |
| --- | --- |

N.

whereas the responsibility to respect human rights is a global standard of expected conduct for all business enterprises wherever they operate, as recalled in the Guiding Principles on Business and Human Rights prepared by the UN Secretary-General’s Special Representative on the issue of human rights and transnational corporations and other business enterprises, John Ruggie; whereas there is, however, too little agreement on the concrete implications of this responsibility and progress towards comprehensive respect of it is seriously hampered also by a lack of effective monitoring, reporting, verification and accountability mechanisms;

| O. | whereas the proliferation of codes of conduct, standards and certification schemes with different thematic scope in the area of CSR renders assessments, comparisons and verification difficult or impossible; whereas this proliferation has many roots, including insufficient commitment to the pursuit of effectively functioning CSR and the cutting of corners by companies wanting to be perceived as socially and environmentally responsible; |
| --- | --- |

O.

whereas the proliferation of codes of conduct, standards and certification schemes with different thematic scope in the area of CSR renders assessments, comparisons and verification difficult or impossible; whereas this proliferation has many roots, including insufficient commitment to the pursuit of effectively functioning CSR and the cutting of corners by companies wanting to be perceived as socially and environmentally responsible;

| P. | whereas in order to increase efficiency and achieve equity in the field of CSR, a move away from the current ‘à la carte’ system, in which companies choose codes and standards according to their own preferences, towards common industry-wide standards is of primary importance; |
| --- | --- |

P.

whereas in order to increase efficiency and achieve equity in the field of CSR, a move away from the current ‘à la carte’ system, in which companies choose codes and standards according to their own preferences, towards common industry-wide standards is of primary importance;

| Q. | whereas greenwashing — projecting an image of supposedly positive environmental action in order to deceive the public and draw attention away from practices harmful to the environment — misleads consumers, the general public and regulators regarding environmental performance and undermines the pursuit of responsible business conduct and for these reasons must be combatted; whereas more generally companies using CSR as a marketing tool must ensure that any claims made are accurate; |
| --- | --- |

Q.

whereas greenwashing — projecting an image of supposedly positive environmental action in order to deceive the public and draw attention away from practices harmful to the environment — misleads consumers, the general public and regulators regarding environmental performance and undermines the pursuit of responsible business conduct and for these reasons must be combatted; whereas more generally companies using CSR as a marketing tool must ensure that any claims made are accurate;

| R. | whereas the implementation of EITI is meant to increase transparency in revenue management, with the aim of reducing the potential for corruption and enabling equitable benefit-sharing; |
| --- | --- |

R.

whereas the implementation of EITI is meant to increase transparency in revenue management, with the aim of reducing the potential for corruption and enabling equitable benefit-sharing;

| S. | whereas although many African countries have in the past two decades carried out economic, trade and investment liberalisation, they have not achieved significant economic diversification, and have on average less diversified economies that are more concentrated, for instance, in low value-added mineral and agricultural exports, both of which are extremely sensitive to external price shocks; whereas today all efforts should be focused on bringing about greater economic diversification, in other words reducing dependency on the extractive industries or agricultural exports; |
| --- | --- |

S.

whereas although many African countries have in the past two decades carried out economic, trade and investment liberalisation, they have not achieved significant economic diversification, and have on average less diversified economies that are more concentrated, for instance, in low value-added mineral and agricultural exports, both of which are extremely sensitive to external price shocks; whereas today all efforts should be focused on bringing about greater economic diversification, in other words reducing dependency on the extractive industries or agricultural exports;

| T. | whereas the Addis Ababa Declaration on Development and Management of Africa’s Mineral Resources urges African countries to ensure that EPAs and overall WTO negotiations do not limit national development policy and that trade liberalisation, which can accentuate the commodity dependence of low-income African countries, does not produce a ‘lock-in effect’; |
| --- | --- |

T.

whereas the Addis Ababa Declaration on Development and Management of Africa’s Mineral Resources urges African countries to ensure that EPAs and overall WTO negotiations do not limit national development policy and that trade liberalisation, which can accentuate the commodity dependence of low-income African countries, does not produce a ‘lock-in effect’;

| U. | whereas since the World Bank-led mining reforms of the 1980s, Latin America is making a new move towards strengthening the role of state institutions, focusing on national priorities and economic development objectives; |
| --- | --- |

U.

whereas since the World Bank-led mining reforms of the 1980s, Latin America is making a new move towards strengthening the role of state institutions, focusing on national priorities and economic development objectives;

| V. | whereas export taxes are widely employed, although many regional trade agreements and the Economic Partnership Agreements (EPAs) pursued by the EU forbid their use; |
| --- | --- |

V.

whereas export taxes are widely employed, although many regional trade agreements and the Economic Partnership Agreements (EPAs) pursued by the EU forbid their use;

| W. | whereas some ACP countries are concerned that EPA restrictions on export taxes can render movement up the value chain more difficult; |
| --- | --- |

W.

whereas some ACP countries are concerned that EPA restrictions on export taxes can render movement up the value chain more difficult;

| X. | whereas corruption and non-transparent contracts are widespread in the mining industry; |
| --- | --- |

X.

whereas corruption and non-transparent contracts are widespread in the mining industry;

| Y. | whereas the global nature of modern supply chains means that natural resources that have fuelled some of the world’s most brutal conflicts are bought and traded internationally, including by companies operating in the EU; |
| --- | --- |

Y.

whereas the global nature of modern supply chains means that natural resources that have fuelled some of the world’s most brutal conflicts are bought and traded internationally, including by companies operating in the EU;

| Z. | whereas although welcome, voluntary efforts by companies to avoid sourcing conflict minerals have not always been effective; |
| --- | --- |

Z.

whereas although welcome, voluntary efforts by companies to avoid sourcing conflict minerals have not always been effective;

| AA. | whereas Section 1502 of the 2010 US Dodd Frank Act requires companies listed with the Securities and Exchange Commission (SEC), including European firms, to carry out due diligence to determine whether their products contain minerals that have funded armed groups in DRC; whereas in an accompanying ruling, the SEC referenced the OECD Guidance as a credible due diligence standard for companies implementing the law; |
| --- | --- |

AA.

whereas Section 1502 of the 2010 US Dodd Frank Act requires companies listed with the Securities and Exchange Commission (SEC), including European firms, to carry out due diligence to determine whether their products contain minerals that have funded armed groups in DRC; whereas in an accompanying ruling, the SEC referenced the OECD Guidance as a credible due diligence standard for companies implementing the law;

| AB. | whereas efforts to end conflict by preventing the flow of artisanal mining revenue to armed groups have been relatively successful for diamonds, but wider efforts are needed to build a robust legal and institutional framework for artisanal mining, in addition to the International Conference on the Great Lakes Region (ICGLR); |
| --- | --- |

AB.

whereas efforts to end conflict by preventing the flow of artisanal mining revenue to armed groups have been relatively successful for diamonds, but wider efforts are needed to build a robust legal and institutional framework for artisanal mining, in addition to the International Conference on the Great Lakes Region (ICGLR);

Mining and Sustainable Development

| 1. | Notes with concern that non-sustainable mining can have huge negative environmental and social impacts, especially in Africa; |
| --- | --- |

1.

Notes with concern that non-sustainable mining can have huge negative environmental and social impacts, especially in Africa;

| 2. | Stresses that the global commodity price boom, fuelled by demand from emerging economies, offers a great opportunity for resource-rich developing countries, especially in Africa, to raise revenue and channel it into development, in the interest of their peoples; supports national policies aiming at this; points out that legislative and regulatory reforms are often crucial and stresses that the necessary policy space should not be restricted by trade and investment agreements; |
| --- | --- |

2.

Stresses that the global commodity price boom, fuelled by demand from emerging economies, offers a great opportunity for resource-rich developing countries, especially in Africa, to raise revenue and channel it into development, in the interest of their peoples; supports national policies aiming at this; points out that legislative and regulatory reforms are often crucial and stresses that the necessary policy space should not be restricted by trade and investment agreements;

| 3. | Stresses that in addition to generating government revenue which can be used for development, extractive industries should contribute to development through linkages to the local economy, for example through employment and training of local people, purchase of local goods and services, local processing of extracted materials and participation in efforts to develop local industries that use processed or non-processed materials as inputs or can benefit from the presence of the extractive companies in other ways; urges the Member States of the African Union to systematically implement its African Mining Vision; is convinced that in these ways progress towards fulfilment of the Millennium Development Goals can be greatly accelerated; to this end, stresses the need to foster sustainable development principles based on environmentally and socially responsible mining; |
| --- | --- |

3.

Stresses that in addition to generating government revenue which can be used for development, extractive industries should contribute to development through linkages to the local economy, for example through employment and training of local people, purchase of local goods and services, local processing of extracted materials and participation in efforts to develop local industries that use processed or non-processed materials as inputs or can benefit from the presence of the extractive companies in other ways; urges the Member States of the African Union to systematically implement its African Mining Vision; is convinced that in these ways progress towards fulfilment of the Millennium Development Goals can be greatly accelerated; to this end, stresses the need to foster sustainable development principles based on environmentally and socially responsible mining;

| 4. | Calls on developing countries to upgrade their regional cooperation, developing and adopting common environmental, social, health and safety standards and norms for the mining sector, including for ASM; |
| --- | --- |

4.

Calls on developing countries to upgrade their regional cooperation, developing and adopting common environmental, social, health and safety standards and norms for the mining sector, including for ASM;

| 5. | Emphasises the need for regional and international approaches to curbing the illegal exploitation of natural resources; encourages developing countries to take steps to formalise the artisanal and small-scale mining sector in order to improve livelihoods, secure living wages and integrate the ASM sector into the rural and national economy, while providing accessible financial and technical support to this end and assuring a legal regime that gives ASM rights-holders sufficient land and security of tenure; calls on the EU to help developing countries raise capacity locally to run tracking and certification schemes before enforcing bans on transporting non-compliant minerals; |
| --- | --- |

5.

Emphasises the need for regional and international approaches to curbing the illegal exploitation of natural resources; encourages developing countries to take steps to formalise the artisanal and small-scale mining sector in order to improve livelihoods, secure living wages and integrate the ASM sector into the rural and national economy, while providing accessible financial and technical support to this end and assuring a legal regime that gives ASM rights-holders sufficient land and security of tenure; calls on the EU to help developing countries raise capacity locally to run tracking and certification schemes before enforcing bans on transporting non-compliant minerals;

| 6. | Draws attention to the EU’s efforts to support further institutional development and capacity building within host governments so as to establish the necessary institutional and legal framework to manage and allocate revenues from extractive industries (EI) in a transparent and effective manner; draws attention, further, to the partnerships developed between the EU and the African Development Bank; in particular, urges the EU to prioritise assistance for the development of legislation and taxation policy so as to maximise the local and national benefits of EI development, resulting in the creation of local employment, living wages for employees and their families and increased linkages between small and medium-sized enterprises and the supply chain associated with EI development; |
| --- | --- |

6.

Draws attention to the EU’s efforts to support further institutional development and capacity building within host governments so as to establish the necessary institutional and legal framework to manage and allocate revenues from extractive industries (EI) in a transparent and effective manner; draws attention, further, to the partnerships developed between the EU and the African Development Bank; in particular, urges the EU to prioritise assistance for the development of legislation and taxation policy so as to maximise the local and national benefits of EI development, resulting in the creation of local employment, living wages for employees and their families and increased linkages between small and medium-sized enterprises and the supply chain associated with EI development;

| 7. | Stresses, in line with the principle of ownership, that local communities should participate in the planning and development of natural resources projects, which should be evaluated in terms of local supply chains and employment of the local community; |
| --- | --- |

7.

Stresses, in line with the principle of ownership, that local communities should participate in the planning and development of natural resources projects, which should be evaluated in terms of local supply chains and employment of the local community;

| 8. | Considers it essential to recognise and secure the traditional rights and cultures of indigenous people in EI development and to ensure their prior and informed participation; |
| --- | --- |

8.

Considers it essential to recognise and secure the traditional rights and cultures of indigenous people in EI development and to ensure their prior and informed participation;

| 9. | Stresses the need to ensure that victims of breaches of social or environmental legislation by multinational companies have effective access to justice; |
| --- | --- |

9.

Stresses the need to ensure that victims of breaches of social or environmental legislation by multinational companies have effective access to justice;

| 10. | Stresses that, in a context where domestic regulation in developing countries is often inadequate to protect human rights from corporate infractions, the UN Protect, Respect and Remedy Framework offers a comprehensive and useful set of principles for companies’ respect for and protection of human rights; |
| --- | --- |

10.

Stresses that, in a context where domestic regulation in developing countries is often inadequate to protect human rights from corporate infractions, the UN Protect, Respect and Remedy Framework offers a comprehensive and useful set of principles for companies’ respect for and protection of human rights;

| 11. | Calls for the effective implementation of the African Charter on Human Rights, which includes provisions regarding the disposal of wealth and natural resources and principles for adequate compensation; |
| --- | --- |

11.

Calls for the effective implementation of the African Charter on Human Rights, which includes provisions regarding the disposal of wealth and natural resources and principles for adequate compensation;

| 12. | Calls on developing countries to ratify human rights conventions and instruments relevant to the mineral sector and then implement them, inter alia by empowering public human rights institutions to monitor enforcement of human rights standards with respect to mining, and by developing tools and methodologies for mainstreaming health and human rights issues into impact assessment procedures; |
| --- | --- |

12.

Calls on developing countries to ratify human rights conventions and instruments relevant to the mineral sector and then implement them, inter alia by empowering public human rights institutions to monitor enforcement of human rights standards with respect to mining, and by developing tools and methodologies for mainstreaming health and human rights issues into impact assessment procedures;

| 13. | Notes with concern that according to John Ruggie, the UN Special Rapporteur on Human Rights, about two-thirds of corporate human rights abuses come from the oil, gas and mining sectors; stresses that EU Member States and the international community have a duty under international and European human rights law to ensure that those companies operating within their jurisdiction are not causing or contributing to human rights abuses, directly or indirectly, through their business activities; |
| --- | --- |

13.

Notes with concern that according to John Ruggie, the UN Special Rapporteur on Human Rights, about two-thirds of corporate human rights abuses come from the oil, gas and mining sectors; stresses that EU Member States and the international community have a duty under international and European human rights law to ensure that those companies operating within their jurisdiction are not causing or contributing to human rights abuses, directly or indirectly, through their business activities;

| 14. | Expresses concern about working conditions in small-scale mining, where many jobs are precarious, far from conforming with international and national labour standards, and where accident rates are estimated to be six or seven times higher than in larger operations; calls on the governments of developing countries and mining companies to implement fundamental labour standards as set out in ILO Conventions to ensure decent and safe work for all mine workers, including the Safety and Health in Mines Convention; |
| --- | --- |

14.

Expresses concern about working conditions in small-scale mining, where many jobs are precarious, far from conforming with international and national labour standards, and where accident rates are estimated to be six or seven times higher than in larger operations; calls on the governments of developing countries and mining companies to implement fundamental labour standards as set out in ILO Conventions to ensure decent and safe work for all mine workers, including the Safety and Health in Mines Convention;

| 15. | Calls on EU Member States to increase their assistance to combat child labour in mining and to support the ILO’s undertakings to provide educational opportunities and alternative income-generating prospects to remove children from mining activities; |
| --- | --- |

15.

Calls on EU Member States to increase their assistance to combat child labour in mining and to support the ILO’s undertakings to provide educational opportunities and alternative income-generating prospects to remove children from mining activities;

| 16. | Welcomes the fact that international finance institutions have developed methods to ensure that mineral investors carry out Environmental Impact Assessment (EIAs) and Social Impact Assessment (SIAs); notes, however, that building capacity in developing countries to enforce these requirements remains a challenge, in view of financial and human resource constraints; calls, therefore, on the EU to upgrade its technical assistance so as to enable developing countries to institute the practice of systematic assessment of health, social and environmental risks, with provisions for effective public participation; |
| --- | --- |

16.

Welcomes the fact that international finance institutions have developed methods to ensure that mineral investors carry out Environmental Impact Assessment (EIAs) and Social Impact Assessment (SIAs); notes, however, that building capacity in developing countries to enforce these requirements remains a challenge, in view of financial and human resource constraints; calls, therefore, on the EU to upgrade its technical assistance so as to enable developing countries to institute the practice of systematic assessment of health, social and environmental risks, with provisions for effective public participation;

| 17. | Emphasises the role played by the World Bank Group in developing responsible business practices; draws attention to the need to improve the way knowledge about the establishment of institutions which place greater emphasis on integrity is shared and applied and to make information and resources available to ordinary people, so that their governments are forced to be more effective and to take greater account of their needs; |
| --- | --- |

17.

Emphasises the role played by the World Bank Group in developing responsible business practices; draws attention to the need to improve the way knowledge about the establishment of institutions which place greater emphasis on integrity is shared and applied and to make information and resources available to ordinary people, so that their governments are forced to be more effective and to take greater account of their needs;

| 18. | Calls on authorities to ban mineral exploration and exploitation in national parks and World Heritage Sites and on companies to make a commitment not to engage in such exploration and exploitation; |
| --- | --- |

18.

Calls on authorities to ban mineral exploration and exploitation in national parks and World Heritage Sites and on companies to make a commitment not to engage in such exploration and exploitation;

| 19. | Believes that the mining industry could and should make valuable contributions to climate change mitigation through technology transfer and responsible investment; stresses, in particular, that large-scale mining companies can potentially provide the know-how for emission mitigation in the small and medium-sized mining sector; reiterates its call on the EU to seek agreements on climate financing, technology transfer and capacity building and to upgrade its assistance to developing countries for CO2 emission reduction; |
| --- | --- |

19.

Believes that the mining industry could and should make valuable contributions to climate change mitigation through technology transfer and responsible investment; stresses, in particular, that large-scale mining companies can potentially provide the know-how for emission mitigation in the small and medium-sized mining sector; reiterates its call on the EU to seek agreements on climate financing, technology transfer and capacity building and to upgrade its assistance to developing countries for CO2 emission reduction;

| 20. | Emphasises the need for strong European legislation on disclosure of non-financial information by certain large companies, including the obligation for companies to conduct risk-based due diligence, taking into account their whole supply chain; |
| --- | --- |

20.

Emphasises the need for strong European legislation on disclosure of non-financial information by certain large companies, including the obligation for companies to conduct risk-based due diligence, taking into account their whole supply chain;

The Role of the Private Sector

| 21. | Calls for the effective implementation of the ILO Declaration on Fundamental Principles and Rights at Work, the OECD Guidelines for Multinational Enterprises (MNEs), the UN Global Compact (UNGC) and the UN Guiding Principles on Business and Human Rights (UNGP) through common industry-wide mechanisms; |
| --- | --- |

21.

Calls for the effective implementation of the ILO Declaration on Fundamental Principles and Rights at Work, the OECD Guidelines for Multinational Enterprises (MNEs), the UN Global Compact (UNGC) and the UN Guiding Principles on Business and Human Rights (UNGP) through common industry-wide mechanisms;

| 22. | Calls on the EEAS and Commission to ensure that EU trade officers based in EU delegations are given regular training on CSR issues; |
| --- | --- |

22.

Calls on the EEAS and Commission to ensure that EU trade officers based in EU delegations are given regular training on CSR issues;

| 23. | Calls on the Commission to actively promote responsible business conduct among EU companies operating abroad, ensuring strict compliance with all legal obligations, in particular with international standards and rules in the field of human rights, labour and the environment; |
| --- | --- |

23.

Calls on the Commission to actively promote responsible business conduct among EU companies operating abroad, ensuring strict compliance with all legal obligations, in particular with international standards and rules in the field of human rights, labour and the environment;

| 24. | Stresses that the thematic scope of different CSR implementation schemes is often selective, a comment which also applies to social and environmental issues; considers such a fragmented approach to be detrimental to an assessment of the overall sustainable performance of a company; considers that while those general frameworks have developed a common understanding and language for CSR principles, they should also form the basis for common industry-wide international standards on what constitutes responsible business practices; |
| --- | --- |

24.

Stresses that the thematic scope of different CSR implementation schemes is often selective, a comment which also applies to social and environmental issues; considers such a fragmented approach to be detrimental to an assessment of the overall sustainable performance of a company; considers that while those general frameworks have developed a common understanding and language for CSR principles, they should also form the basis for common industry-wide international standards on what constitutes responsible business practices;

| 25. | Stresses equally that CSR initiatives should not be considered a substitute for a government’s responsibility towards its citizens in providing basic infrastructure and other public goods, but should instead complement it; |
| --- | --- |

25.

Stresses equally that CSR initiatives should not be considered a substitute for a government’s responsibility towards its citizens in providing basic infrastructure and other public goods, but should instead complement it;

International Trade and Investment Regimes

| 26. | Calls on the EU to use its trade and investment relations with key partner countries (e.g. US, China, Japan, Brazil and India) to foster a dialogue on CSR; urges also the EU to conduct sustainability impact assessments of proposed trade agreements before entering the negotiation phase; calls for investment treaties to foster positive CSR practices and reporting; |
| --- | --- |

26.

Calls on the EU to use its trade and investment relations with key partner countries (e.g. US, China, Japan, Brazil and India) to foster a dialogue on CSR; urges also the EU to conduct sustainability impact assessments of proposed trade agreements before entering the negotiation phase; calls for investment treaties to foster positive CSR practices and reporting;

| 27. | Stresses that trade agreements should respect developing countries’ need to diversify their economies and upgrade their technologies; |
| --- | --- |

27.

Stresses that trade agreements should respect developing countries’ need to diversify their economies and upgrade their technologies;

| 28. | Recognises the importance of foreign direct investment for industrial growth while noting that overly generous terms for foreign direct investment (FDI) in mining offered by developing countries in the 1980s and 1990s, combined with domestic mismanagement, corruption, lack of accountability and poor regulations, prevented them from gaining a fair share of profits from the exploitation of their natural resources badly needed for their social and economic development; |
| --- | --- |

28.

Recognises the importance of foreign direct investment for industrial growth while noting that overly generous terms for foreign direct investment (FDI) in mining offered by developing countries in the 1980s and 1990s, combined with domestic mismanagement, corruption, lack of accountability and poor regulations, prevented them from gaining a fair share of profits from the exploitation of their natural resources badly needed for their social and economic development;

| 29. | Shares the concerns of the UN Special Representative on Business and Human Rights that current methods of protecting investor rights in contracts and international agreements constrain the ability of states to protect human rights; stresses the need to balance investor rights with obligations in terms of sustainable human development; |
| --- | --- |

29.

Shares the concerns of the UN Special Representative on Business and Human Rights that current methods of protecting investor rights in contracts and international agreements constrain the ability of states to protect human rights; stresses the need to balance investor rights with obligations in terms of sustainable human development;

| 30. | Urges the EU and its Member States to implement the 10 principles of the UN Special Representative on Business and Human Rights that aim to integrate the management of human rights risks into state-investor contract negotiations, so as to ensure that stabilisation clauses do not compromise protection of and respect for human rights; calls on the EU to support capacity building in developing countries for negotiation and implementation of human rights and sustainable development clauses in investment agreements; |
| --- | --- |

30.

Urges the EU and its Member States to implement the 10 principles of the UN Special Representative on Business and Human Rights that aim to integrate the management of human rights risks into state-investor contract negotiations, so as to ensure that stabilisation clauses do not compromise protection of and respect for human rights; calls on the EU to support capacity building in developing countries for negotiation and implementation of human rights and sustainable development clauses in investment agreements;

| 31. | Stresses that performance requirements which aim, for example, to increase linkages between foreign investors and local manufacturers are a hallmark of industrial policy; stresses that investment agreements should enable the use of local content and technology transfer requirements, to encourage foreign firms to establish upstream and downstream linkages and contribute towards the host country’s economic development; |
| --- | --- |

31.

Stresses that performance requirements which aim, for example, to increase linkages between foreign investors and local manufacturers are a hallmark of industrial policy; stresses that investment agreements should enable the use of local content and technology transfer requirements, to encourage foreign firms to establish upstream and downstream linkages and contribute towards the host country’s economic development;

| 32. | Encourages African countries to make progress in their regional integration efforts so as to remove some of the intra-African barriers to mineral-based industrialisation; |
| --- | --- |

32.

Encourages African countries to make progress in their regional integration efforts so as to remove some of the intra-African barriers to mineral-based industrialisation;

| 33. | Stresses that export taxes are permitted under the WTO regime and can be part of policy strategies aiming to develop domestic manufacturing or processing industries; |
| --- | --- |

33.

Stresses that export taxes are permitted under the WTO regime and can be part of policy strategies aiming to develop domestic manufacturing or processing industries;

Benefitting from Revenues

| 34. | Urges the EU to assist developing countries in negotiating investment agreements that will yield sustainable social benefits and improved socioeconomic conditions; points out that in pressing developing country governments to minimise their taxes and royalties, mining companies are effectively weakening the fiscal capacity of the state, while, in contrast, ‘tariff escalation’ applied by the EU on finished goods makes it more difficult for developing countries producing raw materials to process and manufacture value-added products for export; |
| --- | --- |

34.

Urges the EU to assist developing countries in negotiating investment agreements that will yield sustainable social benefits and improved socioeconomic conditions; points out that in pressing developing country governments to minimise their taxes and royalties, mining companies are effectively weakening the fiscal capacity of the state, while, in contrast, ‘tariff escalation’ applied by the EU on finished goods makes it more difficult for developing countries producing raw materials to process and manufacture value-added products for export;

| 35. | Stresses the need to negotiate and implement tax treaties with developing countries to ensure that multinational enterprises pay their fair share of taxes; calls, more broadly, on the EU to enhance support for assisting developing countries in tax reforms and strengthening tax administrations, so as to enable adequate capture, management and sharing of mineral revenue, and to work to put in place trade agreements which remove tariff escalation on selected finished goods that could hinder the processing and manufacture of mineral-based value-added products, thereby hampering the strategy of economic diversification of developing countries; |
| --- | --- |

35.

Stresses the need to negotiate and implement tax treaties with developing countries to ensure that multinational enterprises pay their fair share of taxes; calls, more broadly, on the EU to enhance support for assisting developing countries in tax reforms and strengthening tax administrations, so as to enable adequate capture, management and sharing of mineral revenue, and to work to put in place trade agreements which remove tariff escalation on selected finished goods that could hinder the processing and manufacture of mineral-based value-added products, thereby hampering the strategy of economic diversification of developing countries;

| 36. | Stresses that illicit capital flows from Africa are linked to the secrecy around mining contracts and tax regimes; considers, therefore, that the fight against tax evasion and tax havens should remain a top priority; |
| --- | --- |

36.

Stresses that illicit capital flows from Africa are linked to the secrecy around mining contracts and tax regimes; considers, therefore, that the fight against tax evasion and tax havens should remain a top priority;

| 37. | Is concerned about the way concessions can be granted to mining companies and the problems this can cause, including expropriation, deprivation of people’s livelihoods and problems concerning user rights and land rights; urges authorities to demarcate ‘no-go areas’ for concessions in areas that are environmentally protected by law or that have a high concentration of artisanal miners, and to do this before granting concessions so as to avoid unnecessary unrest and problems with local communities and mining companies; calls as well on authorities to create capacity to organise consultations with local communities, properly assess the concession request, monitor the site and assess the impact of the mining before granting concessions; calls on authorities to ensure that artisanal mining concessions are formalised and duly recognised by states, including in cases where states are moving towards industrial mining; |
| --- | --- |

37.

Is concerned about the way concessions can be granted to mining companies and the problems this can cause, including expropriation, deprivation of people’s livelihoods and problems concerning user rights and land rights; urges authorities to demarcate ‘no-go areas’ for concessions in areas that are environmentally protected by law or that have a high concentration of artisanal miners, and to do this before granting concessions so as to avoid unnecessary unrest and problems with local communities and mining companies; calls as well on authorities to create capacity to organise consultations with local communities, properly assess the concession request, monitor the site and assess the impact of the mining before granting concessions; calls on authorities to ensure that artisanal mining concessions are formalised and duly recognised by states, including in cases where states are moving towards industrial mining;

| 38. | Welcomes the recent revision of the Transparency and Accounting Directives which introduces reporting obligations on payments to governments for the extractive and logging industries; urges the Member States to implement these directives rapidly; calls for the revenue data collected to be available in as open and accessible a format as possible; |
| --- | --- |

38.

Welcomes the recent revision of the Transparency and Accounting Directives which introduces reporting obligations on payments to governments for the extractive and logging industries; urges the Member States to implement these directives rapidly; calls for the revenue data collected to be available in as open and accessible a format as possible;

| 39. | Calls on authorities to ensure that mining licences and other assets are sold or granted through open and transparent bidding processes; calls on authorities to publish contracts, including annexes, maps and all financial details, as a means of preventing corruption; calls on authorities and the companies concerned to produce a full list of shareholders of all mining companies, particularly for any new deals, and a full list of those benefiting systematically from these deals, as a means of preventing corruption; calls on authorities and companies to ensure all payments to government are published in a widely accessible manner; calls on the EU to require extractive companies listed in Europe to publish any contracts concluded; |
| --- | --- |

39.

Calls on authorities to ensure that mining licences and other assets are sold or granted through open and transparent bidding processes; calls on authorities to publish contracts, including annexes, maps and all financial details, as a means of preventing corruption; calls on authorities and the companies concerned to produce a full list of shareholders of all mining companies, particularly for any new deals, and a full list of those benefiting systematically from these deals, as a means of preventing corruption; calls on authorities and companies to ensure all payments to government are published in a widely accessible manner; calls on the EU to require extractive companies listed in Europe to publish any contracts concluded;

| 40. | Calls on authorities to investigate serious allegations of corruption in the mining sector and to prosecute, freeze funds or refuse to allow transactions to proceed where appropriate; calls for assessments of corruption risks to include looking at the process of asset confiscation, and the resale of confiscated assets, the involvement of individuals or companies as intermediaries in ‘flipping concessions’ (particularly where these intermediaries have known relationships with the governing authorities), the sale of assets at under value, and the sale of assets without tender (particularly where the assets are of key economic importance or where tenders are otherwise the norm); calls on authorities to ensure that the end-buyers of these assets are held accountable for the intermediaries they have partnered with; |
| --- | --- |

40.

Calls on authorities to investigate serious allegations of corruption in the mining sector and to prosecute, freeze funds or refuse to allow transactions to proceed where appropriate; calls for assessments of corruption risks to include looking at the process of asset confiscation, and the resale of confiscated assets, the involvement of individuals or companies as intermediaries in ‘flipping concessions’ (particularly where these intermediaries have known relationships with the governing authorities), the sale of assets at under value, and the sale of assets without tender (particularly where the assets are of key economic importance or where tenders are otherwise the norm); calls on authorities to ensure that the end-buyers of these assets are held accountable for the intermediaries they have partnered with;

Breaking the Link between Armed Conflict and Mineral Exploitation

| 41. | Notes with concern that the exploitation of high-value natural resources, including oil, gas, minerals and timber, is a major source of conflicts around the world; believes that for conflict prevention strategies to be successful they must address: the poor engagement of communities in the EI development process; the inadequate benefit sharing; the negative economic, social and environmental impacts; the mismanagement of funds; corruption; the role of armies and rebel movements; the inadequate institutional and legal frameworks for governing the development of EI; and the lack of attention to natural resource issues in peace agreements; |
| --- | --- |

41.

Notes with concern that the exploitation of high-value natural resources, including oil, gas, minerals and timber, is a major source of conflicts around the world; believes that for conflict prevention strategies to be successful they must address: the poor engagement of communities in the EI development process; the inadequate benefit sharing; the negative economic, social and environmental impacts; the mismanagement of funds; corruption; the role of armies and rebel movements; the inadequate institutional and legal frameworks for governing the development of EI; and the lack of attention to natural resource issues in peace agreements;

| 42. | Embraces the Africa Mining Vision according to which an environmentally and socially responsible, transparent and inclusive mining sector, which provides lasting benefits to communities, is essential for addressing the adverse impacts of the mining sector and avoiding conflicts induced by mineral exploitation; calls in this context for transparent and participatory governance processes, at all levels, to assess the environmental and social impacts of mining; |
| --- | --- |

42.

Embraces the Africa Mining Vision according to which an environmentally and socially responsible, transparent and inclusive mining sector, which provides lasting benefits to communities, is essential for addressing the adverse impacts of the mining sector and avoiding conflicts induced by mineral exploitation; calls in this context for transparent and participatory governance processes, at all levels, to assess the environmental and social impacts of mining;

| 43. | Emphasises that conflict minerals represent a major challenge in terms of human rights; stresses that good governance, including sound environmental management practices and control and respect for social standards are essential to combat the problem of conflict minerals; |
| --- | --- |

43.

Emphasises that conflict minerals represent a major challenge in terms of human rights; stresses that good governance, including sound environmental management practices and control and respect for social standards are essential to combat the problem of conflict minerals;

| 44. | Points out that most initiatives launched internationally against conflict minerals aim to encourage responsible conduct by industries that buy the minerals, through certification systems for smelters; calls for the inclusion of relevant human rights aspects in all certification programmes in line with international standards such as those established within the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas; |
| --- | --- |

44.

Points out that most initiatives launched internationally against conflict minerals aim to encourage responsible conduct by industries that buy the minerals, through certification systems for smelters; calls for the inclusion of relevant human rights aspects in all certification programmes in line with international standards such as those established within the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas;

| 45. | Stresses that for current business initiatives on conflict minerals to be effective in breaking the link between armed conflict and mineral exploitation, and to ensure that they comply with international standards set by the OECD, European legislation should be introduced to regulate these initiatives and companies operating in the EU which use and trade covered natural resources; calls, therefore, on the Commission to bring forward binding legislation on conflict minerals; |
| --- | --- |

45.

Stresses that for current business initiatives on conflict minerals to be effective in breaking the link between armed conflict and mineral exploitation, and to ensure that they comply with international standards set by the OECD, European legislation should be introduced to regulate these initiatives and companies operating in the EU which use and trade covered natural resources; calls, therefore, on the Commission to bring forward binding legislation on conflict minerals;

| 46. | Stresses that an EU regulation requiring companies using and trading minerals and other natural resources sourced from conflict-affected and high-risk areas to carry out due diligence in accordance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas is needed to complement the revisions of the EU Transparency and Accounting Directives on disclosure of financial and non-financial information of large companies as well as the Dodd Frank Act’s conflict mineral provisions; in particular, believes that such legislation should:






  (a) | create a legally binding obligation for all upstream companies operating in the EU that use and trade natural resources sourced from conflict-affected and high-risk areas and all downstream companies that act as the first placer on the European market to undertake supply chain due diligence to identify and mitigate the risk of conflict financing and human rights abuse; |
| --- | --- | --- |

46.

Stresses that an EU regulation requiring companies using and trading minerals and other natural resources sourced from conflict-affected and high-risk areas to carry out due diligence in accordance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas is needed to complement the revisions of the EU Transparency and Accounting Directives on disclosure of financial and non-financial information of large companies as well as the Dodd Frank Act’s conflict mineral provisions; in particular, believes that such legislation should:

(a)

create a legally binding obligation for all upstream companies operating in the EU that use and trade natural resources sourced from conflict-affected and high-risk areas and all downstream companies that act as the first placer on the European market to undertake supply chain due diligence to identify and mitigate the risk of conflict financing and human rights abuse;

| (b) | be based on the relevant international instruments, including the International Bill of Human Rights, further elaborated by international human rights treaties and standards (such as UN Guiding Principles for Business and Human Rights and the Protect, Respect, and Remedy Framework), International Labour Organisation (ILO) core treaties, International Humanitarian and Criminal Law, and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas; |
| --- | --- |

(b)

be based on the relevant international instruments, including the International Bill of Human Rights, further elaborated by international human rights treaties and standards (such as UN Guiding Principles for Business and Human Rights and the Protect, Respect, and Remedy Framework), International Labour Organisation (ILO) core treaties, International Humanitarian and Criminal Law, and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas;

| (c) | apply to all segments of the supply chain and to all natural resources, without exception, produced in any conflict-affected or high-risk area; |
| --- | --- |

(c)

apply to all segments of the supply chain and to all natural resources, without exception, produced in any conflict-affected or high-risk area;

| (d) | be founded on a risk-based approach, requiring companies to assess actual and potential adverse impacts arising from their operations, and to mitigate the identified risks; |
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(d)

be founded on a risk-based approach, requiring companies to assess actual and potential adverse impacts arising from their operations, and to mitigate the identified risks;

| (e) | include an obligation for regular independent audits and public disclosure of company due diligence efforts; |
| --- | --- |

(e)

include an obligation for regular independent audits and public disclosure of company due diligence efforts;

| (f) | define requirements for company risk assessments and for a management framework; |
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(f)

define requirements for company risk assessments and for a management framework;

| (g) | include a sanctions mechanism for cases of noncompliance with the risk-based supply chain due diligence obligations; |
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(g)

include a sanctions mechanism for cases of noncompliance with the risk-based supply chain due diligence obligations;

| (h) | be comparable with the obligations under the Dodd Frank Act, so that when fulfilling EU obligations on responsible sourcing companies automatically fulfil the obligations under US legislation; |
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(h)

be comparable with the obligations under the Dodd Frank Act, so that when fulfilling EU obligations on responsible sourcing companies automatically fulfil the obligations under US legislation;

| 47. | Stresses that EU due diligence legislation should be part of a wider and complementary approach that addresses the root causes of conflict and fragility, and be complemented by development aid programmes, which should target issues of governance and security sector reform and should aim to build the capacity of local authorities and local communities to manage their natural resources sustainably and for the benefit of their local population; |
| --- | --- |

47.

Stresses that EU due diligence legislation should be part of a wider and complementary approach that addresses the root causes of conflict and fragility, and be complemented by development aid programmes, which should target issues of governance and security sector reform and should aim to build the capacity of local authorities and local communities to manage their natural resources sustainably and for the benefit of their local population;

| 48. | Calls on the EU to support capacity building in mineral-rich developing countries and to establish conflict-free sourcing programmes; |
| --- | --- |

48.

Calls on the EU to support capacity building in mineral-rich developing countries and to establish conflict-free sourcing programmes;

| 49. | Urges developing countries to enforce domestic due diligence law and include OECD due diligence as a requirement in the national Mining Code; |
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49.

Urges developing countries to enforce domestic due diligence law and include OECD due diligence as a requirement in the national Mining Code;

| 50. | Urges the EEAS to foster a dialogue with key partner countries (e.g. China, Japan, Brazil, India and South Africa) on the importance of trade policies that respect the principle of ‘duty to protect’ in general, and the UN guiding principles and OECD framework in particular; |
| --- | --- |

50.

Urges the EEAS to foster a dialogue with key partner countries (e.g. China, Japan, Brazil, India and South Africa) on the importance of trade policies that respect the principle of ‘duty to protect’ in general, and the UN guiding principles and OECD framework in particular;

| 51. | Calls on Member States to provide guidance for European companies on strategies for mitigating risks when operating in high-risk and conflict areas, with a view to helping these companies continue their operations in such areas when this is also in the interest of the local population; |
| --- | --- |

51.

Calls on Member States to provide guidance for European companies on strategies for mitigating risks when operating in high-risk and conflict areas, with a view to helping these companies continue their operations in such areas when this is also in the interest of the local population;

o

o o

| 52. | Instructs its President to forward this resolution to the Council and the Commission. |
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52.

Instructs its President to forward this resolution to the Council and the Commission.

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(1)  http://www.oecd.org/corporate/mne/47143500.pdf

(2)  http://www.oecd.org/daf/inv/mne/GuidanceEdition2.pdf

(3)  https://www.gov.uk/government/publications/g8-lough-erne-declaration/g8-lough-erne-declaration-html-version

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Thursday 27 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/96 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/96

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P7_TA(2014)0164

SOLVIT

European Parliament resolution of 27 February 2014 on SOLVIT (2013/2154(INI))

(2017/C 285/13)

The European Parliament,

| — | having regard to Commission Recommendation 2013/461/EU of 17 September 2013 on the principles governing SOLVIT (1), |
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—

having regard to Commission Recommendation 2013/461/EU of 17 September 2013 on the principles governing SOLVIT (1),

| — | having regard to the Commission Communication of 17 September 2013 on ‘Empowering businesses and citizens in Europe’s single Market: An action plan for boosting Your Europe in cooperation with the Member States’ (COM(2013)0636), |
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—

having regard to the Commission Communication of 17 September 2013 on ‘Empowering businesses and citizens in Europe’s single Market: An action plan for boosting Your Europe in cooperation with the Member States’ (COM(2013)0636),

| — | having regard to the Commission Staff Working Document of 24 February 2012 on ‘Reinforcing effective problem-solving in the Single Market — Unlocking SOLVIT’s full potential at the occasion of its 10th anniversary’ (SWD(2012)0033), |
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—

having regard to the Commission Staff Working Document of 24 February 2012 on ‘Reinforcing effective problem-solving in the Single Market — Unlocking SOLVIT’s full potential at the occasion of its 10th anniversary’ (SWD(2012)0033),

| — | having regard to the first Commission report of 28 November 2012 on ‘State of the Single Market Integration 2013 — Contribution to the Annual Growth Survey 2013’ (COM(2012)0752), |
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—

having regard to the first Commission report of 28 November 2012 on ‘State of the Single Market Integration 2013 — Contribution to the Annual Growth Survey 2013’ (COM(2012)0752),

| — | having regard to the Commission Communication of 8 June 2012 entitled ‘Better Governance for the Single Market’ (COM(2012)0259), |
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—

having regard to the Commission Communication of 8 June 2012 entitled ‘Better Governance for the Single Market’ (COM(2012)0259),

| — | having regard to the Commission staff working document of 24 February 2012 entitled ‘Making the Single Market deliver — Annual governance check-up 2011’ (SWD(2012)0025), |
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—

having regard to the Commission staff working document of 24 February 2012 entitled ‘Making the Single Market deliver — Annual governance check-up 2011’ (SWD(2012)0025),

| — | having regard to the online Single Market Scoreboard made public on 4 July 2013, |
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—

having regard to the online Single Market Scoreboard made public on 4 July 2013,

| — | having regard to the study ‘A European Single Point of Contact’ of July 2013, commissioned by its Committee on the Internal Market and Consumer Protection, |
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—

having regard to the study ‘A European Single Point of Contact’ of July 2013, commissioned by its Committee on the Internal Market and Consumer Protection,

| — | having regard to its resolution of 7 February 2013 on the governance of the Single Market (2), |
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—

having regard to its resolution of 7 February 2013 on the governance of the Single Market (2),

| — | having regard to its resolution of 14 June 2012 entitled ‘Single Market Act — The Next Steps to Growth’ (3), |
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—

having regard to its resolution of 14 June 2012 entitled ‘Single Market Act — The Next Steps to Growth’ (3),

| — | having regard to its resolution of 6 April 2011 on governance and partnership in the single market (4), |
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—

having regard to its resolution of 6 April 2011 on governance and partnership in the single market (4),

| — | having regard to its resolution of 9 March 2010 on SOLVIT (5), |
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—

having regard to its resolution of 9 March 2010 on SOLVIT (5),

| — | having regard to Rule 48 of its Rules of Procedure, |
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—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinion of the Committee on Employment and Social Affairs (A7-0059/2014), |
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—

having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinion of the Committee on Employment and Social Affairs (A7-0059/2014),

| A. | whereas the rights of citizens and businesses in the single market need to be used effectively, and whereas EU law guaranteeing these rights needs to be enforced effectively to ensure that citizens and businesses all benefit from the internal market’s potential; |
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A.

whereas the rights of citizens and businesses in the single market need to be used effectively, and whereas EU law guaranteeing these rights needs to be enforced effectively to ensure that citizens and businesses all benefit from the internal market’s potential;

| B. | whereas informing citizens about their rights and facilitating their enjoyment of those rights help to make the internal market work better; |
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B.

whereas informing citizens about their rights and facilitating their enjoyment of those rights help to make the internal market work better;

| C. | whereas SOLVIT currently handles around 1 300 cases a year, and manages to find solutions for around 90 % of its clients within the deadline of 70 days; |
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C.

whereas SOLVIT currently handles around 1 300 cases a year, and manages to find solutions for around 90 % of its clients within the deadline of 70 days;

| D. | whereas interest in and use of Your Europe is growing fast, and whereas, according to the online Single Market Scoreboard, more than 11 000 visitors consulted the portal each day in 2012, as compared to 6 500 the year before; |
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D.

whereas interest in and use of Your Europe is growing fast, and whereas, according to the online Single Market Scoreboard, more than 11 000 visitors consulted the portal each day in 2012, as compared to 6 500 the year before;

| E. | whereas it has repeatedly called for further reinforcement of the SOLVIT network, and for the availability of more and better information about EU rights; |
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E.

whereas it has repeatedly called for further reinforcement of the SOLVIT network, and for the availability of more and better information about EU rights;

| F. | whereas SOLVIT plays an important role as a key problem-solving tool and, hence, as a means of ensuring better compliance with Union law pertaining to the single market; whereas, in spite of this, SOLVIT remains under-used and has not fulfilled its potential; |
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F.

whereas SOLVIT plays an important role as a key problem-solving tool and, hence, as a means of ensuring better compliance with Union law pertaining to the single market; whereas, in spite of this, SOLVIT remains under-used and has not fulfilled its potential;

| G. | whereas, if full use is made of it, the SOLVIT system can, in a large number of areas, become a useful way of preventing excessive use being made of court systems, which can be extremely complicated, thus making it difficult for citizens and businesses to resolve their problems; |
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G.

whereas, if full use is made of it, the SOLVIT system can, in a large number of areas, become a useful way of preventing excessive use being made of court systems, which can be extremely complicated, thus making it difficult for citizens and businesses to resolve their problems;

| H. | whereas, according to its commissioned study ‘A European Single Point of Contact’, while an extensive array of online information, advice and assistance is available to European citizens and business, awareness of these services is very low, with 91,6 % of those asked having no knowledge of any online service to which to turn to in order to address problems relating to the single market; |
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H.

whereas, according to its commissioned study ‘A European Single Point of Contact’, while an extensive array of online information, advice and assistance is available to European citizens and business, awareness of these services is very low, with 91,6 % of those asked having no knowledge of any online service to which to turn to in order to address problems relating to the single market;

| I. | whereas the effectiveness of the assistance provided by SOLVIT depends to a large extent on how well its staff are trained; |
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I.

whereas the effectiveness of the assistance provided by SOLVIT depends to a large extent on how well its staff are trained;

| J. | whereas greater effort should be made to integrate SOLVIT in a better way in the range of assistance services and enforcement tools available at national and Union level; |
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J.

whereas greater effort should be made to integrate SOLVIT in a better way in the range of assistance services and enforcement tools available at national and Union level;

| K. | whereas citizens and businesses, in order to identify problems correctly when they occur and be able to resolve them, need to be aware of their rights within the single market, and whereas more still needs to be done to enhance that awareness; |
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K.

whereas citizens and businesses, in order to identify problems correctly when they occur and be able to resolve them, need to be aware of their rights within the single market, and whereas more still needs to be done to enhance that awareness;

Introduction: effective use of rights and opportunities in the single market

| 1. | Reiterates that the potential of the single market can only be unleashed if citizens and businesses are aware of their rights and opportunities, and are able to make effective use of them; recalls that these objectives can only be achieved if effective enforcement of single market legislation is ensured by the Member States and if good-quality information and efficient problem-solving mechanisms are made available; |
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1.

Reiterates that the potential of the single market can only be unleashed if citizens and businesses are aware of their rights and opportunities, and are able to make effective use of them; recalls that these objectives can only be achieved if effective enforcement of single market legislation is ensured by the Member States and if good-quality information and efficient problem-solving mechanisms are made available;

| 2. | Highlights that many single market issues are the result of gold-plating, late or wrongful implementation by one or more Member States, or national rules that run counter to Union law; strongly calls on the Commission, in this regard, to put pressure on those Member States that are not complying with single market rules; |
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2.

Highlights that many single market issues are the result of gold-plating, late or wrongful implementation by one or more Member States, or national rules that run counter to Union law; strongly calls on the Commission, in this regard, to put pressure on those Member States that are not complying with single market rules;

| 3. | Points out that many problems relating to the implementation of single market rules are detected through the SOLVIT network, and commends the contribution of SOLVIT to administrative and regulatory changes to remedy such problems; urges the Council to take measures to improve the tasks of public administrations in order to strengthen the cooperation between national authorities and the Commission; |
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3.

Points out that many problems relating to the implementation of single market rules are detected through the SOLVIT network, and commends the contribution of SOLVIT to administrative and regulatory changes to remedy such problems; urges the Council to take measures to improve the tasks of public administrations in order to strengthen the cooperation between national authorities and the Commission;

| 4. | Stresses the need for SOLVIT to have an efficient means of alerting the Commission to internal-market problems arising from non-implementation of EU law that have come to its notice; |
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4.

Stresses the need for SOLVIT to have an efficient means of alerting the Commission to internal-market problems arising from non-implementation of EU law that have come to its notice;

| 5. | Stresses that proper implementation and enforcement of, and compliance with, single market legislation is of utmost importance for European consumers and businesses and, thereby, for the economy at large and citizens’ trust in the functioning of the single market; stresses as well the Member States’ legal obligations in this regard; |
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5.

Stresses that proper implementation and enforcement of, and compliance with, single market legislation is of utmost importance for European consumers and businesses and, thereby, for the economy at large and citizens’ trust in the functioning of the single market; stresses as well the Member States’ legal obligations in this regard;

| 6. | Reiterates its calls for further development of the applicable infringement proceedings, including by means of ensuring more stringent use of such proceedings for breaches of Union law provisions in the field of the single market, and by applying faster procedures; |
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6.

Reiterates its calls for further development of the applicable infringement proceedings, including by means of ensuring more stringent use of such proceedings for breaches of Union law provisions in the field of the single market, and by applying faster procedures;

| 7. | Underlines, furthermore, the importance of making every effort to ensure that enforcement problems are prevented, detected or removed before it becomes necessary to initiate formal infringement procedures; |
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7.

Underlines, furthermore, the importance of making every effort to ensure that enforcement problems are prevented, detected or removed before it becomes necessary to initiate formal infringement procedures;

| 8. | Highlights the use of zero-tolerance for non-compliance with, and of peer review in the implementation and transposition of, the Services Directive, as methods to ensure effective application of single market law; |
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8.

Highlights the use of zero-tolerance for non-compliance with, and of peer review in the implementation and transposition of, the Services Directive, as methods to ensure effective application of single market law;

SOLVIT: helping individuals and businesses solve problems

| 9. | Welcomes the new Commission recommendation on the principles governing SOLVIT, paving the way for SOLVIT 2.0; |
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9.

Welcomes the new Commission recommendation on the principles governing SOLVIT, paving the way for SOLVIT 2.0;

| 10. | Notes that the SOLVIT network has achieved tangible results and proved its usefulness; notes, however, that there is ample room for improvement, in particular as regards settling business-related disputes and the time taken to resolve queries; |
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10.

Notes that the SOLVIT network has achieved tangible results and proved its usefulness; notes, however, that there is ample room for improvement, in particular as regards settling business-related disputes and the time taken to resolve queries;

| 11. | Welcomes the Commission’s efforts to continue to improve the effective work of the SOLVIT network on the informal, swift resolution of cross-border disputes related to the internal market — a tool for addressing misapplications following transpositions — using procedures which are as accessible as possible for citizens, and suggests that Member States should work closely with the Commission to improve the SOLVIT system, as a free, user-friendly service; |
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11.

Welcomes the Commission’s efforts to continue to improve the effective work of the SOLVIT network on the informal, swift resolution of cross-border disputes related to the internal market — a tool for addressing misapplications following transpositions — using procedures which are as accessible as possible for citizens, and suggests that Member States should work closely with the Commission to improve the SOLVIT system, as a free, user-friendly service;

| 12. | Considers that the performance of SOLVIT centres should be continuously improved, especially as regards social security cases, and encourages better coordination of national social security systems; |
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12.

Considers that the performance of SOLVIT centres should be continuously improved, especially as regards social security cases, and encourages better coordination of national social security systems;

| 13. | Calls for a special focus on all cross-border labour law issues, social rights and equal treatment, paying particular attention to issues related to pensions, European Union workers and posted workers; |
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13.

Calls for a special focus on all cross-border labour law issues, social rights and equal treatment, paying particular attention to issues related to pensions, European Union workers and posted workers;

| 14. | Highlights in particular the importance of SOLVIT for mobile workers with regard to questions of equal treatment and the solving of cross-border problems; |
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14.

Highlights in particular the importance of SOLVIT for mobile workers with regard to questions of equal treatment and the solving of cross-border problems;

| 15. | Notes that a large majority of SOLVIT clients are citizens; stresses the need to unleash the large potential of SOLVIT as a problem-solving tool for businesses; stresses that more needs to be done to make businesses, in particular small and medium-sized businesses, more aware of SOLVIT, educate them about its possibilities and enable them to make better use of it; welcomes the recent update of the Your Europe business portal as a positive step in that direction; |
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15.

Notes that a large majority of SOLVIT clients are citizens; stresses the need to unleash the large potential of SOLVIT as a problem-solving tool for businesses; stresses that more needs to be done to make businesses, in particular small and medium-sized businesses, more aware of SOLVIT, educate them about its possibilities and enable them to make better use of it; welcomes the recent update of the Your Europe business portal as a positive step in that direction;

| 16. | Calls for SOLVIT public relations to be stepped up in order to significantly raise awareness of the network; calls on the Member States, the Commission and Members of the European Parliament, in their constituencies, to engage in awareness-raising campaigns to promote the role of Your Europe and SOLVIT; underlines the fact that Member States have the option to further promote SOLVIT regionally while noting that all case handling must take place at national level; |
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16.

Calls for SOLVIT public relations to be stepped up in order to significantly raise awareness of the network; calls on the Member States, the Commission and Members of the European Parliament, in their constituencies, to engage in awareness-raising campaigns to promote the role of Your Europe and SOLVIT; underlines the fact that Member States have the option to further promote SOLVIT regionally while noting that all case handling must take place at national level;

| 17. | Draws attention to the fact that SOLVIT is still attracting a large volume of non-SOLVIT cases, and that this is slowing down the handling of SOLVIT complaints; stresses, therefore, the need for SOLVIT’s remit to be better explained to citizens and businesses; |
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17.

Draws attention to the fact that SOLVIT is still attracting a large volume of non-SOLVIT cases, and that this is slowing down the handling of SOLVIT complaints; stresses, therefore, the need for SOLVIT’s remit to be better explained to citizens and businesses;

| 18. | Calls on the Members States to ensure that adequate resources are made available to maintain the SOLVIT network, with reference to the conditions governing the organisation of SOLVIT centres set out in the Commission recommendation of 17 September 2013; |
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18.

Calls on the Members States to ensure that adequate resources are made available to maintain the SOLVIT network, with reference to the conditions governing the organisation of SOLVIT centres set out in the Commission recommendation of 17 September 2013;

| 19. | Stresses the importance of maintaining the quality of the service offered by SOLVIT in spite of budgetary restrictions and limited human resources; stresses the importance of ensuring that SOLVIT centres have sufficient numbers of well-trained staff, with adequate legal expertise and knowledge of the relevant Union languages, and that staff are accordingly provided with appropriate training in order to continually upgrade their skills and knowledge; |
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19.

Stresses the importance of maintaining the quality of the service offered by SOLVIT in spite of budgetary restrictions and limited human resources; stresses the importance of ensuring that SOLVIT centres have sufficient numbers of well-trained staff, with adequate legal expertise and knowledge of the relevant Union languages, and that staff are accordingly provided with appropriate training in order to continually upgrade their skills and knowledge;

| 20. | Emphasises the importance of the SOLVIT centres in the various Member States all providing a similar standard of service, as this is key to effective problem resolution; |
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20.

Emphasises the importance of the SOLVIT centres in the various Member States all providing a similar standard of service, as this is key to effective problem resolution;

| 21. | Stresses the importance of quick solutions to problems which only require clarification of Union law and adequate communication with applicants in complicated cases; |
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21.

Stresses the importance of quick solutions to problems which only require clarification of Union law and adequate communication with applicants in complicated cases;

| 22. | Calls for better streamlining with other complaint-handling procedures, in particular the EU Pilot; |
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22.

Calls for better streamlining with other complaint-handling procedures, in particular the EU Pilot;

| 23. | Stresses the importance of gearing SOLVIT towards handling more business-related cases; notes that this requires broader knowledge about SOLVIT within the business community, closer cooperation between SOLVIT and European and national business associations, for instance in the form of a working group bringing together SOLVIT centres and business associations, and a willingness in some SOLVIT centres to take on more complex cases; |
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23.

Stresses the importance of gearing SOLVIT towards handling more business-related cases; notes that this requires broader knowledge about SOLVIT within the business community, closer cooperation between SOLVIT and European and national business associations, for instance in the form of a working group bringing together SOLVIT centres and business associations, and a willingness in some SOLVIT centres to take on more complex cases;

| 24. | Regrets that many business-related cases that could be handled by SOLVIT are rejected on the grounds that they are too complex; considers that if some SOLVIT centres finds such business-related cases to be too complex to handle, this is a problem that needs to be addressed locally at those SOLVIT centres; |
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24.

Regrets that many business-related cases that could be handled by SOLVIT are rejected on the grounds that they are too complex; considers that if some SOLVIT centres finds such business-related cases to be too complex to handle, this is a problem that needs to be addressed locally at those SOLVIT centres;

| 25. | Highlights the importance of the Commission providing informal assistance in case-handling, including informal legal advice in complex cases; calls on the SOLVIT centres to make use of such assistance; |
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25.

Highlights the importance of the Commission providing informal assistance in case-handling, including informal legal advice in complex cases; calls on the SOLVIT centres to make use of such assistance;

| 26. | Stresses the importance of exchanges of information between SOLVIT centres and recommends that Member States invest in improving cooperation between these centres; encourages SOLVIT centres across the Union to initiate more detailed and far-reaching exchanges of best practice, and stresses the importance of such exchanges between SOLVIT centres with regard to the implementation and promotion of the services provided; |
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26.

Stresses the importance of exchanges of information between SOLVIT centres and recommends that Member States invest in improving cooperation between these centres; encourages SOLVIT centres across the Union to initiate more detailed and far-reaching exchanges of best practice, and stresses the importance of such exchanges between SOLVIT centres with regard to the implementation and promotion of the services provided;

| 27. | Welcomes the clarification made in Commission Recommendation 2013/461/EU as regards SOLVIT’s mandate in respect of cases where national rules run counter to Union law (also known as structural cases); welcomes the take-up of such cases by some SOLVIT centres; calls on all SOLVIT centres to provide effective assistance whenever such structural problems arise, including by helping to identify potential problems posed by proposed national legislation; |
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27.

Welcomes the clarification made in Commission Recommendation 2013/461/EU as regards SOLVIT’s mandate in respect of cases where national rules run counter to Union law (also known as structural cases); welcomes the take-up of such cases by some SOLVIT centres; calls on all SOLVIT centres to provide effective assistance whenever such structural problems arise, including by helping to identify potential problems posed by proposed national legislation;

| 28. | Calls on SOLVIT centres to be bolder and more efficient in responding to complaints and, in particular, in handling more complex cases; |
| --- | --- |

28.

Calls on SOLVIT centres to be bolder and more efficient in responding to complaints and, in particular, in handling more complex cases;

| 29. | Highlights that it is important that the applicant, the SOLVIT centres involved and the Commission maintain communication and close collaboration throughout the procedure; notes that in many cases the applicant is not consulted during the procedure but is only in contact with the SOLVIT centre when it submits the application and when the case is finished; |
| --- | --- |

29.

Highlights that it is important that the applicant, the SOLVIT centres involved and the Commission maintain communication and close collaboration throughout the procedure; notes that in many cases the applicant is not consulted during the procedure but is only in contact with the SOLVIT centre when it submits the application and when the case is finished;

| 30. | Believes that there should be closer cooperation between all levels of government in the Member States and SOLVIT; |
| --- | --- |

30.

Believes that there should be closer cooperation between all levels of government in the Member States and SOLVIT;

| 31. | Welcomes in particular the protection of personal data demonstrated by SOLVIT centres and calls for this protection to be continuously monitored and, whenever necessary, increased to meet the data protection demands of users; |
| --- | --- |

31.

Welcomes in particular the protection of personal data demonstrated by SOLVIT centres and calls for this protection to be continuously monitored and, whenever necessary, increased to meet the data protection demands of users;

| 32. | Stresses the importance of increasing awareness of and the visibility of the SOLVIT network and of bringing it closer to people who are not aware of it; calls on the Member States and the Commission to ensure equal access to SOLVIT centres and online portals, e.g. for people with a disability and the elderly, and to develop all possible options as regards establishing contact between users and SOLVIT centres in this context; takes into account the Commission proposal for a directive on the accessibility of public sector bodies’ websites (COM(2012)0721); |
| --- | --- |

32.

Stresses the importance of increasing awareness of and the visibility of the SOLVIT network and of bringing it closer to people who are not aware of it; calls on the Member States and the Commission to ensure equal access to SOLVIT centres and online portals, e.g. for people with a disability and the elderly, and to develop all possible options as regards establishing contact between users and SOLVIT centres in this context; takes into account the Commission proposal for a directive on the accessibility of public sector bodies’ websites (COM(2012)0721);

| 33. | Stresses the need to link and integrate SOLVIT portals with other related actors and platforms in order to increase accessibility and visibility for all users; suggests that Member States should work closely with the Commission to improve the SOLVIT system by securing a coherent approach throughout the EU and improving its visibility; considers that the relevant European institutions’ webpages should include a link to the Your Europe site; |
| --- | --- |

33.

Stresses the need to link and integrate SOLVIT portals with other related actors and platforms in order to increase accessibility and visibility for all users; suggests that Member States should work closely with the Commission to improve the SOLVIT system by securing a coherent approach throughout the EU and improving its visibility; considers that the relevant European institutions’ webpages should include a link to the Your Europe site;

| 34. | Underlines the importance of spreading knowledge about the SOLVIT cases database and welcomes the Commission’s recommendation regarding the need to provide information about alternative problem-solving networks or sources of information, including other possible means of redress, at both national and Union level, in cases which SOLVIT cannot handle; |
| --- | --- |

34.

Underlines the importance of spreading knowledge about the SOLVIT cases database and welcomes the Commission’s recommendation regarding the need to provide information about alternative problem-solving networks or sources of information, including other possible means of redress, at both national and Union level, in cases which SOLVIT cannot handle;

| 35. | Encourages SOLVIT centres to engage proactively by taking initiatives of their own to create contacts with citizens, businesses and national parliaments; |
| --- | --- |

35.

Encourages SOLVIT centres to engage proactively by taking initiatives of their own to create contacts with citizens, businesses and national parliaments;

| 36. | Welcomes the online Single Market Scoreboard, which provides data on the performance of the Member States with regard to SOLVIT and Your Europe, and on their performance with regard to EU legislation relevant to the functioning of the single market; |
| --- | --- |

36.

Welcomes the online Single Market Scoreboard, which provides data on the performance of the Member States with regard to SOLVIT and Your Europe, and on their performance with regard to EU legislation relevant to the functioning of the single market;

| 37. | Calls on the Commission and the Member States to take further steps to disseminate information about the availability of these instruments among citizens, businesses and entrepreneurs, using all forms of media, including the internet, in order to ensure that the information reaches the largest possible number of citizens and businesses; calls on the Member States to organise information campaigns targeted at specific groups, including businesses — in particular small and medium-sized businesses; |
| --- | --- |

37.

Calls on the Commission and the Member States to take further steps to disseminate information about the availability of these instruments among citizens, businesses and entrepreneurs, using all forms of media, including the internet, in order to ensure that the information reaches the largest possible number of citizens and businesses; calls on the Member States to organise information campaigns targeted at specific groups, including businesses — in particular small and medium-sized businesses;

| 38. | Calls on the Commission to continue monitoring, within the annual report on the single market integration, the performance of the Union’s problem-solving mechanisms — in particular SOLVIT — as part of the Annual Growth Survey; reiterates, furthermore, its call on the Commission to strengthen single market governance by establishing a specific pillar of the European Semester, including dedicated country-specific recommendations; |
| --- | --- |

38.

Calls on the Commission to continue monitoring, within the annual report on the single market integration, the performance of the Union’s problem-solving mechanisms — in particular SOLVIT — as part of the Annual Growth Survey; reiterates, furthermore, its call on the Commission to strengthen single market governance by establishing a specific pillar of the European Semester, including dedicated country-specific recommendations;

| 39. | Remains committed to monitoring the progress of SOLVIT closely; urges the Commission to set up measurable milestones for the desired development of SOLVIT; encourages the Member States also to set their own measurable targets and deadlines for the development of case handling in local SOLVIT centres; considers, in this regard, that splitting up citizen- and business-related cases for the purpose of monitoring progress could be the way forward; believes that, if these targets are not reached, the possibility of replacing the informal procedure by a legislative act should be reconsidered, taking into account existing mechanisms such as those provided for in Directive 2013/11/EU on alternative dispute resolution and Regulation (EU) No 524/2013 on online dispute resolution; urges the Council to follow Parliament’s ambition in this respect; calls on the Commission and the Member States to monitor closely the progress made towards these EU and national SOLVIT targets within the European Semester; |
| --- | --- |

39.

Remains committed to monitoring the progress of SOLVIT closely; urges the Commission to set up measurable milestones for the desired development of SOLVIT; encourages the Member States also to set their own measurable targets and deadlines for the development of case handling in local SOLVIT centres; considers, in this regard, that splitting up citizen- and business-related cases for the purpose of monitoring progress could be the way forward; believes that, if these targets are not reached, the possibility of replacing the informal procedure by a legislative act should be reconsidered, taking into account existing mechanisms such as those provided for in Directive 2013/11/EU on alternative dispute resolution and Regulation (EU) No 524/2013 on online dispute resolution; urges the Council to follow Parliament’s ambition in this respect; calls on the Commission and the Member States to monitor closely the progress made towards these EU and national SOLVIT targets within the European Semester;

Your Europe: responding better to the needs of citizens and businesses

| 40. | Notes the continuous increase in the use of the Your Europe portal; |
| --- | --- |

40.

Notes the continuous increase in the use of the Your Europe portal;

| 41. | Encourages the Commission and the Member States to make a clear difference between Your Europe and SOLVIT while coordinating their respective visibility campaigns; |
| --- | --- |

41.

Encourages the Commission and the Member States to make a clear difference between Your Europe and SOLVIT while coordinating their respective visibility campaigns;

| 42. | Welcomes the aims set out in the Your Europe Action Plan, namely to complete the provision of practical, good-quality information on EU rights in the single market, to increase awareness about Your Europe and to put into practice a close partnership between the Commission and the Member States; |
| --- | --- |

42.

Welcomes the aims set out in the Your Europe Action Plan, namely to complete the provision of practical, good-quality information on EU rights in the single market, to increase awareness about Your Europe and to put into practice a close partnership between the Commission and the Member States;

| 43. | Encourages the Commission to take more effective steps to position Your Europe as a tool for businesses and to increase its visibility, including by making better use of the social media; considers, that through branding and with the inclusion of SOLVIT, the Your Europe portal should become the single access point for European consumers and businesses when confronted with problems or when seeking information; believes that such a single access point could serve as the reference point of citizens and businesses and better facilitate their access to different information tools and specialised problem solving mechanisms, including SOLVIT; |
| --- | --- |

43.

Encourages the Commission to take more effective steps to position Your Europe as a tool for businesses and to increase its visibility, including by making better use of the social media; considers, that through branding and with the inclusion of SOLVIT, the Your Europe portal should become the single access point for European consumers and businesses when confronted with problems or when seeking information; believes that such a single access point could serve as the reference point of citizens and businesses and better facilitate their access to different information tools and specialised problem solving mechanisms, including SOLVIT;

| 44. | Calls on the Commission to widen the scope of Your Europe so as to fully cover rights, obligations and opportunities in the single market and to make it as user-friendly as possible; |
| --- | --- |

44.

Calls on the Commission to widen the scope of Your Europe so as to fully cover rights, obligations and opportunities in the single market and to make it as user-friendly as possible;

| 45. | Urges the Member States to provide information on national rules and procedures regarding EU rights; calls on the Member States to ensure that this information is practical, free of jargon, equally accessible for all, up to date and available in the relevant languages, and to link their national portals (e-government) with Your Europe; |
| --- | --- |

45.

Urges the Member States to provide information on national rules and procedures regarding EU rights; calls on the Member States to ensure that this information is practical, free of jargon, equally accessible for all, up to date and available in the relevant languages, and to link their national portals (e-government) with Your Europe;

o

o o

| 46. | Instructs its President to forward this resolution to the Council, the Commission and the parliaments and governments of the Member States. |
| --- | --- |

46.

Instructs its President to forward this resolution to the Council, the Commission and the parliaments and governments of the Member States.

---

(1)  OJ L 249, 19.9.2013, p. 10.

(2)  Texts adopted, P7_TA(2013)0054.

(3)  OJ C 332 E, 15.11.2013, p. 72.

(4)  OJ C 296 E, 2.10.2012, p. 51.

(5)  OJ C 349 E, 22.12.2010, p. 10.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/102 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/102

---

P7_TA(2014)0170

Situation in Ukraine

European Parliament resolution of 27 February 2014 on the situation in Ukraine (2014/2595(RSP))

(2017/C 285/14)

The European Parliament,

| — | having regard to its previous resolutions on the European Neighbourhood Policy, on the Eastern Partnership (EaP) and on Ukraine, with particular reference to its resolution of 6 February 2014 on the situation in Ukraine (1), |
| --- | --- |

—

having regard to its previous resolutions on the European Neighbourhood Policy, on the Eastern Partnership (EaP) and on Ukraine, with particular reference to its resolution of 6 February 2014 on the situation in Ukraine (1),

| — | having regard to its resolution of 12 December 2013 on the outcome of the Vilnius Summit and the future of the Eastern Partnership, in particular as regards Ukraine (2), |
| --- | --- |

—

having regard to its resolution of 12 December 2013 on the outcome of the Vilnius Summit and the future of the Eastern Partnership, in particular as regards Ukraine (2),

| — | having regard to the European Council conclusions of 19-20 December 2013, |
| --- | --- |

—

having regard to the European Council conclusions of 19-20 December 2013,

| — | having regard to the conclusions of the extraordinary meeting of the Foreign Affairs Council on Ukraine of 20 February 2014, |
| --- | --- |

—

having regard to the conclusions of the extraordinary meeting of the Foreign Affairs Council on Ukraine of 20 February 2014,

| — | having regard to Rule 110(2) and (4) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 110(2) and (4) of its Rules of Procedure,

| A. | whereas since the decision of the Ukrainian President and Government to suspend the signing of the Association Agreement, hundreds of thousands of people have spontaneously taken to the streets all over the country to demonstrate in favour of European integration; whereas in Kyiv the demonstrators have been peacefully occupying Independence Square (Maidan Nezalezhnosti), calling for strong political change with a view to making the government review its decision; |
| --- | --- |

A.

whereas since the decision of the Ukrainian President and Government to suspend the signing of the Association Agreement, hundreds of thousands of people have spontaneously taken to the streets all over the country to demonstrate in favour of European integration; whereas in Kyiv the demonstrators have been peacefully occupying Independence Square (Maidan Nezalezhnosti), calling for strong political change with a view to making the government review its decision;

| B. | whereas the authorities under President Yanukovych clearly violated the law by authorising the security forces to use live ammunition against the protesters and by deploying snipers on roofs in and around Independence Square, which since late November 2013 has been the epicentre of an anti-government and pro-European protest; whereas protesters and bystanders were executed on the streets of Kyiv, provoking international outrage and condemnation; |
| --- | --- |

B.

whereas the authorities under President Yanukovych clearly violated the law by authorising the security forces to use live ammunition against the protesters and by deploying snipers on roofs in and around Independence Square, which since late November 2013 has been the epicentre of an anti-government and pro-European protest; whereas protesters and bystanders were executed on the streets of Kyiv, provoking international outrage and condemnation;

| C. | whereas, at the same time, three foreign affairs ministers from the EU travelled to Kyiv in an effort to mediate a compromise solution between President Yanukovych and the opposition; whereas they managed to broker an agreement on a roadmap for a peaceful and democratic exit from the crisis; whereas the Russian special envoy also facilitated the agreement, but without co-signing it; |
| --- | --- |

C.

whereas, at the same time, three foreign affairs ministers from the EU travelled to Kyiv in an effort to mediate a compromise solution between President Yanukovych and the opposition; whereas they managed to broker an agreement on a roadmap for a peaceful and democratic exit from the crisis; whereas the Russian special envoy also facilitated the agreement, but without co-signing it;

| D. | whereas, as a consequence, the EU decided to impose targeted sanctions, including an asset freeze and a visa ban, on those responsible for human rights violations, violence and use of excessive force; whereas the Member States agreed, furthermore, to suspend export licences on equipment which might be used for internal repression and reassess export licences for equipment covered by Common Position 2008/944/CFSP; |
| --- | --- |

D.

whereas, as a consequence, the EU decided to impose targeted sanctions, including an asset freeze and a visa ban, on those responsible for human rights violations, violence and use of excessive force; whereas the Member States agreed, furthermore, to suspend export licences on equipment which might be used for internal repression and reassess export licences for equipment covered by Common Position 2008/944/CFSP;

| E. | whereas the citizens of Lviv and Donetsk took the initiative of using the Russian and Ukrainian languages respectively in their daily business of 26 February 2014 as a gesture of solidarity and unity for the whole country; |
| --- | --- |

E.

whereas the citizens of Lviv and Donetsk took the initiative of using the Russian and Ukrainian languages respectively in their daily business of 26 February 2014 as a gesture of solidarity and unity for the whole country;

| F. | whereas the Verkhovna Rada adopted a resolution on 21 February 2014 denouncing the ‘anti-terrorism’ operations and demanding that the security forces withdraw from the centre of Kyiv; whereas, by doing so, the parliament demonstrated its determination to play a central role and to take control of the situation in the country; whereas, the following day, it voted on the dismissal of President Yanukovych, the return to the 2004 Constitution, early elections on 25 May 2014 and the release of former Prime Minister Yulia Tymoshenko; |
| --- | --- |

F.

whereas the Verkhovna Rada adopted a resolution on 21 February 2014 denouncing the ‘anti-terrorism’ operations and demanding that the security forces withdraw from the centre of Kyiv; whereas, by doing so, the parliament demonstrated its determination to play a central role and to take control of the situation in the country; whereas, the following day, it voted on the dismissal of President Yanukovych, the return to the 2004 Constitution, early elections on 25 May 2014 and the release of former Prime Minister Yulia Tymoshenko;

| 1. | Pays tribute to those fighting and dying for European values, and expresses its deepest condolences to the families of the victims, strongly condemns all acts of violence and calls on all Ukrainian citizens, along with political and civic leaders, to act with the utmost responsibility in this historic moment for Ukraine; |
| --- | --- |

1.

Pays tribute to those fighting and dying for European values, and expresses its deepest condolences to the families of the victims, strongly condemns all acts of violence and calls on all Ukrainian citizens, along with political and civic leaders, to act with the utmost responsibility in this historic moment for Ukraine;

| 2. | Firmly condemns the brutal and disproportionate action of anti-riot forces such as Berkut, snipers and others that led to the dramatic escalation of violence; deplores the deaths and injuries sustained on all sides and expresses its most sincere condolences to the families of the victims; warns that any further escalation of violence would be disastrous for the Ukrainian nation and could undermine the unity and territorial integrity of the country; stresses that it is now of paramount importance that all parties demonstrate a sense of responsibility, restraint and commitment to an inclusive political dialogue, and exclude extrajudicial retaliation; urges all political forces to work together at this critical juncture for Ukraine and to facilitate compromise solutions, taking clear distance from extremists and avoiding provocation and violent actions that might fuel separatist moves; |
| --- | --- |

2.

Firmly condemns the brutal and disproportionate action of anti-riot forces such as Berkut, snipers and others that led to the dramatic escalation of violence; deplores the deaths and injuries sustained on all sides and expresses its most sincere condolences to the families of the victims; warns that any further escalation of violence would be disastrous for the Ukrainian nation and could undermine the unity and territorial integrity of the country; stresses that it is now of paramount importance that all parties demonstrate a sense of responsibility, restraint and commitment to an inclusive political dialogue, and exclude extrajudicial retaliation; urges all political forces to work together at this critical juncture for Ukraine and to facilitate compromise solutions, taking clear distance from extremists and avoiding provocation and violent actions that might fuel separatist moves;

| 3. | Welcomes the responsible role played by the Verkhovna Rada in assuming its full constitutional functions and filling the political and institutional vacuum created by the resignation of the government and the dismissal of the President, who was then ousted by the Parliament; takes note of the measures adopted so far by the parliament with regard, in particular, to the return to the 2004 Constitution, the decision to hold presidential elections on 25 May 2014, the decision to withdraw police and security forces, and the release from prison of Yulia Tymoshenko; stresses how important it is that the Ukrainian Parliament and its members continue to abide by the rule of law; |
| --- | --- |

3.

Welcomes the responsible role played by the Verkhovna Rada in assuming its full constitutional functions and filling the political and institutional vacuum created by the resignation of the government and the dismissal of the President, who was then ousted by the Parliament; takes note of the measures adopted so far by the parliament with regard, in particular, to the return to the 2004 Constitution, the decision to hold presidential elections on 25 May 2014, the decision to withdraw police and security forces, and the release from prison of Yulia Tymoshenko; stresses how important it is that the Ukrainian Parliament and its members continue to abide by the rule of law;

| 4. | Commends the people of Ukraine on the orderly change in power and on their civic resilience in the past few months, and underlines the fact that this civic and popular protest serves as an example and will mark a watershed in the history of Ukraine; stresses that this democratic, civic victory should not be marred by any spirit of revenge or acts of retribution towards adversaries, or by political infighting; stresses that those who committed crimes against the citizens of Ukraine and who misused the power of the state should face independent trials; calls for the setting-up of an independent commission to investigate, in close collaboration with the Council of Europe International Advisory Panel and the OSCE, the human rights violations that have taken place since the beginning of the demonstrations; |
| --- | --- |

4.

Commends the people of Ukraine on the orderly change in power and on their civic resilience in the past few months, and underlines the fact that this civic and popular protest serves as an example and will mark a watershed in the history of Ukraine; stresses that this democratic, civic victory should not be marred by any spirit of revenge or acts of retribution towards adversaries, or by political infighting; stresses that those who committed crimes against the citizens of Ukraine and who misused the power of the state should face independent trials; calls for the setting-up of an independent commission to investigate, in close collaboration with the Council of Europe International Advisory Panel and the OSCE, the human rights violations that have taken place since the beginning of the demonstrations;

| 5. | Supports the EU’s approach, which combines intensified diplomatic efforts with targeted sanctions against those responsible for ordering human rights abuses related to political oppression; calls for the enactment of the targeted sanctions as agreed by the Foreign Affairs Council and urges the Member States to implement their own anti-money-laundering legislation to stop the flow of embezzled money from Ukraine, and to ensure the return of stolen assets deposited in the EU; considers that a truly independent investigation of the crimes committed should start immediately and that the targeted sanctions should be lifted as soon as the situation in Ukraine improves and such an investigation of the crimes committed starts to deliver results; calls for an investigation into the massive embezzlement of state funds and assets by the cronies and ‘family’ of ousted President Yanukovych, for the freezing of all their assets pending clarification of how they were acquired and, where they are proved to have been stolen, for the return of such assets by the governments of the Member States; |
| --- | --- |

5.

Supports the EU’s approach, which combines intensified diplomatic efforts with targeted sanctions against those responsible for ordering human rights abuses related to political oppression; calls for the enactment of the targeted sanctions as agreed by the Foreign Affairs Council and urges the Member States to implement their own anti-money-laundering legislation to stop the flow of embezzled money from Ukraine, and to ensure the return of stolen assets deposited in the EU; considers that a truly independent investigation of the crimes committed should start immediately and that the targeted sanctions should be lifted as soon as the situation in Ukraine improves and such an investigation of the crimes committed starts to deliver results; calls for an investigation into the massive embezzlement of state funds and assets by the cronies and ‘family’ of ousted President Yanukovych, for the freezing of all their assets pending clarification of how they were acquired and, where they are proved to have been stolen, for the return of such assets by the governments of the Member States;

| 6. | Urges the Commission, the Member States and international humanitarian organisations to deploy quick, robust and direct medical and humanitarian assistance for all victims; |
| --- | --- |

6.

Urges the Commission, the Member States and international humanitarian organisations to deploy quick, robust and direct medical and humanitarian assistance for all victims;

| 7. | Calls on all sides and third countries to respect and support the unity and territorial integrity of Ukraine; calls on all political forces within Ukraine and all the international actors involved to commit themselves to work for the territorial integrity and national unity of Ukraine, taking account of the cultural and linguistic composition of the country and its history; calls on the Ukrainian Parliament and the incoming government to respect the rights of minorities in the country and the use of Russian and other minority languages; calls for the adoption of new legislation in line with Ukraine’s obligations under the European Charter for Regional or Minority Languages; |
| --- | --- |

7.

Calls on all sides and third countries to respect and support the unity and territorial integrity of Ukraine; calls on all political forces within Ukraine and all the international actors involved to commit themselves to work for the territorial integrity and national unity of Ukraine, taking account of the cultural and linguistic composition of the country and its history; calls on the Ukrainian Parliament and the incoming government to respect the rights of minorities in the country and the use of Russian and other minority languages; calls for the adoption of new legislation in line with Ukraine’s obligations under the European Charter for Regional or Minority Languages;

| 8. | Recalls that the existing borders of Ukraine were guaranteed by the United States of America, the Russian Federation and the United Kingdom in the Budapest Memorandum on Security Assurances when Ukraine relinquished nuclear weapons and joined the Nuclear Non-Proliferation Treaty (NPT); reminds the Russian Federation that, together with the two other countries mentioned above, it committed itself in the same act to refraining from economic coercion designed to subordinate to its own interest the exercise by Ukraine of the rights inherent in its sovereignty and thus to secure advantages of any kind; |
| --- | --- |

8.

Recalls that the existing borders of Ukraine were guaranteed by the United States of America, the Russian Federation and the United Kingdom in the Budapest Memorandum on Security Assurances when Ukraine relinquished nuclear weapons and joined the Nuclear Non-Proliferation Treaty (NPT); reminds the Russian Federation that, together with the two other countries mentioned above, it committed itself in the same act to refraining from economic coercion designed to subordinate to its own interest the exercise by Ukraine of the rights inherent in its sovereignty and thus to secure advantages of any kind;

| 9. | Stresses the importance of not losing momentum in addressing the root causes of the crisis, and establishing people’s trust in politics and the institutions; believes, furthermore, that this requires constitutional and structural reforms aimed at the creation of an effective system of checks and balances, a closer link between politics and society, the rule of law, accountability, and a truly independent and impartial judicial system and credible elections; |
| --- | --- |

9.

Stresses the importance of not losing momentum in addressing the root causes of the crisis, and establishing people’s trust in politics and the institutions; believes, furthermore, that this requires constitutional and structural reforms aimed at the creation of an effective system of checks and balances, a closer link between politics and society, the rule of law, accountability, and a truly independent and impartial judicial system and credible elections;

| 10. | Welcomes the conclusions of the extraordinary Foreign Affairs Council of 20 February 2014 and, in particular, the decision to introduce targeted sanctions, including an asset freeze and a visa ban directed against those responsible for human rights violations, violence and the use of excessive force, and to suspend export licences for equipment that might be used for internal repression; notes the enormous impact that these sanctions have had on Ukrainian public opinion, and is of the opinion that these measures could have been adopted earlier; takes the view, however, that these sanctions should be maintained as part of the EU policy towards Ukraine during this transitional period; |
| --- | --- |

10.

Welcomes the conclusions of the extraordinary Foreign Affairs Council of 20 February 2014 and, in particular, the decision to introduce targeted sanctions, including an asset freeze and a visa ban directed against those responsible for human rights violations, violence and the use of excessive force, and to suspend export licences for equipment that might be used for internal repression; notes the enormous impact that these sanctions have had on Ukrainian public opinion, and is of the opinion that these measures could have been adopted earlier; takes the view, however, that these sanctions should be maintained as part of the EU policy towards Ukraine during this transitional period;

| 11. | Welcomes the release of former Prime Minister Yulia Tymoshenko from prison, and hopes that her release will symbolise the end of selective and politically motivated justice in Ukraine; demands the immediate and unconditional release of all the demonstrators and political prisoners who have been illegally detained, the dropping of all charges against them, and their political rehabilitation; |
| --- | --- |

11.

Welcomes the release of former Prime Minister Yulia Tymoshenko from prison, and hopes that her release will symbolise the end of selective and politically motivated justice in Ukraine; demands the immediate and unconditional release of all the demonstrators and political prisoners who have been illegally detained, the dropping of all charges against them, and their political rehabilitation;

| 12. | Urges all political forces to work together, at this critical juncture for Ukraine, towards a peaceful political transition, an ambitious and broad-based reform agenda and a European-standards-oriented government, to uphold the unity and territorial integrity of the country, and to facilitate compromise solutions for the future of Ukraine; calls on the interim authorities to guarantee democratic rights and freedoms to all democratic political forces and to prevent attacks against any of them; |
| --- | --- |

12.

Urges all political forces to work together, at this critical juncture for Ukraine, towards a peaceful political transition, an ambitious and broad-based reform agenda and a European-standards-oriented government, to uphold the unity and territorial integrity of the country, and to facilitate compromise solutions for the future of Ukraine; calls on the interim authorities to guarantee democratic rights and freedoms to all democratic political forces and to prevent attacks against any of them;

| 13. | Stresses that it is for the Ukrainian people — and for them alone — to decide, free from foreign interference, about the country’s geopolitical orientation and which international agreements and communities Ukraine should join; |
| --- | --- |

13.

Stresses that it is for the Ukrainian people — and for them alone — to decide, free from foreign interference, about the country’s geopolitical orientation and which international agreements and communities Ukraine should join;

| 14. | Condemns the attack on and destruction of the headquarters of the Communist Party of Ukraine and other parties, and the attempts to prohibit the Communist Party of Ukraine; |
| --- | --- |

14.

Condemns the attack on and destruction of the headquarters of the Communist Party of Ukraine and other parties, and the attempts to prohibit the Communist Party of Ukraine;

| 15. | Reiterates that the Association Agreement/Deep and Comprehensive Free Trade Agreement (DCFTA) is ready for signing with the new government, as soon as possible and as soon as the new government is ready to do so; |
| --- | --- |

15.

Reiterates that the Association Agreement/Deep and Comprehensive Free Trade Agreement (DCFTA) is ready for signing with the new government, as soon as possible and as soon as the new government is ready to do so;

| 16. | Welcomes the fact that out of the three benchmarks set by the Foreign Affairs Council of 2012, the one on ending selective justice (including the imprisonment of Yulia Tymoshenko) has been met, while the remaining two, on justice and the election systems, these being the demands of the protest movement, are already the subject of profound change and reform, which will hopefully soon be completed by the new coalition government and supported by the new parliamentary majority; |
| --- | --- |

16.

Welcomes the fact that out of the three benchmarks set by the Foreign Affairs Council of 2012, the one on ending selective justice (including the imprisonment of Yulia Tymoshenko) has been met, while the remaining two, on justice and the election systems, these being the demands of the protest movement, are already the subject of profound change and reform, which will hopefully soon be completed by the new coalition government and supported by the new parliamentary majority;

| 17. | Calls on the Commission to work together with the Ukrainian authorities to find ways to counterbalance the effects of the retaliatory measures adopted by Russia in order to stop the signing of the Association Agreement, as well as of possible new measures; welcomes the announcement by the EU Commissioner for Economic and Monetary Affairs and the Euro, Olli Rehn, of the EU’s readiness to provide a substantial, ambitious, both short- and long-term financial aid package, once a political solution is in place based on democratic principles, a commitment to reform and the appointment of a legitimate government; calls on Russia to adopt a constructive attitude so as to create the conditions for Ukraine to benefit from bilateral relations with both the EU and Russia; urges the EU and its Member States to speak to Russia with one voice in support of the European aspirations of Ukraine and other EaP countries that freely choose to deepen their relations with the EU; |
| --- | --- |

17.

Calls on the Commission to work together with the Ukrainian authorities to find ways to counterbalance the effects of the retaliatory measures adopted by Russia in order to stop the signing of the Association Agreement, as well as of possible new measures; welcomes the announcement by the EU Commissioner for Economic and Monetary Affairs and the Euro, Olli Rehn, of the EU’s readiness to provide a substantial, ambitious, both short- and long-term financial aid package, once a political solution is in place based on democratic principles, a commitment to reform and the appointment of a legitimate government; calls on Russia to adopt a constructive attitude so as to create the conditions for Ukraine to benefit from bilateral relations with both the EU and Russia; urges the EU and its Member States to speak to Russia with one voice in support of the European aspirations of Ukraine and other EaP countries that freely choose to deepen their relations with the EU;

| 18. | Expects the Council and the Commission to come forward as soon as possible, together with the IMF and the World Bank, with short-term financial assistance and a balance of payments facility, complemented with a long-term package, together with the EBRD and the EIB, of financial support to help Ukraine tackle its worsening economic and social situation and provide economic support to launch the necessary deep and comprehensive reforms of the Ukrainian economy; calls for an international donors’ conference to be held without undue delay; calls on the Commission and the EEAS to make the best use of funds available for Ukraine under the existing financial instruments and to consider making additional resources available for Ukraine as soon as possible; |
| --- | --- |

18.

Expects the Council and the Commission to come forward as soon as possible, together with the IMF and the World Bank, with short-term financial assistance and a balance of payments facility, complemented with a long-term package, together with the EBRD and the EIB, of financial support to help Ukraine tackle its worsening economic and social situation and provide economic support to launch the necessary deep and comprehensive reforms of the Ukrainian economy; calls for an international donors’ conference to be held without undue delay; calls on the Commission and the EEAS to make the best use of funds available for Ukraine under the existing financial instruments and to consider making additional resources available for Ukraine as soon as possible;

| 19. | Acknowledges that widespread corruption at all levels of government continues to hamper Ukraine’s potential to develop and is undermining the confidence of citizens in their own institutions; urges the new government, therefore, to make the fight against corruption a top priority in its programme, and calls for the EU to assist these efforts; |
| --- | --- |

19.

Acknowledges that widespread corruption at all levels of government continues to hamper Ukraine’s potential to develop and is undermining the confidence of citizens in their own institutions; urges the new government, therefore, to make the fight against corruption a top priority in its programme, and calls for the EU to assist these efforts;

| 20. | Stresses the urgent need to set up a truly independent and impartial judicial system; |
| --- | --- |

20.

Stresses the urgent need to set up a truly independent and impartial judicial system;

| 21. | Calls on the Council to authorise the Commission to speed up the visa dialogue with Ukraine; stresses that the swift finalisation of the visa liberalisation agreement — following the example of Moldova — between the EU and Ukraine is the best way to respond to the expectations of Ukrainian civil society and youth; calls, in the meantime, for the immediate introduction of temporary, very simple, low-cost visa procedures at EU and Member State level, together with strengthened research cooperation, expanded youth exchanges and increased availability of scholarships; |
| --- | --- |

21.

Calls on the Council to authorise the Commission to speed up the visa dialogue with Ukraine; stresses that the swift finalisation of the visa liberalisation agreement — following the example of Moldova — between the EU and Ukraine is the best way to respond to the expectations of Ukrainian civil society and youth; calls, in the meantime, for the immediate introduction of temporary, very simple, low-cost visa procedures at EU and Member State level, together with strengthened research cooperation, expanded youth exchanges and increased availability of scholarships;

| 22. | Takes the view that the DCFTA provisions do not represent any commercial challenges for the Russian Federation and that the Association Agreement is no impediment to Ukraine’s good relations with its eastern neighbour; underlines that instability in the shared neighbourhood is neither in the EU’s nor in Russia’s interest; emphasises that applying political, economic or other coercion is in breach of the Helsinki Final Act; |
| --- | --- |

22.

Takes the view that the DCFTA provisions do not represent any commercial challenges for the Russian Federation and that the Association Agreement is no impediment to Ukraine’s good relations with its eastern neighbour; underlines that instability in the shared neighbourhood is neither in the EU’s nor in Russia’s interest; emphasises that applying political, economic or other coercion is in breach of the Helsinki Final Act;

| 23. | Takes note of the decision to hold presidential elections on 25 May 2014; underlines the need to ensure that these elections will be free and fair; strongly encourages the Verkhovna Rada to adopt the necessary electoral legislation in line with the Venice Commission recommendations, including a renewed law on the financing of political parties that addresses the issues identified by GRECO and the OSCE/ODIHR; encourages international observation of the upcoming elections and declares its readiness to set up its own observation mission for this purpose through a substantial European Parliament election observation mission; believes that legislative elections should be organised swiftly after the presidential elections and before the end of the year; calls on the Commission, the Council of Europe and the OSCE/ODIHR to provide reinforced pre-election support and a substantial long-term election monitoring mission so that the presidential elections scheduled for 25 May 2014 can be held in accordance with the highest standards and produce a result all contenders can accept; calls for detachment of European Parliament staff to the EU delegation in Kyiv for a transitional period leading up to the elections; |
| --- | --- |

23.

Takes note of the decision to hold presidential elections on 25 May 2014; underlines the need to ensure that these elections will be free and fair; strongly encourages the Verkhovna Rada to adopt the necessary electoral legislation in line with the Venice Commission recommendations, including a renewed law on the financing of political parties that addresses the issues identified by GRECO and the OSCE/ODIHR; encourages international observation of the upcoming elections and declares its readiness to set up its own observation mission for this purpose through a substantial European Parliament election observation mission; believes that legislative elections should be organised swiftly after the presidential elections and before the end of the year; calls on the Commission, the Council of Europe and the OSCE/ODIHR to provide reinforced pre-election support and a substantial long-term election monitoring mission so that the presidential elections scheduled for 25 May 2014 can be held in accordance with the highest standards and produce a result all contenders can accept; calls for detachment of European Parliament staff to the EU delegation in Kyiv for a transitional period leading up to the elections;

| 24. | Welcomes the recent recognition by the Council that the Association Agreement, including a DCFTA, does not constitute the final goal in EU–Ukraine cooperation; points out that the EU stands ready to sign the AA/DCFTA as soon as the current political crisis is resolved and the new Ukrainian authorities are ready for a serious European perspective; stresses furthermore that Article 49 TEU refers to all European States, including Ukraine, which may apply to become a Member of the Union, provided that it adheres to the principles of democracy, respects fundamental freedoms and human and minority rights, and ensures the rule of law; |
| --- | --- |

24.

Welcomes the recent recognition by the Council that the Association Agreement, including a DCFTA, does not constitute the final goal in EU–Ukraine cooperation; points out that the EU stands ready to sign the AA/DCFTA as soon as the current political crisis is resolved and the new Ukrainian authorities are ready for a serious European perspective; stresses furthermore that Article 49 TEU refers to all European States, including Ukraine, which may apply to become a Member of the Union, provided that it adheres to the principles of democracy, respects fundamental freedoms and human and minority rights, and ensures the rule of law;

| 25. | Stresses the importance of secure, diversified and affordable energy supply as a pillar of economic, social and political transition and of securing a competitive and prosperous economy for all Ukrainians; in this regard underlines the strategic role of the Energy Community, of which Ukraine holds presidency in 2014, as the only treaty currently connecting Ukraine and the European Union. |
| --- | --- |

25.

Stresses the importance of secure, diversified and affordable energy supply as a pillar of economic, social and political transition and of securing a competitive and prosperous economy for all Ukrainians; in this regard underlines the strategic role of the Energy Community, of which Ukraine holds presidency in 2014, as the only treaty currently connecting Ukraine and the European Union.

| 26. | Expresses support for the civil-society and non-partisan initiative to set up a ‘Maidan Platform’, in order to develop a strategy to overcome the endemic corruption in Ukraine; |
| --- | --- |

26.

Expresses support for the civil-society and non-partisan initiative to set up a ‘Maidan Platform’, in order to develop a strategy to overcome the endemic corruption in Ukraine;

| 27. | Instructs its President to forward this resolution to the Council, the Commission, the governments of the Member States, the acting President, Government and Parliament of Ukraine, the Council of Europe and the President, Government and Parliament of the Russian Federation. |
| --- | --- |

27.

Instructs its President to forward this resolution to the Council, the Commission, the governments of the Member States, the acting President, Government and Parliament of Ukraine, the Council of Europe and the President, Government and Parliament of the Russian Federation.

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(1)  Texts adopted, P7_TA(2014)0098.

(2)  Texts adopted, P7_TA(2013)0595.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/106 |
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29.8.2017

EN

Official Journal of the European Union

C 285/106

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P7_TA(2014)0171

Situation in Iraq

European Parliament resolution of 27 February 2014 on the situation in Iraq (2014/2565(RSP))

(2017/C 285/15)

The European Parliament,

| — | having regard to its previous resolutions on Iraq, in particular that of 10 October 2013 on recent violence in Iraq (1), |
| --- | --- |

—

having regard to its previous resolutions on Iraq, in particular that of 10 October 2013 on recent violence in Iraq (1),

| — | having regard to the Partnership and Cooperation Agreement (PCA) between the European Union and its Member States, of the one part, and the Republic of Iraq, of the other part, and to its resolution of 17 January 2013 on the EU-Iraq Partnership and Cooperation Agreement (2), |
| --- | --- |

—

having regard to the Partnership and Cooperation Agreement (PCA) between the European Union and its Member States, of the one part, and the Republic of Iraq, of the other part, and to its resolution of 17 January 2013 on the EU-Iraq Partnership and Cooperation Agreement (2),

| — | having regard to the Commission’s EU Joint Strategy Paper for Iraq 2011-2013, |
| --- | --- |

—

having regard to the Commission’s EU Joint Strategy Paper for Iraq 2011-2013,

| — | having regard to the Foreign Affairs Council conclusions on Iraq, in particular those of 10 February 2014, |
| --- | --- |

—

having regard to the Foreign Affairs Council conclusions on Iraq, in particular those of 10 February 2014,

| — | having regard to the statements by the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy (VP/HR), Catherine Ashton, on Iraq, in particular those of 5 February 2014, 16 January 2014, 18 December 2013 and 5 September 2013, |
| --- | --- |

—

having regard to the statements by the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy (VP/HR), Catherine Ashton, on Iraq, in particular those of 5 February 2014, 16 January 2014, 18 December 2013 and 5 September 2013,

| — | having regard to the statement by the spokesperson for the VP/HR of 28 December 2013 on the killing of residents at Camp Hurriya, |
| --- | --- |

—

having regard to the statement by the spokesperson for the VP/HR of 28 December 2013 on the killing of residents at Camp Hurriya,

| — | having regard to the United Nations Security Council (UNSC) Presidential Statement on Iraq of 10 January 2014, |
| --- | --- |

—

having regard to the United Nations Security Council (UNSC) Presidential Statement on Iraq of 10 January 2014,

| — | having regard to the Universal Declaration of Human Rights of 1948, |
| --- | --- |

—

having regard to the Universal Declaration of Human Rights of 1948,

| — | having regard to the International Covenant on Civil and Political Rights of 1966, to which Iraq is a party, |
| --- | --- |

—

having regard to the International Covenant on Civil and Political Rights of 1966, to which Iraq is a party,

| — | having regard to Rule 110(2) and (4) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 110(2) and (4) of its Rules of Procedure,

| A. | whereas Iraq continues to face serious political, security and socioeconomic challenges, and whereas its political scene is extremely fragmented and plagued by violence and sectarian politics, to the severe detriment of the Iraqi people’s legitimate aspirations for peace, prosperity and a genuine transition to democracy; whereas Iraq is facing the most severe wave of violence since 2008; |
| --- | --- |

A.

whereas Iraq continues to face serious political, security and socioeconomic challenges, and whereas its political scene is extremely fragmented and plagued by violence and sectarian politics, to the severe detriment of the Iraqi people’s legitimate aspirations for peace, prosperity and a genuine transition to democracy; whereas Iraq is facing the most severe wave of violence since 2008;

| B. | whereas even though Iraq has been able to restore its oil productivity almost to full capacity, social inequality is growing as the Iraqi state continues to be unable to provide basic services to the Iraqi population, such as regular electricity in the summer, clean water and public health care; |
| --- | --- |

B.

whereas even though Iraq has been able to restore its oil productivity almost to full capacity, social inequality is growing as the Iraqi state continues to be unable to provide basic services to the Iraqi population, such as regular electricity in the summer, clean water and public health care;

| C. | whereas according to casualty figures released by the United Nations Assistance Mission for Iraq (UNAMI) on 1 February 2014, a total of 733 Iraqis were killed and another 1 229 wounded in acts of terrorism and violence in January 2014; whereas the figures for January 2014 do not include casualties resulting from the ongoing fighting in Anbar province, owing to problems with verification and with ascertaining the status of those killed or injured; |
| --- | --- |

C.

whereas according to casualty figures released by the United Nations Assistance Mission for Iraq (UNAMI) on 1 February 2014, a total of 733 Iraqis were killed and another 1 229 wounded in acts of terrorism and violence in January 2014; whereas the figures for January 2014 do not include casualties resulting from the ongoing fighting in Anbar province, owing to problems with verification and with ascertaining the status of those killed or injured;

| D. | whereas the ongoing civil war in Syria has exacerbated the situation in Iraq; whereas it is spilling over into Iraq, with militants — in particular those of the Islamic State of Iraq and the Levant (ISIL) — extending their activities into Iraqi territory; |
| --- | --- |

D.

whereas the ongoing civil war in Syria has exacerbated the situation in Iraq; whereas it is spilling over into Iraq, with militants — in particular those of the Islamic State of Iraq and the Levant (ISIL) — extending their activities into Iraqi territory;

| E. | whereas on 10 January 2014 the UNSC condemned the attacks being perpetrated by the ISIL against the people of Iraq in an attempt to destabilise the country and the region; |
| --- | --- |

E.

whereas on 10 January 2014 the UNSC condemned the attacks being perpetrated by the ISIL against the people of Iraq in an attempt to destabilise the country and the region;

| F. | whereas the government of Prime Minister Nuri al-Maliki has not addressed the concerns of the Sunni minority; whereas the de-Baathification policy pursuant to the Justice and Accountability Law has led to the dismissal of predominantly Sunni officials, which has reinforced the perception of the government’s sectarian agenda; whereas, in particular, the demolition of the year-long Sunni protest camp in Ramadi by the government on 30 December 2013 precipitated the violent confrontation in Anbar province; whereas, as a result, Fallujah and other cities in Anbar province have seen fighting between government forces and ISIL militants since December 2013; |
| --- | --- |

F.

whereas the government of Prime Minister Nuri al-Maliki has not addressed the concerns of the Sunni minority; whereas the de-Baathification policy pursuant to the Justice and Accountability Law has led to the dismissal of predominantly Sunni officials, which has reinforced the perception of the government’s sectarian agenda; whereas, in particular, the demolition of the year-long Sunni protest camp in Ramadi by the government on 30 December 2013 precipitated the violent confrontation in Anbar province; whereas, as a result, Fallujah and other cities in Anbar province have seen fighting between government forces and ISIL militants since December 2013;

| G. | whereas on 13 February 2014 more than 63 000 families (amounting to more than 370 000 people, according to UN calculations) affected by the fighting in Anbar province were registered as internally displaced; whereas many have fled to other parts of the country, including Karbala, Baghdad and Erbil provinces, while others have sought safety in outlying communities in Anbar province or are unable to flee the fighting; whereas their condition remains precarious, with food stocks and potable water running low, poor sanitation and limited access to health care; |
| --- | --- |

G.

whereas on 13 February 2014 more than 63 000 families (amounting to more than 370 000 people, according to UN calculations) affected by the fighting in Anbar province were registered as internally displaced; whereas many have fled to other parts of the country, including Karbala, Baghdad and Erbil provinces, while others have sought safety in outlying communities in Anbar province or are unable to flee the fighting; whereas their condition remains precarious, with food stocks and potable water running low, poor sanitation and limited access to health care;

| H. | whereas deadly bomb attacks across Iraq — such as the attack of 5 February 2014 on the Iraqi Ministry of Foreign Affairs — continue unabated, mainly striking Shia neighbourhoods, while several prison breaks have increased the number of fighters filling up the ranks of extremist militant groups; |
| --- | --- |

H.

whereas deadly bomb attacks across Iraq — such as the attack of 5 February 2014 on the Iraqi Ministry of Foreign Affairs — continue unabated, mainly striking Shia neighbourhoods, while several prison breaks have increased the number of fighters filling up the ranks of extremist militant groups;

| I. | whereas on 25 December 2013 at least 35 people were killed and dozens more wounded in bomb attacks in Christian areas of Baghdad; whereas since 2003 at least half of Iraq’s Christians are believed to have left the country; |
| --- | --- |

I.

whereas on 25 December 2013 at least 35 people were killed and dozens more wounded in bomb attacks in Christian areas of Baghdad; whereas since 2003 at least half of Iraq’s Christians are believed to have left the country;

| J. | whereas on 5 February 2014 the Iraqi Ministry of Foreign Affairs in Baghdad was attacked, and whereas on 10 February 2014 the convoy of the Speaker of the House of Representatives, Osama al-Nujaifi, was attacked in the city of Mosul in Ninawa province; |
| --- | --- |

J.

whereas on 5 February 2014 the Iraqi Ministry of Foreign Affairs in Baghdad was attacked, and whereas on 10 February 2014 the convoy of the Speaker of the House of Representatives, Osama al-Nujaifi, was attacked in the city of Mosul in Ninawa province;

| K. | whereas disagreement between Iraq’s federal government and the Kurdistan Regional Government continues over how to share the use of Iraq’s mineral resources, with a new pipeline expected to transport 2 million barrels of oil every month from Kurdistan to Turkey and the central government preparing legal action against the province; |
| --- | --- |

K.

whereas disagreement between Iraq’s federal government and the Kurdistan Regional Government continues over how to share the use of Iraq’s mineral resources, with a new pipeline expected to transport 2 million barrels of oil every month from Kurdistan to Turkey and the central government preparing legal action against the province;

| L. | whereas serious social and economic problems — widespread poverty, high unemployment, economic stagnation, environmental degradation and a lack of basic public services — continue to affect a large proportion of the population; |
| --- | --- |

L.

whereas serious social and economic problems — widespread poverty, high unemployment, economic stagnation, environmental degradation and a lack of basic public services — continue to affect a large proportion of the population;

| M. | whereas violence and sabotage have hindered efforts to revive an economy shattered by decades of conflict and sanctions; whereas Iraq has the world’s third-largest crude oil reserves, but whereas attacks, corruption and smuggling have crippled exports; whereas the country’s social fabric, including its former level of equality for women, has been severely upset; |
| --- | --- |

M.

whereas violence and sabotage have hindered efforts to revive an economy shattered by decades of conflict and sanctions; whereas Iraq has the world’s third-largest crude oil reserves, but whereas attacks, corruption and smuggling have crippled exports; whereas the country’s social fabric, including its former level of equality for women, has been severely upset;

| N. | whereas press and media freedom has repeatedly and increasingly come under attack from both the government and extremist groups; whereas journalists and news outlets have been attacked or censored and Reporters Without Borders has reported a news blackout on the situation in Anbar province; whereas Iraq is rated as ‘not free’ by the Freedom House 2014 Freedom in the World report; |
| --- | --- |

N.

whereas press and media freedom has repeatedly and increasingly come under attack from both the government and extremist groups; whereas journalists and news outlets have been attacked or censored and Reporters Without Borders has reported a news blackout on the situation in Anbar province; whereas Iraq is rated as ‘not free’ by the Freedom House 2014 Freedom in the World report;

| O. | whereas the Iraqi constitution guarantees equality before the law for all citizens, along with the ‘administrative, political, cultural and educational rights of the various nationalities’; |
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O.

whereas the Iraqi constitution guarantees equality before the law for all citizens, along with the ‘administrative, political, cultural and educational rights of the various nationalities’;

| P. | whereas the EU-Iraq PCA, in particular its human rights clause, emphasises that the EU-Iraq political dialogue should focus on human rights and strengthening democratic institutions; |
| --- | --- |

P.

whereas the EU-Iraq PCA, in particular its human rights clause, emphasises that the EU-Iraq political dialogue should focus on human rights and strengthening democratic institutions;

| Q. | whereas amendments to Iraq’s electoral law were passed in November 2013, paving the way for the general elections due to take place on 30 April 2014; |
| --- | --- |

Q.

whereas amendments to Iraq’s electoral law were passed in November 2013, paving the way for the general elections due to take place on 30 April 2014;

| R. | whereas the EU has reaffirmed its commitment to assisting Iraq in its transition to democracy, recalling that the unity and territorial integrity of Iraq are essential elements in building a secure and prosperous state for all its citizens and bringing stability to the whole region; |
| --- | --- |

R.

whereas the EU has reaffirmed its commitment to assisting Iraq in its transition to democracy, recalling that the unity and territorial integrity of Iraq are essential elements in building a secure and prosperous state for all its citizens and bringing stability to the whole region;

| S. | whereas the Cooperation Council between the EU and the Republic of Iraq held its first meeting in Brussels on 20 January 2014; whereas the Cooperation Council, which is meeting within the framework of the EU-Iraq PCA, reaffirmed the commitment of both parties to continuing to strengthen their relations; whereas the EU will continue to advance cooperation in all fields of mutual interest, providing targeted assistance in jointly agreed areas; |
| --- | --- |

S.

whereas the Cooperation Council between the EU and the Republic of Iraq held its first meeting in Brussels on 20 January 2014; whereas the Cooperation Council, which is meeting within the framework of the EU-Iraq PCA, reaffirmed the commitment of both parties to continuing to strengthen their relations; whereas the EU will continue to advance cooperation in all fields of mutual interest, providing targeted assistance in jointly agreed areas;

| T. | whereas the Iraqi authorities continue to apply the death penalty; whereas the EU Heads of Mission in Baghdad co-signed a statement on the World Day Against the Death Penalty in October 2013, which expressed deep concern at Iraq’s use of the death penalty and called on the Government of Iraq to introduce a moratorium; |
| --- | --- |

T.

whereas the Iraqi authorities continue to apply the death penalty; whereas the EU Heads of Mission in Baghdad co-signed a statement on the World Day Against the Death Penalty in October 2013, which expressed deep concern at Iraq’s use of the death penalty and called on the Government of Iraq to introduce a moratorium;

| U. | whereas a massive arming campaign for Iraq is ongoing, involving large-scale sales of military equipment; |
| --- | --- |

U.

whereas a massive arming campaign for Iraq is ongoing, involving large-scale sales of military equipment;

| 1. | Strongly condemns the recent acts of terrorism and heightened sectarian violence, which carries the danger that the country will fall back into sectarian strife and is generating fears of wider sectarian conflict across the region; points out that although violence occurs along sectarian lines, its causes are political rather than religious; extends its condolences to the families and friends of the deceased and injured; |
| --- | --- |

1.

Strongly condemns the recent acts of terrorism and heightened sectarian violence, which carries the danger that the country will fall back into sectarian strife and is generating fears of wider sectarian conflict across the region; points out that although violence occurs along sectarian lines, its causes are political rather than religious; extends its condolences to the families and friends of the deceased and injured;

| 2. | Strongly condemns the ISIL attacks in Anbar province and supports the UNSC’s call on the people of Iraq, including Iraqi tribes, local leaders, and Iraqi security forces in Anbar province, to cooperate in combating violence and terror; stresses that the ISIL is subject to the arms embargo and assets freeze imposed by UNSC resolutions 1267 (1999) and 2083 (2012) and underlines the importance of prompt and effective implementation of those measures; |
| --- | --- |

2.

Strongly condemns the ISIL attacks in Anbar province and supports the UNSC’s call on the people of Iraq, including Iraqi tribes, local leaders, and Iraqi security forces in Anbar province, to cooperate in combating violence and terror; stresses that the ISIL is subject to the arms embargo and assets freeze imposed by UNSC resolutions 1267 (1999) and 2083 (2012) and underlines the importance of prompt and effective implementation of those measures;

| 3. | Is deeply concerned about the developments in Anbar province and the large numbers of internally displaced persons fleeing the conflict zones; calls for humanitarian access to Fallujah; calls on the Government of Iraq to honour its duty to protect the civilian population in Fallujah and elsewhere; encourages the Government of Iraq to continue to work with UNAMI and humanitarian agencies to ensure the delivery of humanitarian relief; welcomes the UN’s efforts to provide aid to those affected by the fighting in Anbar province, despite the challenges posed by the deteriorating security environment and ongoing operations in the province; |
| --- | --- |

3.

Is deeply concerned about the developments in Anbar province and the large numbers of internally displaced persons fleeing the conflict zones; calls for humanitarian access to Fallujah; calls on the Government of Iraq to honour its duty to protect the civilian population in Fallujah and elsewhere; encourages the Government of Iraq to continue to work with UNAMI and humanitarian agencies to ensure the delivery of humanitarian relief; welcomes the UN’s efforts to provide aid to those affected by the fighting in Anbar province, despite the challenges posed by the deteriorating security environment and ongoing operations in the province;

| 4. | Calls on the European External Action Service (EEAS) and the Commission to support all the efforts of the Iraqi Government and UNAMI in protecting the civilian population in Fallujah and elsewhere so as to try to ensure the safe passage of civilians trapped in conflict areas and the safe return of internally displaced persons as conditions allow; |
| --- | --- |

4.

Calls on the European External Action Service (EEAS) and the Commission to support all the efforts of the Iraqi Government and UNAMI in protecting the civilian population in Fallujah and elsewhere so as to try to ensure the safe passage of civilians trapped in conflict areas and the safe return of internally displaced persons as conditions allow;

| 5. | Calls on the Iraqi Government to address the long-term issues contributing to the country’s instability, including the legitimate concerns of the Sunni minority, by launching an inclusive national dialogue on the reform of the Justice and Accountability Law, refraining from inflammatory sectarian statements and implementing measures aimed at national reconciliation; rejects calls for the establishment of a Sunni federal region in Iraq as a solution to the current conflict, as this is likely to lead to more sectarianism and violence; |
| --- | --- |

5.

Calls on the Iraqi Government to address the long-term issues contributing to the country’s instability, including the legitimate concerns of the Sunni minority, by launching an inclusive national dialogue on the reform of the Justice and Accountability Law, refraining from inflammatory sectarian statements and implementing measures aimed at national reconciliation; rejects calls for the establishment of a Sunni federal region in Iraq as a solution to the current conflict, as this is likely to lead to more sectarianism and violence;

| 6. | Notes with concern the spill-over of violence from the conflict in Syria; calls on the Iraqi Government to make a strong effort to insulate Iraq from the Syrian civil war by refraining from supporting any party involved in the conflict and by preventing fighters, both Sunni and Shiite, from crossing from or into Syria; |
| --- | --- |

6.

Notes with concern the spill-over of violence from the conflict in Syria; calls on the Iraqi Government to make a strong effort to insulate Iraq from the Syrian civil war by refraining from supporting any party involved in the conflict and by preventing fighters, both Sunni and Shiite, from crossing from or into Syria;

| 7. | Is deeply concerned about the continuing acts of violence perpetrated against the civilian population, vulnerable groups and religious communities; calls on the Iraqi Government and on all political leaders to take the necessary measures to provide security and protection for all people in Iraq, in particular members of vulnerable groups such as women, journalists, young people, fundamental rights activists, trade unionists and religious communities, including Christians; calls on the Iraqi Government to ensure that the security forces comply with the rule of law and international standards; |
| --- | --- |

7.

Is deeply concerned about the continuing acts of violence perpetrated against the civilian population, vulnerable groups and religious communities; calls on the Iraqi Government and on all political leaders to take the necessary measures to provide security and protection for all people in Iraq, in particular members of vulnerable groups such as women, journalists, young people, fundamental rights activists, trade unionists and religious communities, including Christians; calls on the Iraqi Government to ensure that the security forces comply with the rule of law and international standards;

| 8. | Supports the EU’s efforts to assist Iraq in promoting democracy, human rights, good governance and the rule of law, including by building on the experiences and achievements of the EUJUST LEX-Iraq mission, which — regrettably — completed its mandate on 31 December 2013, along with the efforts of UNAMI and of the Special Representative of the UN Secretary-General to assist the Government of Iraq in strengthening its democratic institutions and processes, promoting the rule of law, facilitating regional dialogue, improving the provision of basic services and ensuring the protection of human rights; welcomes the capacity-building programme launched on 22 January 2014 — funded by the EU and implemented by the UN Office for Project Services — to support the Iraqi High Commission for Human Rights in implementing its mandate to promote and protect human rights in Iraq; |
| --- | --- |

8.

Supports the EU’s efforts to assist Iraq in promoting democracy, human rights, good governance and the rule of law, including by building on the experiences and achievements of the EUJUST LEX-Iraq mission, which — regrettably — completed its mandate on 31 December 2013, along with the efforts of UNAMI and of the Special Representative of the UN Secretary-General to assist the Government of Iraq in strengthening its democratic institutions and processes, promoting the rule of law, facilitating regional dialogue, improving the provision of basic services and ensuring the protection of human rights; welcomes the capacity-building programme launched on 22 January 2014 — funded by the EU and implemented by the UN Office for Project Services — to support the Iraqi High Commission for Human Rights in implementing its mandate to promote and protect human rights in Iraq;

| 9. | Welcomes the passing of amendments to Iraq’s electoral law on 4 November 2013, which has paved the way for the general elections due to take place on 30 April 2014; highlights the importance of these elections for Iraq’s continued democratic transition and calls on all actors to ensure that they are inclusive, transparent, credible and held on time; calls on the EEAS to assist the Iraqi Government as much as possible with the practical preparations; |
| --- | --- |

9.

Welcomes the passing of amendments to Iraq’s electoral law on 4 November 2013, which has paved the way for the general elections due to take place on 30 April 2014; highlights the importance of these elections for Iraq’s continued democratic transition and calls on all actors to ensure that they are inclusive, transparent, credible and held on time; calls on the EEAS to assist the Iraqi Government as much as possible with the practical preparations;

| 10. | Is deeply concerned about the high rate of executions in Iraq; calls on the Iraqi authorities to introduce a moratorium on the implementation of all death sentences; believes that a reform of the justice system is of primary importance in order to re-establish a sense of security among the citizens of Iraq, and should include the revision of the Anti-Terrorism Law, which provides significantly fewer protections for suspects and detainees than the Code of Criminal Procedure, and calls for an end to impunity, in particular for state security forces; |
| --- | --- |

10.

Is deeply concerned about the high rate of executions in Iraq; calls on the Iraqi authorities to introduce a moratorium on the implementation of all death sentences; believes that a reform of the justice system is of primary importance in order to re-establish a sense of security among the citizens of Iraq, and should include the revision of the Anti-Terrorism Law, which provides significantly fewer protections for suspects and detainees than the Code of Criminal Procedure, and calls for an end to impunity, in particular for state security forces;

| 11. | Calls on all state and non-state actors to respect the freedom of the press and media and to protect journalists and news outlets from violence; recognises that a free press and media is an essential part of a functioning democracy, providing access to information and a platform for citizens; |
| --- | --- |

11.

Calls on all state and non-state actors to respect the freedom of the press and media and to protect journalists and news outlets from violence; recognises that a free press and media is an essential part of a functioning democracy, providing access to information and a platform for citizens;

| 12. | Calls for the EU to develop a common position in favour of prohibiting the use of depleted uranium munitions and to offer support for the treatment of victims, including victims of chemical weapons, and for possible efforts to decontaminate affected areas; |
| --- | --- |

12.

Calls for the EU to develop a common position in favour of prohibiting the use of depleted uranium munitions and to offer support for the treatment of victims, including victims of chemical weapons, and for possible efforts to decontaminate affected areas;

| 13. | Considers that the recent talks between the E3+3 and Iran also afford an opportunity for Iraq to stabilise, provided that all neighbouring powers cease to interfere in Iraqi internal affairs; |
| --- | --- |

13.

Considers that the recent talks between the E3+3 and Iran also afford an opportunity for Iraq to stabilise, provided that all neighbouring powers cease to interfere in Iraqi internal affairs;

| 14. | Strongly condemns the rocket attack at Camp Hurriya on 26 December 2013, which according to various reports claimed the lives of several camp residents and left people injured; stresses that the circumstances in which this brutal incident took place must be clarified; calls on the Iraqi authorities to step up security measures around the camp so as to protect its residents from any further violence; urges the Iraqi Government to find the perpetrators of the attack and hold them accountable; notes that the EU invites all parties to facilitate the work of the UN High Commissioner for Refugees in relocating all Camp Hurriya residents to a permanent and safe location outside Iraq as soon as possible; |
| --- | --- |

14.

Strongly condemns the rocket attack at Camp Hurriya on 26 December 2013, which according to various reports claimed the lives of several camp residents and left people injured; stresses that the circumstances in which this brutal incident took place must be clarified; calls on the Iraqi authorities to step up security measures around the camp so as to protect its residents from any further violence; urges the Iraqi Government to find the perpetrators of the attack and hold them accountable; notes that the EU invites all parties to facilitate the work of the UN High Commissioner for Refugees in relocating all Camp Hurriya residents to a permanent and safe location outside Iraq as soon as possible;

| 15. | Instructs its President to forward this resolution to the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Council, the Commission, the EU Special Representative for Human Rights, the governments and parliaments of the Member States, the Government and Council of Representatives of Iraq, the Regional Government of Kurdistan, the Secretary-General of the United Nations and the United Nations Human Rights Council. |
| --- | --- |

15.

Instructs its President to forward this resolution to the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Council, the Commission, the EU Special Representative for Human Rights, the governments and parliaments of the Member States, the Government and Council of Representatives of Iraq, the Regional Government of Kurdistan, the Secretary-General of the United Nations and the United Nations Human Rights Council.

---

(1)  Texts adopted, P7_TA(2013)0424.

(2)  Texts adopted, P7_TA(2013)0022.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/110 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/110

---

P7_TA(2014)0172

Use of armed drones

European Parliament resolution of 27 February 2014 on the use of armed drones (2014/2567(RSP))

(2017/C 285/16)

The European Parliament,

| — | having regard to the reports on the use of armed drones by the UN Special Rapporteur on extrajudicial, summary or arbitrary executions of 28 May 2010 and 13 September 2013, and by the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism of 18 September 2013, |
| --- | --- |

—

having regard to the reports on the use of armed drones by the UN Special Rapporteur on extrajudicial, summary or arbitrary executions of 28 May 2010 and 13 September 2013, and by the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism of 18 September 2013,

| — | having regard to the statement made by UN Secretary-General Ban Ki-moon on 13 August 2013 on the use of armed drones, |
| --- | --- |

—

having regard to the statement made by UN Secretary-General Ban Ki-moon on 13 August 2013 on the use of armed drones,

| — | having regard to the hearing of 25 April 2013 on the human rights implications of the use of drones, organised by Parliament’s Subcommittee on Human Rights jointly with its Subcommittee on Security and Defence, |
| --- | --- |

—

having regard to the hearing of 25 April 2013 on the human rights implications of the use of drones, organised by Parliament’s Subcommittee on Human Rights jointly with its Subcommittee on Security and Defence,

| — | having regard to its study of 3 May 2013 on the ‘Human rights implications of the usage of drones and unmanned robots in warfare’, |
| --- | --- |

—

having regard to its study of 3 May 2013 on the ‘Human rights implications of the usage of drones and unmanned robots in warfare’,

| — | having regard to the Council conclusions of 19 and 20 December 2013 on preparations for a programme of next-generation European Medium Altitude Long Endurance Remotely Piloted Aircraft Systems (RPAS), |
| --- | --- |

—

having regard to the Council conclusions of 19 and 20 December 2013 on preparations for a programme of next-generation European Medium Altitude Long Endurance Remotely Piloted Aircraft Systems (RPAS),

| — | having regard to Rule 110(2) and (4) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 110(2) and (4) of its Rules of Procedure,

| A. | whereas the use of remotely piloted aircraft systems (RPAS, hereinafter ‘drones’) in extraterritorial lethal operations has increased steeply over the past decade; |
| --- | --- |

A.

whereas the use of remotely piloted aircraft systems (RPAS, hereinafter ‘drones’) in extraterritorial lethal operations has increased steeply over the past decade;

| B. | whereas unknown numbers of civilians have been killed, seriously injured or traumatised in their daily lives by drone strikes outside declared conflict zones; |
| --- | --- |

B.

whereas unknown numbers of civilians have been killed, seriously injured or traumatised in their daily lives by drone strikes outside declared conflict zones;

| C. | whereas in the event of allegations of civilian deaths as a result of drone strikes, states are under the obligation to conduct prompt, independent investigations and, if the allegations are proved correct, to proceed to public attribution of responsibility, punishment of those responsible and provision of access to redress, including payment of compensation to the families of victims; |
| --- | --- |

C.

whereas in the event of allegations of civilian deaths as a result of drone strikes, states are under the obligation to conduct prompt, independent investigations and, if the allegations are proved correct, to proceed to public attribution of responsibility, punishment of those responsible and provision of access to redress, including payment of compensation to the families of victims;

| D. | whereas Article 51(2) of Additional Protocol I to the Geneva Conventions states that ‘acts or threats of violence the primary purpose of which is to spread terror among the civilian population are prohibited’; |
| --- | --- |

D.

whereas Article 51(2) of Additional Protocol I to the Geneva Conventions states that ‘acts or threats of violence the primary purpose of which is to spread terror among the civilian population are prohibited’;

| E. | whereas drone strikes outside a declared war by a state on the territory of another state without the consent of the latter or of the UN Security Council constitute a violation of international law and of the territorial integrity and sovereignty of that country; |
| --- | --- |

E.

whereas drone strikes outside a declared war by a state on the territory of another state without the consent of the latter or of the UN Security Council constitute a violation of international law and of the territorial integrity and sovereignty of that country;

| F. | whereas international human rights law prohibits arbitrary killings in any situation; whereas international humanitarian law does not permit the targeted killing of persons who are located in non-belligerent states; |
| --- | --- |

F.

whereas international human rights law prohibits arbitrary killings in any situation; whereas international humanitarian law does not permit the targeted killing of persons who are located in non-belligerent states;

| G. | whereas any expenditure arising from operations having military or defence implications is excluded from EU budget funding (Article 41(2) TEU); |
| --- | --- |

G.

whereas any expenditure arising from operations having military or defence implications is excluded from EU budget funding (Article 41(2) TEU);

| H. | whereas seven Member States (France, Germany, Greece, Italy, the Netherlands, Poland and Spain) have signed a letter of intent with the European Defence Agency (EDA) tasking it to draw up a study on joint production of Medium Altitude Long Endurance (MALE) craft, which can be used to strike military targets or for surveillance of migrant boats in the Mediterranean Sea, thus starting work on a European RPAS; |
| --- | --- |

H.

whereas seven Member States (France, Germany, Greece, Italy, the Netherlands, Poland and Spain) have signed a letter of intent with the European Defence Agency (EDA) tasking it to draw up a study on joint production of Medium Altitude Long Endurance (MALE) craft, which can be used to strike military targets or for surveillance of migrant boats in the Mediterranean Sea, thus starting work on a European RPAS;

| I. | whereas research and development studies associated with the construction of drones, military and civilian, have been supported with EU funds, and whereas it is planned that this will continue in the future; |
| --- | --- |

I.

whereas research and development studies associated with the construction of drones, military and civilian, have been supported with EU funds, and whereas it is planned that this will continue in the future;

| 1. | Expresses its grave concern over the use of armed drones outside the international legal framework; urges the EU to develop an appropriate policy response at both European and global level which upholds human rights and international humanitarian law; |
| --- | --- |

1.

Expresses its grave concern over the use of armed drones outside the international legal framework; urges the EU to develop an appropriate policy response at both European and global level which upholds human rights and international humanitarian law;

| 2. | Calls on the High Representative for Foreign Affairs and Security Policy, the Member States and the Council to:






  (a) | oppose and ban the practice of extrajudicial targeted killings; |
| --- | --- | --- |

2.

Calls on the High Representative for Foreign Affairs and Security Policy, the Member States and the Council to:

(a)

oppose and ban the practice of extrajudicial targeted killings;

| (b) | ensure that the Member States, in conformity with their legal obligations, do not perpetrate unlawful targeted killings or facilitate such killings by other states; |
| --- | --- |

(b)

ensure that the Member States, in conformity with their legal obligations, do not perpetrate unlawful targeted killings or facilitate such killings by other states;

| (c) | include armed drones in relevant European and international disarmament and arms control regimes; |
| --- | --- |

(c)

include armed drones in relevant European and international disarmament and arms control regimes;

| (d) | ban the development, production and use of fully autonomous weapons which enable strikes to be carried out without human intervention; |
| --- | --- |

(d)

ban the development, production and use of fully autonomous weapons which enable strikes to be carried out without human intervention;

| (e) | commit to ensuring that, where there are reasonable grounds for believing that an individual or entity within their jurisdiction may be connected to an unlawful targeted killing abroad, measures are taken in accordance with their domestic and international legal obligations; |
| --- | --- |

(e)

commit to ensuring that, where there are reasonable grounds for believing that an individual or entity within their jurisdiction may be connected to an unlawful targeted killing abroad, measures are taken in accordance with their domestic and international legal obligations;

| (f) | support the work and follow up on the recommendations of the UN Special Rapporteur on extrajudicial, summary or arbitrary executions and the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism; |
| --- | --- |

(f)

support the work and follow up on the recommendations of the UN Special Rapporteur on extrajudicial, summary or arbitrary executions and the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism;

| 3. | Urges the Council to adopt an EU common position on the use of armed drones; |
| --- | --- |

3.

Urges the Council to adopt an EU common position on the use of armed drones;

| 4. | Calls on the EU to promote greater transparency and accountability on the part of third countries in the use of armed drones with regard to the legal basis for their use and to operational responsibility, to allow for judicial review of drone strikes and to ensure that victims of unlawful drone strikes have effective access to remedies; |
| --- | --- |

4.

Calls on the EU to promote greater transparency and accountability on the part of third countries in the use of armed drones with regard to the legal basis for their use and to operational responsibility, to allow for judicial review of drone strikes and to ensure that victims of unlawful drone strikes have effective access to remedies;

| 5. | Calls further on the Commission to keep Parliament properly informed about the use of EU funds for all research and development projects associated with the construction of drones; calls for human rights impact assessments in respect of further drone development projects; |
| --- | --- |

5.

Calls further on the Commission to keep Parliament properly informed about the use of EU funds for all research and development projects associated with the construction of drones; calls for human rights impact assessments in respect of further drone development projects;

| 6. | Instructs its President to forward this resolution to the Council, the Commission, the Vice-President/High Representative of the Union for Foreign and Security Policy, the European External Action Service, the parliaments of the Member States, the UN Special Rapporteur on extrajudicial, summary or arbitrary executions, the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism, and the UN Secretary-General. |
| --- | --- |

6.

Instructs its President to forward this resolution to the Council, the Commission, the Vice-President/High Representative of the Union for Foreign and Security Policy, the European External Action Service, the parliaments of the Member States, the UN Special Rapporteur on extrajudicial, summary or arbitrary executions, the UN Special Rapporteur on the promotion and protection of human rights and fundamental freedoms while countering terrorism, and the UN Secretary-General.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/112 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/112

---

P7_TA(2014)0173

Fundamental rights in the European Union (2012)

European Parliament resolution of 27 February 2014 on the situation of fundamental rights in the European Union (2012) (2013/2078(INI))

(2017/C 285/17)

The European Parliament,

| — | having regard to the preamble of the Treaty on European Union (‘EU Treaty’), notably its second and its fourth to seventh indents, |
| --- | --- |

—

having regard to the preamble of the Treaty on European Union (‘EU Treaty’), notably its second and its fourth to seventh indents,

| — | having regard in particular to Article 2, Article 3(3), second indent, and Articles 6 and 7 of the Treaty on European Union, and to the articles of the TEU and TFEU relating to respect for and promotion and protection of fundamental rights in the EU, |
| --- | --- |

—

having regard in particular to Article 2, Article 3(3), second indent, and Articles 6 and 7 of the Treaty on European Union, and to the articles of the TEU and TFEU relating to respect for and promotion and protection of fundamental rights in the EU,

| — | having regard to the Charter of Fundamental Rights of the European Union of 7 December 2000 (‘the Charter’), proclaimed on 12 December 2007 in Strasbourg, which entered into force with the Treaty of Lisbon in December 2009, |
| --- | --- |

—

having regard to the Charter of Fundamental Rights of the European Union of 7 December 2000 (‘the Charter’), proclaimed on 12 December 2007 in Strasbourg, which entered into force with the Treaty of Lisbon in December 2009,

| — | having regard to the Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), the case law of the European Court of Human Rights, the conventions, recommendations, resolutions and reports of the Parliamentary Assembly, the Committee of Ministers, the Human Rights Commissioner and the Venice Commission of the Council of Europe, |
| --- | --- |

—

having regard to the Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), the case law of the European Court of Human Rights, the conventions, recommendations, resolutions and reports of the Parliamentary Assembly, the Committee of Ministers, the Human Rights Commissioner and the Venice Commission of the Council of Europe,

| — | having regard to the European Social Charter, as revised in 1996, and the case law of the European Committee of Social Rights, |
| --- | --- |

—

having regard to the European Social Charter, as revised in 1996, and the case law of the European Committee of Social Rights,

| — | having regard to United Nations conventions on the protection of human rights and fundamental freedoms, |
| --- | --- |

—

having regard to United Nations conventions on the protection of human rights and fundamental freedoms,

| — | having regard to the UN Convention on the Rights of Persons with Disabilities, to which the EU is a party, along with almost all its Member States, |
| --- | --- |

—

having regard to the UN Convention on the Rights of Persons with Disabilities, to which the EU is a party, along with almost all its Member States,

| — | having regard to the guiding principles on extreme poverty and human rights, adopted on 27 October 2012 by the United Nations Human Rights Council (A/HRC/21/39), |
| --- | --- |

—

having regard to the guiding principles on extreme poverty and human rights, adopted on 27 October 2012 by the United Nations Human Rights Council (A/HRC/21/39),

| — | having regard to the Commission communications entitled ‘Article 7 of the Treaty on European Union — Respect for and promotion of the values on which the Union is based’ (COM(2003)0606), ‘Strategy for the effective implementation of the Charter of Fundamental Rights by the European Union’ (COM(2010)0573), and ‘Operational Guidance on taking account of Fundamental Rights in Commission Impact Assessments’ (SEC(2011)0567), |
| --- | --- |

—

having regard to the Commission communications entitled ‘Article 7 of the Treaty on European Union — Respect for and promotion of the values on which the Union is based’ (COM(2003)0606), ‘Strategy for the effective implementation of the Charter of Fundamental Rights by the European Union’ (COM(2010)0573), and ‘Operational Guidance on taking account of Fundamental Rights in Commission Impact Assessments’ (SEC(2011)0567),

| — | having regard to the conclusions on the Council’s actions and initiatives for the implementation of the Charter of Fundamental Rights of the European Union, adopted by the Council on 23 May 2011, and to the Council’s Guidelines on methodological steps to be taken to check fundamental rights compatibility at the Council’s preparatory bodies (1), |
| --- | --- |

—

having regard to the conclusions on the Council’s actions and initiatives for the implementation of the Charter of Fundamental Rights of the European Union, adopted by the Council on 23 May 2011, and to the Council’s Guidelines on methodological steps to be taken to check fundamental rights compatibility at the Council’s preparatory bodies (1),

| — | having regard to the 2013 Commission Report on the Application of the EU Charter of Fundamental Rights (COM(2013)0271) and to the accompanying staff working documents, |
| --- | --- |

—

having regard to the 2013 Commission Report on the Application of the EU Charter of Fundamental Rights (COM(2013)0271) and to the accompanying staff working documents,

| — | having regard to the EU Citizenship Report 2013 entitled ‘EU citizens: your rights, your future’ (COM(2013)0269), |
| --- | --- |

—

having regard to the EU Citizenship Report 2013 entitled ‘EU citizens: your rights, your future’ (COM(2013)0269),

| — | having regard to the ‘Stockholm Programme — an open and secure Europe serving and protecting citizens’ (2), |
| --- | --- |

—

having regard to the ‘Stockholm Programme — an open and secure Europe serving and protecting citizens’ (2),

| — | having regard to the Commission Communication on an EU Framework for National Roma Integration Strategies up to 2020 (COM(2011)0173) and the European Council conclusions of 24 June 2011, |
| --- | --- |

—

having regard to the Commission Communication on an EU Framework for National Roma Integration Strategies up to 2020 (COM(2011)0173) and the European Council conclusions of 24 June 2011,

| — | having regard to the Commission communication entitled ‘Steps forward in implementing national Roma integration strategies’ (COM(2013)0454) and to the proposal for a Council Recommendation on ‘Effective Roma integration measures in the Member States’ (COM(2013)0460), |
| --- | --- |

—

having regard to the Commission communication entitled ‘Steps forward in implementing national Roma integration strategies’ (COM(2013)0454) and to the proposal for a Council Recommendation on ‘Effective Roma integration measures in the Member States’ (COM(2013)0460),

| — | having regard to Council Framework Decision 2008/913/JHA of 28 November 2008 on combating certain forms and expressions of racism and xenophobia by means of criminal law (3), |
| --- | --- |

—

having regard to Council Framework Decision 2008/913/JHA of 28 November 2008 on combating certain forms and expressions of racism and xenophobia by means of criminal law (3),

| — | having regard to Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (4), Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation (5) and the proposal for a Council directive on implementing the principle of equal treatment between persons irrespective of religion or belief, disability, age or sexual orientation (COM(2008)0426), |
| --- | --- |

—

having regard to Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (4), Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation (5) and the proposal for a Council directive on implementing the principle of equal treatment between persons irrespective of religion or belief, disability, age or sexual orientation (COM(2008)0426),

| — | having regard to Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (6), |
| --- | --- |

—

having regard to Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (6),

| — | having regard to 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 (7), |
| --- | --- |

—

having regard to 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 (7),

| — | having regard to the decisions and case law of the Court of Justice of the European Union, and the case law of national constitutional courts, which use the Charter as a reference for interpreting national law, |
| --- | --- |

—

having regard to the decisions and case law of the Court of Justice of the European Union, and the case law of national constitutional courts, which use the Charter as a reference for interpreting national law,

| — | having regard to the State of the Union address by Mr Barroso to the European Parliament on 11 September 2013 and the speech by Mrs Reding on the European Union and the rule of law on 4 September 2013 at the Centre for European Policy Studies (CEPS) in Brussels, |
| --- | --- |

—

having regard to the State of the Union address by Mr Barroso to the European Parliament on 11 September 2013 and the speech by Mrs Reding on the European Union and the rule of law on 4 September 2013 at the Centre for European Policy Studies (CEPS) in Brussels,

| — | having regard to the letter of 6 March 2013 sent by the Ministers of Foreign Affairs of Germany, Denmark, Finland and the Netherlands to the Commission President, Mr Barroso, calling for the establishment of a mechanism to foster compliance with fundamental values in the Member States, |
| --- | --- |

—

having regard to the letter of 6 March 2013 sent by the Ministers of Foreign Affairs of Germany, Denmark, Finland and the Netherlands to the Commission President, Mr Barroso, calling for the establishment of a mechanism to foster compliance with fundamental values in the Member States,

| — | having regard to the Council conclusions of 6 and 7 June 2013 on fundamental rights and the rule of law and on the 2012 Commission Report on the Application of the Charter of Fundamental Rights of the European Union, |
| --- | --- |

—

having regard to the Council conclusions of 6 and 7 June 2013 on fundamental rights and the rule of law and on the 2012 Commission Report on the Application of the Charter of Fundamental Rights of the European Union,

| — | having regard to the conclusions of the conference on ‘A Europe of equal citizens: equality, fundamental rights and the rule of law’, organised by the Irish Presidency of the Council on 9 and 10 May 2013, |
| --- | --- |

—

having regard to the conclusions of the conference on ‘A Europe of equal citizens: equality, fundamental rights and the rule of law’, organised by the Irish Presidency of the Council on 9 and 10 May 2013,

| — | having regard to the fourth annual symposium of the European Union Agency for Fundamental Rights (FRA) of 7 June 2013 on ‘Promoting the rule of law in the EU’, |
| --- | --- |

—

having regard to the fourth annual symposium of the European Union Agency for Fundamental Rights (FRA) of 7 June 2013 on ‘Promoting the rule of law in the EU’,

| — | having regard to the draft Council conclusions on the evaluation of the European Union Agency for Fundamental Rights of 13 September 2013, |
| --- | --- |

—

having regard to the draft Council conclusions on the evaluation of the European Union Agency for Fundamental Rights of 13 September 2013,

| — | having regard to the activities, annual reports, studies and opinions of the FRA, in particular the Annual Report on the situation of fundamental rights in the EU in 2012, |
| --- | --- |

—

having regard to the activities, annual reports, studies and opinions of the FRA, in particular the Annual Report on the situation of fundamental rights in the EU in 2012,

| — | having regard to the joint report by the FRA, the UNDP, the World Bank and the Commission entitled ‘The situation of Roma in 11 EU Member States — Survey results at a glance’, published in May 2012, |
| --- | --- |

—

having regard to the joint report by the FRA, the UNDP, the World Bank and the Commission entitled ‘The situation of Roma in 11 EU Member States — Survey results at a glance’, published in May 2012,

| — | having regard to the report by the UN Special Rapporteur on the human rights of migrants, published in April 2013, on ‘Management of the external borders of the European Union and its impact on the human rights of migrants’, |
| --- | --- |

—

having regard to the report by the UN Special Rapporteur on the human rights of migrants, published in April 2013, on ‘Management of the external borders of the European Union and its impact on the human rights of migrants’,

| — | having regard to NGO reports and studies on human rights and the relevant studies requested by the Committee on Civil Liberties, Justice and Home Affairs, in particular the study on ‘The triangular relationship between fundamental rights, democracy and the Rule of Law in the EU — towards an EU Copenhagen mechanism’, |
| --- | --- |

—

having regard to NGO reports and studies on human rights and the relevant studies requested by the Committee on Civil Liberties, Justice and Home Affairs, in particular the study on ‘The triangular relationship between fundamental rights, democracy and the Rule of Law in the EU — towards an EU Copenhagen mechanism’,

| — | having regard to its resolutions on fundamental rights and human rights, in particular its resolution of 15 December 2010 on the situation of fundamental rights in the European Union (2009) — effective implementation after the entry into force of the Treaty of Lisbon (8) and its resolution of 12 December 2012 on the situation of fundamental rights in the European Union (2010-2011) (9), |
| --- | --- |

—

having regard to its resolutions on fundamental rights and human rights, in particular its resolution of 15 December 2010 on the situation of fundamental rights in the European Union (2009) — effective implementation after the entry into force of the Treaty of Lisbon (8) and its resolution of 12 December 2012 on the situation of fundamental rights in the European Union (2010-2011) (9),

| — | having regard to its resolution of 22 April 2004 on the risks of violation, in the EU and especially in Italy, of freedom of expression and information (Article 11(2) of the Charter of Fundamental Rights) (10), |
| --- | --- |

—

having regard to its resolution of 22 April 2004 on the risks of violation, in the EU and especially in Italy, of freedom of expression and information (Article 11(2) of the Charter of Fundamental Rights) (10),

| — | having regard to its resolution of 8 June 2005 on the protection of minorities and anti-discrimination policies in an enlarged Europe (11), |
| --- | --- |

—

having regard to its resolution of 8 June 2005 on the protection of minorities and anti-discrimination policies in an enlarged Europe (11),

| — | having regard to its resolution of 10 July 2008 on the census of the Roma on the basis of ethnicity in Italy (12), |
| --- | --- |

—

having regard to its resolution of 10 July 2008 on the census of the Roma on the basis of ethnicity in Italy (12),

| — | having regard to its resolution of 17 September 2009 on the Lithuanian Law on the Protection of Minors against the Detrimental Effects of Public Information (13), |
| --- | --- |

—

having regard to its resolution of 17 September 2009 on the Lithuanian Law on the Protection of Minors against the Detrimental Effects of Public Information (13),

| — | having regard to its resolution of 9 September 2010 on the situation of Roma and on freedom of movement in the European Union (14), |
| --- | --- |

—

having regard to its resolution of 9 September 2010 on the situation of Roma and on freedom of movement in the European Union (14),

| — | having regard to its resolution of 19 January 2011 on violation of freedom of expression and discrimination on the basis of sexual orientation in Lithuania (15), |
| --- | --- |

—

having regard to its resolution of 19 January 2011 on violation of freedom of expression and discrimination on the basis of sexual orientation in Lithuania (15),

| — | having regard to its resolution of 9 March 2011 on the EU strategy on Roma inclusion (16), |
| --- | --- |

—

having regard to its resolution of 9 March 2011 on the EU strategy on Roma inclusion (16),

| — | having regard to its resolution of 10 March 2011 on media law in Hungary (17), |
| --- | --- |

—

having regard to its resolution of 10 March 2011 on media law in Hungary (17),

| — | having regard to its resolution of 21 May 2013 on the EU Charter: standard settings for media freedom across the EU (18), |
| --- | --- |

—

having regard to its resolution of 21 May 2013 on the EU Charter: standard settings for media freedom across the EU (18),

| — | having regard to its resolution of 24 May 2012 on the fight against homophobia in Europe (19), |
| --- | --- |

—

having regard to its resolution of 24 May 2012 on the fight against homophobia in Europe (19),

| — | having regard to its resolution of 14 March 2013 on strengthening the fight against racism, xenophobia and hate crime (20), |
| --- | --- |

—

having regard to its resolution of 14 March 2013 on strengthening the fight against racism, xenophobia and hate crime (20),

| — | having regard to its resolution of 15 September 2011 on the EU’s efforts to combat corruption (21), |
| --- | --- |

—

having regard to its resolution of 15 September 2011 on the EU’s efforts to combat corruption (21),

| — | having regard to its resolution of 23 October 2013 on organised crime, corruption and money laundering: recommendations on action and initiatives to be taken (final report) (22), |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on organised crime, corruption and money laundering: recommendations on action and initiatives to be taken (final report) (22),

| — | having regard to its resolution of 3 July 2013 on the situation of fundamental rights: standards and practices in Hungary (pursuant to its resolution of 16 February 2012) (23), |
| --- | --- |

—

having regard to its resolution of 3 July 2013 on the situation of fundamental rights: standards and practices in Hungary (pursuant to its resolution of 16 February 2012) (23),

| — | having regard to its resolution of 11 September 2012 on alleged transportation and illegal detention of prisoners in European countries by the CIA: follow-up of the European Parliament TDIP Committee report (24) and its follow-up resolution of 10 October 2013 (25), |
| --- | --- |

—

having regard to its resolution of 11 September 2012 on alleged transportation and illegal detention of prisoners in European countries by the CIA: follow-up of the European Parliament TDIP Committee report (24) and its follow-up resolution of 10 October 2013 (25),

| — | having regard to its resolution of 11 September 2013 on endangered European languages and linguistic diversity in the European Union (26), |
| --- | --- |

—

having regard to its resolution of 11 September 2013 on endangered European languages and linguistic diversity in the European Union (26),

| — | having regard to the 1979 UN Convention on the Elimination of All Forms of Discrimination against Women (CEDAW), |
| --- | --- |

—

having regard to the 1979 UN Convention on the Elimination of All Forms of Discrimination against Women (CEDAW),

| — | having regard to the European Pact for Gender Equality (2011-2020), adopted by the Council in March 2011, |
| --- | --- |

—

having regard to the European Pact for Gender Equality (2011-2020), adopted by the Council in March 2011,

| — | having regard to the Commission communication of 21 September 2010 entitled ‘Strategy for equality between women and men 2010-2015’ (COM(2010)0491), |
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—

having regard to the Commission communication of 21 September 2010 entitled ‘Strategy for equality between women and men 2010-2015’ (COM(2010)0491),

| — | having regard to the Council of Europe Convention on preventing and combating violence against women and domestic violence of 7 April 2011, |
| --- | --- |

—

having regard to the Council of Europe Convention on preventing and combating violence against women and domestic violence of 7 April 2011,

| — | having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (27) and of 6 February 2013 on the 57th session on UN CSW: Elimination and prevention of all forms of violence against women and girls (28), |
| --- | --- |

—

having regard to its resolution of 5 April 2011 on priorities and outline of a new EU policy framework to fight violence against women (27) and of 6 February 2013 on the 57th session on UN CSW: Elimination and prevention of all forms of violence against women and girls (28),

| — | having regard to its resolution of 24 May 2012 with recommendations to the Commission on application of the principle of equal pay for male and female workers for equal work or work of equal value (29), |
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—

having regard to its resolution of 24 May 2012 with recommendations to the Commission on application of the principle of equal pay for male and female workers for equal work or work of equal value (29),

| — | having regard to working documents I and II on the situation of fundamental rights in the European Union in 2012 (rapporteur Louis Michel), |
| --- | --- |

—

having regard to working documents I and II on the situation of fundamental rights in the European Union in 2012 (rapporteur Louis Michel),

| — | having regard to the public hearing held on 5 November 2013 by the Committee on Civil Liberties, Justice and Home Affairs on ‘The situation of fundamental rights in the European Union: how to strengthen fundamental rights, democracy and the rule of law in the EU’, |
| --- | --- |

—

having regard to the public hearing held on 5 November 2013 by the Committee on Civil Liberties, Justice and Home Affairs on ‘The situation of fundamental rights in the European Union: how to strengthen fundamental rights, democracy and the rule of law in the EU’,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Employment and Social Affairs and the Committee on Women’s Rights and Gender Equality (A7-0051/2014), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Employment and Social Affairs and the Committee on Women’s Rights and Gender Equality (A7-0051/2014),

| A. | whereas European integration is a political project born out of the ashes of the Second World War and the persecution and repression of individuals by totalitarian regimes, and whereas its aim has been to anchor European states to democracy and the rule of law in order to respect and promote human rights, fundamental rights, equality and the protection of minorities, on the basis of the Universal Declaration of Human Rights (UDHR), the European Convention on Human Rights (ECHR) and other instruments on human rights and fundamental freedoms, and avoid a return to any kind of authoritarian regime; |
| --- | --- |

A.

whereas European integration is a political project born out of the ashes of the Second World War and the persecution and repression of individuals by totalitarian regimes, and whereas its aim has been to anchor European states to democracy and the rule of law in order to respect and promote human rights, fundamental rights, equality and the protection of minorities, on the basis of the Universal Declaration of Human Rights (UDHR), the European Convention on Human Rights (ECHR) and other instruments on human rights and fundamental freedoms, and avoid a return to any kind of authoritarian regime;

| B. | whereas the individual, citizen or resident, must be at the centre of the European Union, and whereas fundamental rights protect any individual against possible interference, abuse and violence by authorities — at all levels — with respect to their private life and their rights and freedoms; and whereas respect for and promotion of human rights, fundamental freedoms, democracy and the values and principles enshrined in the EU treaties and international human rights instruments (UDHR, ECHR, ICCPR, ICESCR, etc.) must be at the centre of European integration; |
| --- | --- |

B.

whereas the individual, citizen or resident, must be at the centre of the European Union, and whereas fundamental rights protect any individual against possible interference, abuse and violence by authorities — at all levels — with respect to their private life and their rights and freedoms; and whereas respect for and promotion of human rights, fundamental freedoms, democracy and the values and principles enshrined in the EU treaties and international human rights instruments (UDHR, ECHR, ICCPR, ICESCR, etc.) must be at the centre of European integration;

| C. | whereas the European Union has developed a fundamental acquis, which aims to ensure that fundamental rights are respected, protected and promoted, including through the development of the ‘Copenhagen criteria’, the inclusion of Articles 2, 6 and 7 in the EU Treaty, the Charter of Fundamental Rights, the obligation to accede to the European Convention on Human Rights and the corresponding national legislative provisions of the Member States; |
| --- | --- |

C.

whereas the European Union has developed a fundamental acquis, which aims to ensure that fundamental rights are respected, protected and promoted, including through the development of the ‘Copenhagen criteria’, the inclusion of Articles 2, 6 and 7 in the EU Treaty, the Charter of Fundamental Rights, the obligation to accede to the European Convention on Human Rights and the corresponding national legislative provisions of the Member States;

| D. | whereas, with the entry into force of the Treaty of Lisbon, the Charter has transformed values and principles into tangible and enforceable rights and whereas, having the same value as the Treaty of Lisbon, it has become legally binding on the institutions, bodies and agencies of the EU, as well as the Member States when implementing EU law; |
| --- | --- |

D.

whereas, with the entry into force of the Treaty of Lisbon, the Charter has transformed values and principles into tangible and enforceable rights and whereas, having the same value as the Treaty of Lisbon, it has become legally binding on the institutions, bodies and agencies of the EU, as well as the Member States when implementing EU law;

| E. | whereas a genuine culture of fundamental rights must be developed, promoted and reinforced in the institutions of the Union but also in Member States, especially in applying and implementing Union law, both internally and in relations with third countries; whereas the implementation of these values and principles must also be based on effective monitoring of respect for the fundamental rights guaranteed in the Charter, for example when legislative proposals are being drawn up; whereas other considerations may not take precedence over respecting and guaranteeing those fundamental rights, since this would risk discrediting the role and image of the European Union regarding human rights, particularly in its relations with third countries; |
| --- | --- |

E.

whereas a genuine culture of fundamental rights must be developed, promoted and reinforced in the institutions of the Union but also in Member States, especially in applying and implementing Union law, both internally and in relations with third countries; whereas the implementation of these values and principles must also be based on effective monitoring of respect for the fundamental rights guaranteed in the Charter, for example when legislative proposals are being drawn up; whereas other considerations may not take precedence over respecting and guaranteeing those fundamental rights, since this would risk discrediting the role and image of the European Union regarding human rights, particularly in its relations with third countries;

| F. | whereas the European Union operates on the basis of the presumption and mutual trust that EU Member States conform with democracy, the rule of law and fundamental rights, as enshrined in the ECHR and the Charter of Fundamental Rights, notably in relation to the development of an Area of Freedom, Security and Justice and the operation of the mutual recognition principle; |
| --- | --- |

F.

whereas the European Union operates on the basis of the presumption and mutual trust that EU Member States conform with democracy, the rule of law and fundamental rights, as enshrined in the ECHR and the Charter of Fundamental Rights, notably in relation to the development of an Area of Freedom, Security and Justice and the operation of the mutual recognition principle;

| G. | whereas the mutual recognition principle leads to a situation where people can be transferred from one jurisdiction to another, without any prior human rights scrutiny of the respective decisions; |
| --- | --- |

G.

whereas the mutual recognition principle leads to a situation where people can be transferred from one jurisdiction to another, without any prior human rights scrutiny of the respective decisions;

| H. | whereas the Court of Justice of the European Union underlined in joined cases C-411/10 and C-493/10 that such a presumption of compliance with fundamental rights must be rebuttable and that judges must therefore check whether there are substantial grounds for believing that there are systemic flaws in the judicial system of the other Member States; |
| --- | --- |

H.

whereas the Court of Justice of the European Union underlined in joined cases C-411/10 and C-493/10 that such a presumption of compliance with fundamental rights must be rebuttable and that judges must therefore check whether there are substantial grounds for believing that there are systemic flaws in the judicial system of the other Member States;

| I. | whereas it is consequently necessary to make sure that national authorities have sufficient evidence available in order to take an informed decision as to whether or not there are systemic flaws in the judicial systems of other Member States; |
| --- | --- |

I.

whereas it is consequently necessary to make sure that national authorities have sufficient evidence available in order to take an informed decision as to whether or not there are systemic flaws in the judicial systems of other Member States;

| J. | whereas corruption causes social harm and violations of fundamental rights, as organised crime groups use it to commit other serious crimes, such as trafficking in human beings; whereas an efficient, independent and impartial judicial system is essential for the rule of law and to ensure the protection of the fundamental rights and civil liberties of citizens in Europe; |
| --- | --- |

J.

whereas corruption causes social harm and violations of fundamental rights, as organised crime groups use it to commit other serious crimes, such as trafficking in human beings; whereas an efficient, independent and impartial judicial system is essential for the rule of law and to ensure the protection of the fundamental rights and civil liberties of citizens in Europe;

| K. | whereas the European Union is going through a period of economic and financial crisis, and also a democratic and constitutional crisis, as demonstrated by recent events in certain Member States, and whereas these tensions have highlighted the lack of appropriate instruments to cope with this crisis, as well as the lack of political will and the difficulties in applying the monitoring, evaluation and sanctioning mechanisms provided for in the existing treaties, in particular the requirements under Articles 2 and Article 7 of the EU Treaty; |
| --- | --- |

K.

whereas the European Union is going through a period of economic and financial crisis, and also a democratic and constitutional crisis, as demonstrated by recent events in certain Member States, and whereas these tensions have highlighted the lack of appropriate instruments to cope with this crisis, as well as the lack of political will and the difficulties in applying the monitoring, evaluation and sanctioning mechanisms provided for in the existing treaties, in particular the requirements under Articles 2 and Article 7 of the EU Treaty;

| L. | whereas Parliament has repeatedly called for a strengthening of the mechanisms to ensure that the values of the Union set out in Article 2 of the EU Treaty are respected, protected and promoted, and for crisis situations in the Union and in the Member States to be addressed, and whereas a debate is under way on the creation of a ‘new mechanism’, in which the Commission, the Council and Member States are joining Parliament and NGOs; |
| --- | --- |

L.

whereas Parliament has repeatedly called for a strengthening of the mechanisms to ensure that the values of the Union set out in Article 2 of the EU Treaty are respected, protected and promoted, and for crisis situations in the Union and in the Member States to be addressed, and whereas a debate is under way on the creation of a ‘new mechanism’, in which the Commission, the Council and Member States are joining Parliament and NGOs;

| M. | whereas the FRA underlined in the focus section of its Annual Report on 2012 dedicated to ‘The European Union as a Community of values: safeguarding fundamental rights in times of crisis’ the fact that a common understanding of the Article 2 values and the legal obligations deriving therefrom is an aspiration that calls for the establishment of a regular dialogue within the EU; |
| --- | --- |

M.

whereas the FRA underlined in the focus section of its Annual Report on 2012 dedicated to ‘The European Union as a Community of values: safeguarding fundamental rights in times of crisis’ the fact that a common understanding of the Article 2 values and the legal obligations deriving therefrom is an aspiration that calls for the establishment of a regular dialogue within the EU;

| N. | whereas the Commission has indicated its desire to strengthen the rule of law in the European Union and whereas it could propose the use of letters of formal notice under Article 7(1) of the existing EU Treaty; whereas it has also spoken of the need to amend the treaties and has announced that it might propose amendments before the end of 2013, or in early 2014, with a view to holding a debate during elections (including on Article 7) and seeking a consensus on these proposals, the aim of which should be to ensure that the EU policy on fundamental rights in the EU is based on clear rules and mechanisms, objective indicators, data and evidence which are transparent, fair and predictable and provide strong protection for individual rights, democracy and the rule of law; |
| --- | --- |

N.

whereas the Commission has indicated its desire to strengthen the rule of law in the European Union and whereas it could propose the use of letters of formal notice under Article 7(1) of the existing EU Treaty; whereas it has also spoken of the need to amend the treaties and has announced that it might propose amendments before the end of 2013, or in early 2014, with a view to holding a debate during elections (including on Article 7) and seeking a consensus on these proposals, the aim of which should be to ensure that the EU policy on fundamental rights in the EU is based on clear rules and mechanisms, objective indicators, data and evidence which are transparent, fair and predictable and provide strong protection for individual rights, democracy and the rule of law;

| O. | whereas any decision on the matter should guarantee, as soon as possible, the proper application of Articles 2, 6 and 7 of the EU Treaty and ensure that every decision is taken on the basis of objective criteria and an objective evaluation, in order to address criticisms of a lack of indicators and evaluation criteria, of differential treatment and of political bias; |
| --- | --- |

O.

whereas any decision on the matter should guarantee, as soon as possible, the proper application of Articles 2, 6 and 7 of the EU Treaty and ensure that every decision is taken on the basis of objective criteria and an objective evaluation, in order to address criticisms of a lack of indicators and evaluation criteria, of differential treatment and of political bias;

| P. | whereas numerous fundamental rights violations are still occurring in the European Union and in the Member States, as detailed in (annual and special) reports by the Commission, the FRA, the Council of Europe (annual reports and judgments of the European Court of Human Rights, documents and reports of the Commissioner for Human Rights, CoE Parliamentary Assembly documents), UN documents (including the documents and reports of the UN Human Rights Council, of the UN High Commissioner for Human Rights, of the Special Rapporteurs, etc.), documents produced by NGOs (such as Human Rights Watch, Amnesty International, the Open Society Institute, ILGA-Europe, ECRE, Reporters without Borders, Freedom House, FIDH, etc.), etc.; whereas such violations require appropriate responses from the Commission, the Council and Member States, given their gravity and recurrence; |
| --- | --- |

P.

whereas numerous fundamental rights violations are still occurring in the European Union and in the Member States, as detailed in (annual and special) reports by the Commission, the FRA, the Council of Europe (annual reports and judgments of the European Court of Human Rights, documents and reports of the Commissioner for Human Rights, CoE Parliamentary Assembly documents), UN documents (including the documents and reports of the UN Human Rights Council, of the UN High Commissioner for Human Rights, of the Special Rapporteurs, etc.), documents produced by NGOs (such as Human Rights Watch, Amnesty International, the Open Society Institute, ILGA-Europe, ECRE, Reporters without Borders, Freedom House, FIDH, etc.), etc.; whereas such violations require appropriate responses from the Commission, the Council and Member States, given their gravity and recurrence;

| Q. | whereas these organisations have expressed and recorded their concerns, particularly with regard to the situation of Roma, migrants, asylum seekers, refugees, minorities, members of LGBT communities, the media and journalists, the actions of the security forces, police and secret services, the investigations necessary to prosecute and punish those responsible for human rights violations, state involvement in acts of torture and ill-treatment committed in third countries, the use of evidence thus obtained, conditions of detention and the ill-treatment of detainees; |
| --- | --- |

Q.

whereas these organisations have expressed and recorded their concerns, particularly with regard to the situation of Roma, migrants, asylum seekers, refugees, minorities, members of LGBT communities, the media and journalists, the actions of the security forces, police and secret services, the investigations necessary to prosecute and punish those responsible for human rights violations, state involvement in acts of torture and ill-treatment committed in third countries, the use of evidence thus obtained, conditions of detention and the ill-treatment of detainees;

| R. | whereas the preamble of the Treaty on European Union, Articles 8, 9, 10, 19 and 21 of the EU Charter of Fundamental Rights and the case law established by the EU Court of Justice acknowledge the importance of fundamental social rights through their embodiment in cross-cutting principles of Community law, thus making it clear that the EU must guarantee fundamental rights and freedoms, such as trade union rights, the right to strike, and the right of association, assembly, etc., as defined in the European Social Charter, and whereas Article 151 of the Treaty on the Functioning of the European Union contains an explicit reference to fundamental social rights such as those set out in the European Social Charter; |
| --- | --- |

R.

whereas the preamble of the Treaty on European Union, Articles 8, 9, 10, 19 and 21 of the EU Charter of Fundamental Rights and the case law established by the EU Court of Justice acknowledge the importance of fundamental social rights through their embodiment in cross-cutting principles of Community law, thus making it clear that the EU must guarantee fundamental rights and freedoms, such as trade union rights, the right to strike, and the right of association, assembly, etc., as defined in the European Social Charter, and whereas Article 151 of the Treaty on the Functioning of the European Union contains an explicit reference to fundamental social rights such as those set out in the European Social Charter;

| S. | whereas Articles 2 and 3 of the Charter of Fundamental Rights recognise the right to life and the right to the integrity of the person; |
| --- | --- |

S.

whereas Articles 2 and 3 of the Charter of Fundamental Rights recognise the right to life and the right to the integrity of the person;

| T. | whereas there are about 100 million children in the European Union and about 80 million European persons with disabilities; whereas persons with disabilities, especially children, are still suffering from a lack of assistance and support as regards their inclusion in schools, and are experiencing difficulties in accessing buildings or services and trouble in being heard and participating in decisions affecting their lives; whereas the EU, as a party to the UN Convention on the Rights of Persons with Disabilities, has the obligation to promote, protect and respect the rights of persons with disabilities as enshrined in the Convention, to adopt a strategy to implement the Convention and to ensure that policies and existing and future primary and secondary law comply with the provisions of the Convention; |
| --- | --- |

T.

whereas there are about 100 million children in the European Union and about 80 million European persons with disabilities; whereas persons with disabilities, especially children, are still suffering from a lack of assistance and support as regards their inclusion in schools, and are experiencing difficulties in accessing buildings or services and trouble in being heard and participating in decisions affecting their lives; whereas the EU, as a party to the UN Convention on the Rights of Persons with Disabilities, has the obligation to promote, protect and respect the rights of persons with disabilities as enshrined in the Convention, to adopt a strategy to implement the Convention and to ensure that policies and existing and future primary and secondary law comply with the provisions of the Convention;

| U. | whereas women and girls are the main victims of gender-based violence, given that, according to estimates in the EU, 20-25 % of women have suffered physical violence at least once during their lives; whereas hundreds of thousands of women living in Europe have been subjected to genital mutilation and thousands of girls are at risk; |
| --- | --- |

U.

whereas women and girls are the main victims of gender-based violence, given that, according to estimates in the EU, 20-25 % of women have suffered physical violence at least once during their lives; whereas hundreds of thousands of women living in Europe have been subjected to genital mutilation and thousands of girls are at risk;

| V. | whereas women in the EU earn around 16 % less per hour than men; |
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V.

whereas women in the EU earn around 16 % less per hour than men;

| W. | whereas poverty, gender inequality and gender stereotypes increase the risk of violence and other forms of exploitation, including trafficking in women and prostitution, and hamper the full participation of women in all areas of life; |
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W.

whereas poverty, gender inequality and gender stereotypes increase the risk of violence and other forms of exploitation, including trafficking in women and prostitution, and hamper the full participation of women in all areas of life;

| X. | whereas fundamental freedoms, human rights and equal opportunities should be guaranteed for all citizens of the European Union; whereas, however, the protection of national minorities and regional and minority languages in an enlarged EU is a major issue, which cannot be resolved simply by combating xenophobia and discrimination, but by adopting specific legal, linguistic, cultural, social, etc. regimes and treatments; |
| --- | --- |

X.

whereas fundamental freedoms, human rights and equal opportunities should be guaranteed for all citizens of the European Union; whereas, however, the protection of national minorities and regional and minority languages in an enlarged EU is a major issue, which cannot be resolved simply by combating xenophobia and discrimination, but by adopting specific legal, linguistic, cultural, social, etc. regimes and treatments;

| 1. | Stresses, that as a political, historical and ethical project, the European Union endeavours to bring together countries which share and together promote common European values, such as those laid down in Article 2 TEU and in the Charter of Fundamental Rights, as well as the ECHR, including respect for human dignity, democracy, the rule of law, fundamental rights, equality, freedom, non-discrimination and protection of minorities, which are closely linked and are mutual preconditions, and believes therefore that a fundamental pillar of the European identity is, and must be, the internal and external promotion of human rights, fundamental freedoms and democracy, which are European values; |
| --- | --- |

1.

Stresses, that as a political, historical and ethical project, the European Union endeavours to bring together countries which share and together promote common European values, such as those laid down in Article 2 TEU and in the Charter of Fundamental Rights, as well as the ECHR, including respect for human dignity, democracy, the rule of law, fundamental rights, equality, freedom, non-discrimination and protection of minorities, which are closely linked and are mutual preconditions, and believes therefore that a fundamental pillar of the European identity is, and must be, the internal and external promotion of human rights, fundamental freedoms and democracy, which are European values;

| 2. | Recommends that Parliament, the Commission and the Council recognise the existence of positive obligations to protect and promote human rights; emphasises that respect for fundamental rights and freedoms implies actions at various levels; highlights the role played in this area by regional and local authorities, NGOs and civil society, and asks the Commission and the Council to improve their cooperation with these actors; |
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2.

Recommends that Parliament, the Commission and the Council recognise the existence of positive obligations to protect and promote human rights; emphasises that respect for fundamental rights and freedoms implies actions at various levels; highlights the role played in this area by regional and local authorities, NGOs and civil society, and asks the Commission and the Council to improve their cooperation with these actors;

| 3. | Reminds the Union institutions and the Member States of the need to comply with their obligations to respect fundamental freedoms and rights; notes that participation in international treaties for the protection and promotion of human rights can only serve to strengthen the protection of fundamental rights within the EU; |
| --- | --- |

3.

Reminds the Union institutions and the Member States of the need to comply with their obligations to respect fundamental freedoms and rights; notes that participation in international treaties for the protection and promotion of human rights can only serve to strengthen the protection of fundamental rights within the EU;

| 4. | Condemns the worrying trends with regard to breaches of human rights within the European Union, particularly in the fields of immigration and asylum, and with regard to discrimination and intolerance — especially affecting certain population groups (minorities and migrants) — security and terrorism, freedom of the press, freedom of movement within the Union and social and trade union rights; observes more and more frequently that Member States are adopting obstructive attitudes towards respect for these fundamental rights and freedoms, particularly with regard to Roma, women, LGBT people, asylum-seekers, migrants and other vulnerable population groups; |
| --- | --- |

4.

Condemns the worrying trends with regard to breaches of human rights within the European Union, particularly in the fields of immigration and asylum, and with regard to discrimination and intolerance — especially affecting certain population groups (minorities and migrants) — security and terrorism, freedom of the press, freedom of movement within the Union and social and trade union rights; observes more and more frequently that Member States are adopting obstructive attitudes towards respect for these fundamental rights and freedoms, particularly with regard to Roma, women, LGBT people, asylum-seekers, migrants and other vulnerable population groups;

Institutional questions

| 5. | Points out that it is essential for the European Union, its institutions and the Member States to guarantee respect for the common European values set out in Article 2 TEU, that all the instruments currently provided for in the treaties in this regard urgently need to be applied and implemented, and that where necessary amendments to the treaties should be prepared; stresses that the obligation to fulfil the Copenhagen criteria does not lapse after accession but remains incumbent on the Member States, that fundamental rights are part of Union primary law and that they must be respected when Union law is applied by any court or authority, be it at Union or national level; in this connection, regrets in particular the length of time taken by ECHR accession negotiations and the fact that EU accession to the ECHR has not already been completed; |
| --- | --- |

5.

Points out that it is essential for the European Union, its institutions and the Member States to guarantee respect for the common European values set out in Article 2 TEU, that all the instruments currently provided for in the treaties in this regard urgently need to be applied and implemented, and that where necessary amendments to the treaties should be prepared; stresses that the obligation to fulfil the Copenhagen criteria does not lapse after accession but remains incumbent on the Member States, that fundamental rights are part of Union primary law and that they must be respected when Union law is applied by any court or authority, be it at Union or national level; in this connection, regrets in particular the length of time taken by ECHR accession negotiations and the fact that EU accession to the ECHR has not already been completed;

| 6. | Reminds the European institutions and the Member States that any policy relating to fundamental rights must first of all prevent any violations from occurring, particularly by means of accessible procedures for prevention and redress before a decision or measure is taken, to enable particular cases to be considered and judged as quickly as possible and in an effective, just and equitable manner, without discrimination; |
| --- | --- |

6.

Reminds the European institutions and the Member States that any policy relating to fundamental rights must first of all prevent any violations from occurring, particularly by means of accessible procedures for prevention and redress before a decision or measure is taken, to enable particular cases to be considered and judged as quickly as possible and in an effective, just and equitable manner, without discrimination;

| 7. | Considers that the general public are increasingly concerned about respect for fundamental rights and about their protection and promotion, as demonstrated by the mobilisation in relation to, and greater attention devoted to, cases of violations, abuses or inequalities, both in everyday life and in symbolic or well-known cases, thanks in part to the better circulation of information with the aid of new technologies, social networks and the media; recalls that any violation, abuse or inequality is detrimental to democracy and the rule of law, as well as to the confidence of citizens in institutions and their representatives, particularly political decision-makers; stresses that institutions and political decision-makers must note and support this democratic trend by establishing new procedures for dialogue with citizens and by enhancing scrutiny of State authorities by members of the public, parliaments, courts and the media, while those authorities must be more open and transparent in order to serve the interests of citizens better; |
| --- | --- |

7.

Considers that the general public are increasingly concerned about respect for fundamental rights and about their protection and promotion, as demonstrated by the mobilisation in relation to, and greater attention devoted to, cases of violations, abuses or inequalities, both in everyday life and in symbolic or well-known cases, thanks in part to the better circulation of information with the aid of new technologies, social networks and the media; recalls that any violation, abuse or inequality is detrimental to democracy and the rule of law, as well as to the confidence of citizens in institutions and their representatives, particularly political decision-makers; stresses that institutions and political decision-makers must note and support this democratic trend by establishing new procedures for dialogue with citizens and by enhancing scrutiny of State authorities by members of the public, parliaments, courts and the media, while those authorities must be more open and transparent in order to serve the interests of citizens better;

| 8. | Believes that in order to make full use of the potential of the treaties, there is a need to:






  (a) | complete the process of acceding to the European Convention on Human Rights and immediately put in place the necessary instruments to fully accomplish this obligation, which is enshrined the treaties, as it will provide an additional mechanism for enforcing the human rights of its citizens, inter alia with a view to ensuring the application by the Member States of the judgments given by the European Court of Human Rights, particularly ‘pilot judgments; accede, as called for by the Council of Europe, to the European Social Charter, signed in Turin on 18 October 1961 and revised in Strasbourg on 3 May 1996; and for Member States to accede to and ratify the human rights conventions of the Council of Europe, to implement the already existing instruments of the acquis communautaire and to reconsider the opt-outs, which might risk affecting the rights of their citizens; |
| --- | --- | --- |

8.

Believes that in order to make full use of the potential of the treaties, there is a need to:

(a)

complete the process of acceding to the European Convention on Human Rights and immediately put in place the necessary instruments to fully accomplish this obligation, which is enshrined the treaties, as it will provide an additional mechanism for enforcing the human rights of its citizens, inter alia with a view to ensuring the application by the Member States of the judgments given by the European Court of Human Rights, particularly ‘pilot judgments; accede, as called for by the Council of Europe, to the European Social Charter, signed in Turin on 18 October 1961 and revised in Strasbourg on 3 May 1996; and for Member States to accede to and ratify the human rights conventions of the Council of Europe, to implement the already existing instruments of the acquis communautaire and to reconsider the opt-outs, which might risk affecting the rights of their citizens;

| (b) | ensure that legislative proposals and policies comply with the Charter and respect fundamental rights, by taking tangible steps towards ensuring that they are verified against the Charter in all phases of the drafting of legislation and that the impact on fundamental rights of EU legislation and its implementation by the Member States is systematically examined in the evaluation reports on the implementation of such legislation, as well as in the annual report on the monitoring of the application of EU law; |
| --- | --- |

(b)

ensure that legislative proposals and policies comply with the Charter and respect fundamental rights, by taking tangible steps towards ensuring that they are verified against the Charter in all phases of the drafting of legislation and that the impact on fundamental rights of EU legislation and its implementation by the Member States is systematically examined in the evaluation reports on the implementation of such legislation, as well as in the annual report on the monitoring of the application of EU law;

| (c) | ensure that the Commission — and the Council, where it initiates legislation — where appropriate, make use of the external independent expertise of the FRA; |
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(c)

ensure that the Commission — and the Council, where it initiates legislation — where appropriate, make use of the external independent expertise of the FRA;

| (d) | intensify the cooperation between the Commission and the Member States, as well as with the European Parliament and the national parliaments, in order to improve the implementation of existing EU human rights legislation; |
| --- | --- |

(d)

intensify the cooperation between the Commission and the Member States, as well as with the European Parliament and the national parliaments, in order to improve the implementation of existing EU human rights legislation;

| (e) | ensure that the drafting and transposition of EU law which affects and develops fundamental rights are strengthened and are carried out correctly, by following a rigorous policy of evaluation and monitoring and by bringing violations before the Court of Justice, particularly in areas within the competence of the EU, such as non-discrimination, equality, gender, disability, data protection, asylum and immigration; |
| --- | --- |

(e)

ensure that the drafting and transposition of EU law which affects and develops fundamental rights are strengthened and are carried out correctly, by following a rigorous policy of evaluation and monitoring and by bringing violations before the Court of Justice, particularly in areas within the competence of the EU, such as non-discrimination, equality, gender, disability, data protection, asylum and immigration;

| (f) | ensure the promotion of a substantial rule of law approach which takes into account how fundamental rights are protected in practice; |
| --- | --- |

(f)

ensure the promotion of a substantial rule of law approach which takes into account how fundamental rights are protected in practice;

| (g) | acknowledge that a strong political will is required to address these issues, especially in times of economic and financial crisis; |
| --- | --- |

(g)

acknowledge that a strong political will is required to address these issues, especially in times of economic and financial crisis;

| (h) | strengthen and ensure transparency in the interinstitutional dialogue on fundamental rights or when European citizens’ interests are at stake; |
| --- | --- |

(h)

strengthen and ensure transparency in the interinstitutional dialogue on fundamental rights or when European citizens’ interests are at stake;

| (i) | ensure that the Commission makes full use of the existing mechanisms and that it launches objective evaluations and investigations and initiates infringement proceedings if a case is well grounded, thus avoiding double standards, wherever a Member State violates the rights enshrined in the Charter when implementing EU law; |
| --- | --- |

(i)

ensure that the Commission makes full use of the existing mechanisms and that it launches objective evaluations and investigations and initiates infringement proceedings if a case is well grounded, thus avoiding double standards, wherever a Member State violates the rights enshrined in the Charter when implementing EU law;

| (j) | plan ambitious, efficient and far-reaching policies and action programmes relating to fundamental rights and common European values, particularly in order to comply proactively and systematically with the EU’s obligations with regard to combating discrimination and promoting equality, as referred to in Articles 8 and 10 TFEU and Article 21 of the Charter; |
| --- | --- |

(j)

plan ambitious, efficient and far-reaching policies and action programmes relating to fundamental rights and common European values, particularly in order to comply proactively and systematically with the EU’s obligations with regard to combating discrimination and promoting equality, as referred to in Articles 8 and 10 TFEU and Article 21 of the Charter;

| (k) | cooperate in a more systematic and coordinated fashion at all levels, in particular with the Council of Europe and other international institutions, according to their specific expertise, in order to avoid any duplication; |
| --- | --- |

(k)

cooperate in a more systematic and coordinated fashion at all levels, in particular with the Council of Europe and other international institutions, according to their specific expertise, in order to avoid any duplication;

| (l) | streamline the multiplicity of mechanisms already available to prevent violations of fundamental rights in the EU, tackle breaches of fundamental rights and avoid forum shopping, and to step up the role which can be played by regional and local authorities, together with human rights organisations; |
| --- | --- |

(l)

streamline the multiplicity of mechanisms already available to prevent violations of fundamental rights in the EU, tackle breaches of fundamental rights and avoid forum shopping, and to step up the role which can be played by regional and local authorities, together with human rights organisations;

| (m) | prepare comparative and summary country-by-country tables, on the basis of which the Commission should issue country-specific recommendations on fundamental rights policy, as it does for EU27 economic policy; the Council could endorse or amend these recommendations and the Commission‘s proposals regarding blatant fundamental rights violations, by the next European Council summit; |
| --- | --- |

(m)

prepare comparative and summary country-by-country tables, on the basis of which the Commission should issue country-specific recommendations on fundamental rights policy, as it does for EU27 economic policy; the Council could endorse or amend these recommendations and the Commission‘s proposals regarding blatant fundamental rights violations, by the next European Council summit;

| (n) | develop a peer review mechanism, with the participation of national human rights bodies, similar to the OECD’s Development Assistance Committee (DAC): each Member State would be peer-reviewed once every three or four years, the main objectives being to help the country concerned understand in what ways it could improve its fundamental rights strategy and structures; and to identify and share good practice in human rights policy and strategy within the EU; |
| --- | --- |

(n)

develop a peer review mechanism, with the participation of national human rights bodies, similar to the OECD’s Development Assistance Committee (DAC): each Member State would be peer-reviewed once every three or four years, the main objectives being to help the country concerned understand in what ways it could improve its fundamental rights strategy and structures; and to identify and share good practice in human rights policy and strategy within the EU;

| (o) | establish a ‘new Copenhagen mechanism’ to ensure that the fundamental rights and values of the Union referred to in Article 2 of the EU Treaty and in the Charter of Fundamental Rights are respected, protected and promoted; |
| --- | --- |

(o)

establish a ‘new Copenhagen mechanism’ to ensure that the fundamental rights and values of the Union referred to in Article 2 of the EU Treaty and in the Charter of Fundamental Rights are respected, protected and promoted;

| 9. | Stresses that this ‘new Copenhagen mechanism’, aimed at monitoring compliance with the Copenhagen criteria by every Member State in an effective and binding manner, could be activated immediately, on the basis of a Commission decision, with the full involvement of Parliament, and that it should:






  (a) | set indicators — on the basis of existing or already developed and recognised fundamental rights standards — such as those developed at UN and Council of Europe level, taking into account the advice of NGOs working in the area of human rights and fundamental freedoms (FRA and Commission); |
| --- | --- | --- |

9.

Stresses that this ‘new Copenhagen mechanism’, aimed at monitoring compliance with the Copenhagen criteria by every Member State in an effective and binding manner, could be activated immediately, on the basis of a Commission decision, with the full involvement of Parliament, and that it should:

(a)

set indicators — on the basis of existing or already developed and recognised fundamental rights standards — such as those developed at UN and Council of Europe level, taking into account the advice of NGOs working in the area of human rights and fundamental freedoms (FRA and Commission);

| (b) | be based on objective and reliable data and information structured around such indicators, which would be further developed through a transparent and credible process (FRA, Commission); |
| --- | --- |

(b)

be based on objective and reliable data and information structured around such indicators, which would be further developed through a transparent and credible process (FRA, Commission);

| (c) | monitor the situation in the EU and in the individual Member States through a regular and objective process (FRA, Commission, Council, European Parliament and national parliaments); |
| --- | --- |

(c)

monitor the situation in the EU and in the individual Member States through a regular and objective process (FRA, Commission, Council, European Parliament and national parliaments);

| (d) | carry out objective, comparative and regular assessments, for each of the fundamental rights and/or subject areas and for each institution and Member State individually — while striving for maximum comparability — also on the basis of the findings and recommendations issued by existing monitoring mechanisms of the Council of Europe, the United Nations and the EU institutions and bodies, in addition to information submitted by civil society organisations (FRA reports, Commission annual reports, Parliament annual reports, Council annual reports) and on this basis issue recommendations; |
| --- | --- |

(d)

carry out objective, comparative and regular assessments, for each of the fundamental rights and/or subject areas and for each institution and Member State individually — while striving for maximum comparability — also on the basis of the findings and recommendations issued by existing monitoring mechanisms of the Council of Europe, the United Nations and the EU institutions and bodies, in addition to information submitted by civil society organisations (FRA reports, Commission annual reports, Parliament annual reports, Council annual reports) and on this basis issue recommendations;

| (e) | establish a European policy cycle on the application of Article 2 of the EU Treaty (democracy, rule of law, fundamental rights, equality) to provide an annual and multiannual framework, and an open annual interinstitutional forum on these European values, in particular the protection of fundamental rights; |
| --- | --- |

(e)

establish a European policy cycle on the application of Article 2 of the EU Treaty (democracy, rule of law, fundamental rights, equality) to provide an annual and multiannual framework, and an open annual interinstitutional forum on these European values, in particular the protection of fundamental rights;

| (f) | bring all existing data and analysis from national, European and international bodies together in order to ensure that existing information that is relevant for the protection of fundamental rights, the rule of law, democracy and equality is more accessible and visible; |
| --- | --- |

(f)

bring all existing data and analysis from national, European and international bodies together in order to ensure that existing information that is relevant for the protection of fundamental rights, the rule of law, democracy and equality is more accessible and visible;

| (g) | ensure that DG Justice and the FREMP working party in the Council work with Parliament‘s Committee on Civil Liberties, Justice and Home Affairs to establish a regular structured dialogue between these institutions and civil society organisations on fundamental rights issues inside the EU; |
| --- | --- |

(g)

ensure that DG Justice and the FREMP working party in the Council work with Parliament‘s Committee on Civil Liberties, Justice and Home Affairs to establish a regular structured dialogue between these institutions and civil society organisations on fundamental rights issues inside the EU;

| (h) | develop and adopt a set of recommendations along with effective and proportionate penalties which act as an effective deterrent (e.g. the temporary suspension of Fund commitments, the application of certain acts, etc.) to deal with violations of Articles 2 and 7 of the EU Treaty and to ensure that the rights enshrined therein are successfully upheld; |
| --- | --- |

(h)

develop and adopt a set of recommendations along with effective and proportionate penalties which act as an effective deterrent (e.g. the temporary suspension of Fund commitments, the application of certain acts, etc.) to deal with violations of Articles 2 and 7 of the EU Treaty and to ensure that the rights enshrined therein are successfully upheld;

| (i) | incorporate an early-warning system, political and technical dialogue, letters of formal notice and a ‘freezing procedure’, as already called for by Parliament, to ensure that Member States, at the request of EU institutions, suspend the adoption of laws that might disregard or breach fundamental rights or the EU legal order; the Commission should hold meetings at technical level with the services of the Member State concerned but not conclude any negotiations in policy areas other than those relating to Article 2 TEU until full compliance with Article 2 TEU has been ensured; |
| --- | --- |

(i)

incorporate an early-warning system, political and technical dialogue, letters of formal notice and a ‘freezing procedure’, as already called for by Parliament, to ensure that Member States, at the request of EU institutions, suspend the adoption of laws that might disregard or breach fundamental rights or the EU legal order; the Commission should hold meetings at technical level with the services of the Member State concerned but not conclude any negotiations in policy areas other than those relating to Article 2 TEU until full compliance with Article 2 TEU has been ensured;

| 10. | Calls on the Commission, in collaboration with the FRA, to adopt a decision establishing this ‘new Copenhagen mechanism’, as it did for the monitoring of corruption in the EU and in the Member States, and to revise the FRA rules in order to give it enhanced powers and competences; |
| --- | --- |

10.

Calls on the Commission, in collaboration with the FRA, to adopt a decision establishing this ‘new Copenhagen mechanism’, as it did for the monitoring of corruption in the EU and in the Member States, and to revise the FRA rules in order to give it enhanced powers and competences;

| 11. | Calls for the establishment, preferably under an interinstitutional agreement, of a ‘Copenhagen commission’ composed of independent high-level experts on fundamental rights, to be appointed inter alia by Parliament, whose aim should be to ensure compliance by all Member States with the common values enshrined in Article 2 TEU and continuous compliance with the ‘Copenhagen criteria’ and to advise and report on fundamental rights matters, pending the amendment the FRA Regulation to allow the agency to have stronger powers and a wider remit, including in monitoring individual Member States in the field of fundamental rights, as requested on repeated occasions by Parliament; |
| --- | --- |

11.

Calls for the establishment, preferably under an interinstitutional agreement, of a ‘Copenhagen commission’ composed of independent high-level experts on fundamental rights, to be appointed inter alia by Parliament, whose aim should be to ensure compliance by all Member States with the common values enshrined in Article 2 TEU and continuous compliance with the ‘Copenhagen criteria’ and to advise and report on fundamental rights matters, pending the amendment the FRA Regulation to allow the agency to have stronger powers and a wider remit, including in monitoring individual Member States in the field of fundamental rights, as requested on repeated occasions by Parliament;

| 12. | Recommends the opening of a dialogue between the EU institutions and a Member State where there is a risk of a serious breach of the values of the Union, as well as the possibility for the European institutions to make recommendations as provided for in Article 7(1) of the EU Treaty; fully supports the Commission’s proposal to use letters of formal notice in this context; |
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12.

Recommends the opening of a dialogue between the EU institutions and a Member State where there is a risk of a serious breach of the values of the Union, as well as the possibility for the European institutions to make recommendations as provided for in Article 7(1) of the EU Treaty; fully supports the Commission’s proposal to use letters of formal notice in this context;

| 13. | Invites the Commission and the Council to set up, together with Parliament, a contact group to follow up on the effective implementation of the values of the Union, and to specifically carry out joint assessments of the fundamental rights situation in specific cases that have been noted with concern by any of these three institutions of the Union; calls also on these institutions to take into account the resolutions of the Council of Europe and decisions of the European Court of Human Rights; |
| --- | --- |

13.

Invites the Commission and the Council to set up, together with Parliament, a contact group to follow up on the effective implementation of the values of the Union, and to specifically carry out joint assessments of the fundamental rights situation in specific cases that have been noted with concern by any of these three institutions of the Union; calls also on these institutions to take into account the resolutions of the Council of Europe and decisions of the European Court of Human Rights;

| 14. | Welcomes the statements made by the President of the Commission and by Vice-President Reding announcing a communication setting out possible changes to the Treaties, in addition to the options available under the current Treaties, and calls on its competent committees to examine the following proposals in detail, with a view to strengthening the protection of fundamental rights in the EU Treaties:






  — | revision of Article 7 of the EU Treaty, adding an ‘application of Article 2 of the EU Treaty’ stage, separating the ‘risk’ stage from the ‘violation’ stage, with different thresholds for the majorities provided for, a strengthening of technical and objective (not only political) analysis, enhanced dialogue with the Member States’ institutions and a wider range of detailed and predictable penalties which are applicable throughout the procedure; |
| --- | --- | --- |

14.

Welcomes the statements made by the President of the Commission and by Vice-President Reding announcing a communication setting out possible changes to the Treaties, in addition to the options available under the current Treaties, and calls on its competent committees to examine the following proposals in detail, with a view to strengthening the protection of fundamental rights in the EU Treaties:

—

revision of Article 7 of the EU Treaty, adding an ‘application of Article 2 of the EU Treaty’ stage, separating the ‘risk’ stage from the ‘violation’ stage, with different thresholds for the majorities provided for, a strengthening of technical and objective (not only political) analysis, enhanced dialogue with the Member States’ institutions and a wider range of detailed and predictable penalties which are applicable throughout the procedure;

| — | drawing on Article 121 of the Treaty on the Functioning of the European Union to devise a stronger and detailed fundamental rights coordination and supervision mechanism; |
| --- | --- |

—

drawing on Article 121 of the Treaty on the Functioning of the European Union to devise a stronger and detailed fundamental rights coordination and supervision mechanism;

| — | extending the scope for redress and the powers of the Commission and the Court of Justice; |
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—

extending the scope for redress and the powers of the Commission and the Court of Justice;

| — | a reference to the FRA in the Treaties, including a legal base making it possible to amend the Agency’s founding regulation not by unanimity as is currently the case but via the ordinary legislative procedure; |
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—

a reference to the FRA in the Treaties, including a legal base making it possible to amend the Agency’s founding regulation not by unanimity as is currently the case but via the ordinary legislative procedure;

| — | deletion of Article 51 of the Charter of Fundamental Rights; |
| --- | --- |

—

deletion of Article 51 of the Charter of Fundamental Rights;

| — | enabling Parliament to launch proceedings on the violation of Article 2 TEU on an equal footing with the Commission and the Council, and for the FRA to be able to contribute its necessary specialised support to the procedure; |
| --- | --- |

—

enabling Parliament to launch proceedings on the violation of Article 2 TEU on an equal footing with the Commission and the Council, and for the FRA to be able to contribute its necessary specialised support to the procedure;

| — | reviewing the unanimity requirement in areas relating to respect for and protection and promotion of fundamental rights, such as equality and non-discrimination (e.g. Article 19 TFEU); |
| --- | --- |

—

reviewing the unanimity requirement in areas relating to respect for and protection and promotion of fundamental rights, such as equality and non-discrimination (e.g. Article 19 TFEU);

calls also on its competent committee to clarify the application of, and eventually review, the procedure whereby Parliament can activate Article 7 TEU;

| 15. | Calls on the FRA to set up a public website collecting and pooling information and documents related to fundamental rights issues drawn up by the UN, the Council of Europe, the OSCE, NGOs, the FRA, the European Parliament, courts, national parliamentary committees, ombudsmen, etc.; considers that such information should be retrievable by date, state, author and right, so as to provide sources and information on the fundamental rights situation in the EU and its Member States; |
| --- | --- |

15.

Calls on the FRA to set up a public website collecting and pooling information and documents related to fundamental rights issues drawn up by the UN, the Council of Europe, the OSCE, NGOs, the FRA, the European Parliament, courts, national parliamentary committees, ombudsmen, etc.; considers that such information should be retrievable by date, state, author and right, so as to provide sources and information on the fundamental rights situation in the EU and its Member States;

Specific rights based on the Charter of Fundamental Rights

Dignity

| 16. | Expresses its alarm at the persistence of instances of violation of human dignity in the Union and in its Member States, whose victims include minorities, Roma in particular, asylum-seekers, migrants, people suspected of having links with terrorism and people who are deprived of their freedom, as well as vulnerable groups and poor people; stresses that public authorities must abide by the absolute prohibition on torture and cruel, inhuman or degrading treatment, carry out swift, effective and independent in-depth investigations into any breach and prosecute those responsible; |
| --- | --- |

16.

Expresses its alarm at the persistence of instances of violation of human dignity in the Union and in its Member States, whose victims include minorities, Roma in particular, asylum-seekers, migrants, people suspected of having links with terrorism and people who are deprived of their freedom, as well as vulnerable groups and poor people; stresses that public authorities must abide by the absolute prohibition on torture and cruel, inhuman or degrading treatment, carry out swift, effective and independent in-depth investigations into any breach and prosecute those responsible;

| 17. | Expresses its concern about the numerous instances of ill-treatment by police and the forces of law and order, particularly in relation to the disproportionate use of force against peaceful participants and journalists in connection with demonstrations, and the excessive use of non-lethal weapons, such as batons, rubber bullets and tasers; calls on the Member States to ensure that the uniforms of law enforcement personnel bear a means of identifying the wearer and that such personnel are always held to account for their actions; calls for an end to police checks that are based on ethnic and racial profiling; expresses concern at the increasing number of restrictions on freedom of assembly and peaceful demonstration and points out that the rights of assembly, association and freedom of expression form the basis to the right to demonstrate; calls on the Member States not to take measures that would undermine or criminalise people’s exercise of their fundamental freedoms and rights, urges them to take measures to ensure that force is used only in exceptional cases duly justified by a real and serious threat to public order and recalls that the primary role of the police forces is to guarantee people’s safety and protection; |
| --- | --- |

17.

Expresses its concern about the numerous instances of ill-treatment by police and the forces of law and order, particularly in relation to the disproportionate use of force against peaceful participants and journalists in connection with demonstrations, and the excessive use of non-lethal weapons, such as batons, rubber bullets and tasers; calls on the Member States to ensure that the uniforms of law enforcement personnel bear a means of identifying the wearer and that such personnel are always held to account for their actions; calls for an end to police checks that are based on ethnic and racial profiling; expresses concern at the increasing number of restrictions on freedom of assembly and peaceful demonstration and points out that the rights of assembly, association and freedom of expression form the basis to the right to demonstrate; calls on the Member States not to take measures that would undermine or criminalise people’s exercise of their fundamental freedoms and rights, urges them to take measures to ensure that force is used only in exceptional cases duly justified by a real and serious threat to public order and recalls that the primary role of the police forces is to guarantee people’s safety and protection;

| 18. | Reiterates its support for a European initiative to ensure that the fundamental rights of persons deprived of their freedom are upheld and that persons who are imprisoned can be reintegrated into society upon their release; expresses concern at the disastrous level of prison overcrowding in many Member States, and at bad prison conditions and treatment of inmates, and calls for a European initiative to be launched to ensure that the recommendations of the European Committee for the Prevention of Torture and the judgments of the European Court of Human Rights are implemented, including by the police and in immigration centres and psychiatric hospitals; recommends that measures be taken to reduce prison overcrowding, such as avoiding excessive use of pre-trial detention, providing alternatives to custodial sentences, considering the decriminalisation of certain offences and/or shortening the periods for which people can be held without charge; |
| --- | --- |

18.

Reiterates its support for a European initiative to ensure that the fundamental rights of persons deprived of their freedom are upheld and that persons who are imprisoned can be reintegrated into society upon their release; expresses concern at the disastrous level of prison overcrowding in many Member States, and at bad prison conditions and treatment of inmates, and calls for a European initiative to be launched to ensure that the recommendations of the European Committee for the Prevention of Torture and the judgments of the European Court of Human Rights are implemented, including by the police and in immigration centres and psychiatric hospitals; recommends that measures be taken to reduce prison overcrowding, such as avoiding excessive use of pre-trial detention, providing alternatives to custodial sentences, considering the decriminalisation of certain offences and/or shortening the periods for which people can be held without charge;

| 19. | Reiterates its call for a full investigation into collaboration by European states in the ‘extraordinary rendition’ programme of the United States and the CIA, flights and secret prisons within the territory of the Union, and insists that Member States must perform effective, impartial, in-depth, independent and transparent investigations and that there is no place for impunity; reminds the Member States that the ban on torture is absolute and, therefore, that state secrecy cannot be invoked to limit the obligation on states to investigate serious human rights violations; stresses that the Member States’ reputation and trust in their commitment to protect fundamental rights will be at stake should they fail to comply with the above; |
| --- | --- |

19.

Reiterates its call for a full investigation into collaboration by European states in the ‘extraordinary rendition’ programme of the United States and the CIA, flights and secret prisons within the territory of the Union, and insists that Member States must perform effective, impartial, in-depth, independent and transparent investigations and that there is no place for impunity; reminds the Member States that the ban on torture is absolute and, therefore, that state secrecy cannot be invoked to limit the obligation on states to investigate serious human rights violations; stresses that the Member States’ reputation and trust in their commitment to protect fundamental rights will be at stake should they fail to comply with the above;

| 20. | Stresses that the climate of impunity as regards the CIA programme has made it possible for fundamental rights violations to continue under EU and US counter-terrorism policies, as emphasised by the revelations concerning the mass espionage activities which were conducted under the surveillance programme of the US National Security Agency and by intelligence bodies in various Member States and which are currently being considered by Parliament; calls for legislation concerning EU and Member State security and intelligence agencies to be revised, with a particular focus on ex-ante judicial and parliamentary scrutiny, and the right to appeal and to rectify data collected, held or processed by these agencies; |
| --- | --- |

20.

Stresses that the climate of impunity as regards the CIA programme has made it possible for fundamental rights violations to continue under EU and US counter-terrorism policies, as emphasised by the revelations concerning the mass espionage activities which were conducted under the surveillance programme of the US National Security Agency and by intelligence bodies in various Member States and which are currently being considered by Parliament; calls for legislation concerning EU and Member State security and intelligence agencies to be revised, with a particular focus on ex-ante judicial and parliamentary scrutiny, and the right to appeal and to rectify data collected, held or processed by these agencies;

| 21. | Calls on those Member States which have not yet done so to fully transpose and implement Directive 2011/36/EU of the European Parliament and of the Council on preventing and combating trafficking in human beings and protecting its victims, and to take appropriate measures to ensure that victims of trafficking in human beings are adequately assisted and protected, that traffickers are prosecuted and handed down effective, proportionate and dissuasive sanctions and that preventive measures are also put in place; |
| --- | --- |

21.

Calls on those Member States which have not yet done so to fully transpose and implement Directive 2011/36/EU of the European Parliament and of the Council on preventing and combating trafficking in human beings and protecting its victims, and to take appropriate measures to ensure that victims of trafficking in human beings are adequately assisted and protected, that traffickers are prosecuted and handed down effective, proportionate and dissuasive sanctions and that preventive measures are also put in place;

| 22. | Calls on the Member States to fully transpose Directive 2012/29/EU of the European Parliament and of the Council establishing minimum standards on the rights, support and protection of victims of crime, adopting appropriate measures to ensure adequate assistance and protection of victims of crime; |
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22.

Calls on the Member States to fully transpose Directive 2012/29/EU of the European Parliament and of the Council establishing minimum standards on the rights, support and protection of victims of crime, adopting appropriate measures to ensure adequate assistance and protection of victims of crime;

| 23. | Calls for respect for dignity at the end of life, notably by ensuring that decisions expressed in living wills are recognised and respected; |
| --- | --- |

23.

Calls for respect for dignity at the end of life, notably by ensuring that decisions expressed in living wills are recognised and respected;

| 24. | Recognises that sexual and reproductive health and rights (SRHR) are an essential element of human dignity, which need to be addressed in the broader context of structural discrimination and gender inequalities; calls on the Member States to safeguard SRHR through the FRA and the European Institute for Gender Equality (EIGE), not least by providing for reproductive health programmes and services, including the types of care and medicines essential for voluntary family planning and maternal and new-born health, and by maintaining vigilance on policies and/or legislation which may infringe upon sexual and reproductive health and rights; |
| --- | --- |

24.

Recognises that sexual and reproductive health and rights (SRHR) are an essential element of human dignity, which need to be addressed in the broader context of structural discrimination and gender inequalities; calls on the Member States to safeguard SRHR through the FRA and the European Institute for Gender Equality (EIGE), not least by providing for reproductive health programmes and services, including the types of care and medicines essential for voluntary family planning and maternal and new-born health, and by maintaining vigilance on policies and/or legislation which may infringe upon sexual and reproductive health and rights;

Freedoms

| 25. | Stresses that democracy and the rule of law are based on respect for fundamental rights and freedoms and that any action or measure against terrorism or organised crime, and international cooperation with this aim, must not breach European fundamental rights standards but must strictly comply with them, notably in relation to the presumption of innocence, due process, rights of the defence, protection of privacy and personal data, etc.; underlines the need for stronger democratic scrutiny, and protection of and respect for fundamental rights in the context of cross-border cooperation in these fields, in particular in the light of ever greater collection and use by authorities of personal data; calls, therefore, for measures to be taken to guarantee privacy and the protection of personal data in this field; |
| --- | --- |

25.

Stresses that democracy and the rule of law are based on respect for fundamental rights and freedoms and that any action or measure against terrorism or organised crime, and international cooperation with this aim, must not breach European fundamental rights standards but must strictly comply with them, notably in relation to the presumption of innocence, due process, rights of the defence, protection of privacy and personal data, etc.; underlines the need for stronger democratic scrutiny, and protection of and respect for fundamental rights in the context of cross-border cooperation in these fields, in particular in the light of ever greater collection and use by authorities of personal data; calls, therefore, for measures to be taken to guarantee privacy and the protection of personal data in this field;

| 26. | Criticises the fact that the Internal Security Strategy (ISS) focuses on security to the detriment of civil liberties, fundamental rights and the adoption of preventive measures; deplores the widening gulf between stated objectives and the way policies are actually implemented; believes that Parliament should play a decisive role in the evaluation and framing of internal security policies, given that they have serious consequences for the fundamental freedoms and rights of all persons residing in the Union, with a view to ensuring democratic monitoring and scrutiny of security policies, including intelligence activities, and, where necessary, the revision of those policies in order to safeguard human rights and fundamental freedoms; |
| --- | --- |

26.

Criticises the fact that the Internal Security Strategy (ISS) focuses on security to the detriment of civil liberties, fundamental rights and the adoption of preventive measures; deplores the widening gulf between stated objectives and the way policies are actually implemented; believes that Parliament should play a decisive role in the evaluation and framing of internal security policies, given that they have serious consequences for the fundamental freedoms and rights of all persons residing in the Union, with a view to ensuring democratic monitoring and scrutiny of security policies, including intelligence activities, and, where necessary, the revision of those policies in order to safeguard human rights and fundamental freedoms;

| 27. | Expresses its concern about the revelations concerning the flagrant breach of the right to private life and protection of personal data committed in the secret programmes of mass surveillance of European citizens, without case-by-case judicial authorisation and without appropriate parliamentary control, established by European and non-European states; condemns such practices and urges these states to end such infringements without delay; calls for full details of these programmes and possible international involvement in them to be disclosed, and for the programmes to be reviewed immediately; stresses that the EU and its Member States should take firm action against states which violate the fundamental right to privacy by spying on the communications of EU citizens and institutional, political and economic representatives and actors in Europe; is concerned at the fact that intelligence services have escaped democratic, parliamentary and judicial control, conducting secret programmes and operations without political approval; calls, consequently, for an urgent revision of mechanisms for the judicial and parliamentary oversight of secret services so as to ensure that intelligence services are anchored in democracy, the rule of law and fundamental rights, as required by Article 2 TEU; condemns the secret involvement of private undertakings in mass surveillance activities; stresses that the EU should react more forcefully and that it should call for measures to be taken at international level to ensure that European privacy and data protection rules are enforced and upheld, and should promote technologies that guarantee the confidentiality of communications in Europe; |
| --- | --- |

27.

Expresses its concern about the revelations concerning the flagrant breach of the right to private life and protection of personal data committed in the secret programmes of mass surveillance of European citizens, without case-by-case judicial authorisation and without appropriate parliamentary control, established by European and non-European states; condemns such practices and urges these states to end such infringements without delay; calls for full details of these programmes and possible international involvement in them to be disclosed, and for the programmes to be reviewed immediately; stresses that the EU and its Member States should take firm action against states which violate the fundamental right to privacy by spying on the communications of EU citizens and institutional, political and economic representatives and actors in Europe; is concerned at the fact that intelligence services have escaped democratic, parliamentary and judicial control, conducting secret programmes and operations without political approval; calls, consequently, for an urgent revision of mechanisms for the judicial and parliamentary oversight of secret services so as to ensure that intelligence services are anchored in democracy, the rule of law and fundamental rights, as required by Article 2 TEU; condemns the secret involvement of private undertakings in mass surveillance activities; stresses that the EU should react more forcefully and that it should call for measures to be taken at international level to ensure that European privacy and data protection rules are enforced and upheld, and should promote technologies that guarantee the confidentiality of communications in Europe;

| 28. | Deplores the fact that discussions on the adoption of a draft regulation and directive on the protection of personal data are stalling in the Council despite the fact that Parliament has expressed strong support for more stringent rules; regrets the decision taken by the European Council at its meeting of 24-25 October 2013 to complete the digital single market only by 2015, thereby delaying the adoption of the data protection package, and calls on the Council to move forward with the data protection directive and regulation negotiations in order to have the data protection package adopted before the end of this parliamentary term; |
| --- | --- |

28.

Deplores the fact that discussions on the adoption of a draft regulation and directive on the protection of personal data are stalling in the Council despite the fact that Parliament has expressed strong support for more stringent rules; regrets the decision taken by the European Council at its meeting of 24-25 October 2013 to complete the digital single market only by 2015, thereby delaying the adoption of the data protection package, and calls on the Council to move forward with the data protection directive and regulation negotiations in order to have the data protection package adopted before the end of this parliamentary term;

| 29. | Believes that the EU and its Member States should adopt a whistle-blower protection system for persons revealing serious violations of fundamental rights by intelligence services that have eluded all democratic, parliamentary and judicial scrutiny; |
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29.

Believes that the EU and its Member States should adopt a whistle-blower protection system for persons revealing serious violations of fundamental rights by intelligence services that have eluded all democratic, parliamentary and judicial scrutiny;

| 30. | Stresses that the rapid pace of change in the digital world (including increased use of the internet, applications and social networks) necessitates more effective protection of personal data and privacy in order to guarantee confidentiality; |
| --- | --- |

30.

Stresses that the rapid pace of change in the digital world (including increased use of the internet, applications and social networks) necessitates more effective protection of personal data and privacy in order to guarantee confidentiality;

| 31. | Welcomes the fact that a growing number of Member States are respecting the right to found a family through marriage, civil partnership or registered cohabitation and adoption, without discrimination on grounds of sexual orientation, and calls on the remaining Member States to do the same; welcomes the recent judgment by the European Court of Human Rights in the case of Vallianatos and others v. Greece affirming that same-sex couples must be able to enter into civil unions; calls on the Commission and all Member States to propose and adopt legislation and policies to combat homophobia, transphobia and hate crimes, and welcomes the publication of Opinion No 2/2013 of the FRA on the Framework Decision on Racism and Xenophobia — with special attention to the rights of victims of crime; calls on the Commission and all Member States to enforce the directive on freedom of movement without discrimination on grounds of sexual orientation; reiterates its call for the Commission to propose an ambitious regulation on the mutual recognition of the legal effects of civil status documents; |
| --- | --- |

31.

Welcomes the fact that a growing number of Member States are respecting the right to found a family through marriage, civil partnership or registered cohabitation and adoption, without discrimination on grounds of sexual orientation, and calls on the remaining Member States to do the same; welcomes the recent judgment by the European Court of Human Rights in the case of Vallianatos and others v. Greece affirming that same-sex couples must be able to enter into civil unions; calls on the Commission and all Member States to propose and adopt legislation and policies to combat homophobia, transphobia and hate crimes, and welcomes the publication of Opinion No 2/2013 of the FRA on the Framework Decision on Racism and Xenophobia — with special attention to the rights of victims of crime; calls on the Commission and all Member States to enforce the directive on freedom of movement without discrimination on grounds of sexual orientation; reiterates its call for the Commission to propose an ambitious regulation on the mutual recognition of the legal effects of civil status documents;

| 32. | Is extremely concerned about the number of suicides among young people who are the victims of homophobia; recalls the findings of the FRA‘s EU LGBT survey which showed that 26 % of all respondents had been attacked or threatened with violence at home or elsewhere, a figure which rises to 35 % among all transgender respondents, while 19 % of respondents felt discriminated against at work or when looking for a job, despite legal protection under EU law; calls on the Commission, therefore, to use these findings as a basis for a comprehensive European response to the fundamental rights problems of LGBT persons, in the shape of an EU roadmap for equality on grounds of sexual orientation and gender identity, as repeatedly called for by Parliament and NGOs; |
| --- | --- |

32.

Is extremely concerned about the number of suicides among young people who are the victims of homophobia; recalls the findings of the FRA‘s EU LGBT survey which showed that 26 % of all respondents had been attacked or threatened with violence at home or elsewhere, a figure which rises to 35 % among all transgender respondents, while 19 % of respondents felt discriminated against at work or when looking for a job, despite legal protection under EU law; calls on the Commission, therefore, to use these findings as a basis for a comprehensive European response to the fundamental rights problems of LGBT persons, in the shape of an EU roadmap for equality on grounds of sexual orientation and gender identity, as repeatedly called for by Parliament and NGOs;

| 33. | Regrets the fact that legal gender recognition procedures for transgender people still include compulsory sterilisation in 14 Member States; calls on the Member States to review these procedures so that they fully respect transgender people‘s right to dignity and bodily integrity; congratulates the Commission on its commitment to working within the World Health Organisation to withdraw gender identity disorders from the list of mental and behavioural disorders and ensure a non-pathologising reclassification in the negotiations on the 11th version of the International Classification of Diseases (ICD-11); |
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33.

Regrets the fact that legal gender recognition procedures for transgender people still include compulsory sterilisation in 14 Member States; calls on the Member States to review these procedures so that they fully respect transgender people‘s right to dignity and bodily integrity; congratulates the Commission on its commitment to working within the World Health Organisation to withdraw gender identity disorders from the list of mental and behavioural disorders and ensure a non-pathologising reclassification in the negotiations on the 11th version of the International Classification of Diseases (ICD-11);

| 34. | Recognises freedom of thought, conscience, religion, belief and non-belief, and freedom to practise the religion of one‘s choice and to change religion; condemns any form of discrimination or intolerance, and believes that secularism defined as the strict separation between non-confessional political authorities and religious authorities, as well as the impartiality of the State, are the best means of guaranteeing non-discrimination and equality between religions and between believers and non-believers; calls on the Member States to protect freedom of religion or belief, including the freedom of those without a religion not to suffer discrimination as a result of excessive exemptions for religions from laws on equality and non-discrimination; |
| --- | --- |

34.

Recognises freedom of thought, conscience, religion, belief and non-belief, and freedom to practise the religion of one‘s choice and to change religion; condemns any form of discrimination or intolerance, and believes that secularism defined as the strict separation between non-confessional political authorities and religious authorities, as well as the impartiality of the State, are the best means of guaranteeing non-discrimination and equality between religions and between believers and non-believers; calls on the Member States to protect freedom of religion or belief, including the freedom of those without a religion not to suffer discrimination as a result of excessive exemptions for religions from laws on equality and non-discrimination;

| 35. | Recalls that national laws that criminalise blasphemy restrict freedom of expression concerning religious or other beliefs, that they are often applied to persecute, mistreat, or intimidate persons belonging to religious or other minorities, and that they can have a serious inhibiting effect on freedom of expression and on freedom of religion or belief; recommends that the Member States decriminalise such offences; |
| --- | --- |

35.

Recalls that national laws that criminalise blasphemy restrict freedom of expression concerning religious or other beliefs, that they are often applied to persecute, mistreat, or intimidate persons belonging to religious or other minorities, and that they can have a serious inhibiting effect on freedom of expression and on freedom of religion or belief; recommends that the Member States decriminalise such offences;

| 36. | Regrets the fact that young people in some Member States are still being prosecuted and sentenced to imprisonment because the right to conscientious objection to military service is still not adequately recognised, and calls on the Member States to stop the persecution of and discrimination against conscientious objectors; |
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36.

Regrets the fact that young people in some Member States are still being prosecuted and sentenced to imprisonment because the right to conscientious objection to military service is still not adequately recognised, and calls on the Member States to stop the persecution of and discrimination against conscientious objectors;

| 37. | Recalls that freedom of expression, information and the media are fundamental with a view to ensuring democracy and the rule of law, and reiterates its call for the Commission to review and amend the audiovisual media services directive along the lines indicated by Parliament in its report on the subject; strongly condemns violence, pressure or threats against journalists and the media, including in relation to the disclosure of their sources and information about breaches of fundamental rights by governments and states; calls on the Union institutions and the Member States to respect, guarantee, protect and promote the fundamental right to freedom of expression and information, and hence to refrain from exerting or developing mechanisms to impede those freedoms; |
| --- | --- |

37.

Recalls that freedom of expression, information and the media are fundamental with a view to ensuring democracy and the rule of law, and reiterates its call for the Commission to review and amend the audiovisual media services directive along the lines indicated by Parliament in its report on the subject; strongly condemns violence, pressure or threats against journalists and the media, including in relation to the disclosure of their sources and information about breaches of fundamental rights by governments and states; calls on the Union institutions and the Member States to respect, guarantee, protect and promote the fundamental right to freedom of expression and information, and hence to refrain from exerting or developing mechanisms to impede those freedoms;

| 38. | Is concerned at the impact of the economic crisis in Europe on the ownership of media outlets and the prospect of privatisation of public service media in some Member States; calls on the Member States to safeguard the independence of public service media and comply with their institutional duty to safeguard media pluralism and provide high-quality, diversified, accurate and reliable information; believes that media ownership and management should always be transparent and not concentrated; stresses that transparency of media ownership is crucial for the monitoring of intra-EU media investments and non-European investors exerting an increasing influence in the information that is provided in Member States; |
| --- | --- |

38.

Is concerned at the impact of the economic crisis in Europe on the ownership of media outlets and the prospect of privatisation of public service media in some Member States; calls on the Member States to safeguard the independence of public service media and comply with their institutional duty to safeguard media pluralism and provide high-quality, diversified, accurate and reliable information; believes that media ownership and management should always be transparent and not concentrated; stresses that transparency of media ownership is crucial for the monitoring of intra-EU media investments and non-European investors exerting an increasing influence in the information that is provided in Member States;

| 39. | Stresses the importance of respecting and protecting the rights of refugees and migrants, and underlines the fact that special attention should be paid to women and children migrants; expresses its concern about the numerous breaches of the right to asylum and of the obligation to ensure protection in the event of removal, expulsion and extradition of any migrant; stresses the obligation to comply with international human rights conventions, particularly the UN Convention relating to the Status of Refugees and the principle of non-refoulement, and the obligation to come to the assistance of people at sea who are risking their lives to reach the EU, and to arrange for reception conditions and procedures which respect their dignity and fundamental rights; calls on the EU and the Member States to amend or review any legislation sanctioning people assisting migrants in distress at sea; calls on the Commission to review Council Directive 2002/90/EC defining the sanctions in case of facilitation of unauthorised entry, transit and residence in order to clarify that providing humanitarian assistance to migrants at sea who are in distress is to be welcomed and not an action which should ever lead to any form of sanctions; |
| --- | --- |

39.

Stresses the importance of respecting and protecting the rights of refugees and migrants, and underlines the fact that special attention should be paid to women and children migrants; expresses its concern about the numerous breaches of the right to asylum and of the obligation to ensure protection in the event of removal, expulsion and extradition of any migrant; stresses the obligation to comply with international human rights conventions, particularly the UN Convention relating to the Status of Refugees and the principle of non-refoulement, and the obligation to come to the assistance of people at sea who are risking their lives to reach the EU, and to arrange for reception conditions and procedures which respect their dignity and fundamental rights; calls on the EU and the Member States to amend or review any legislation sanctioning people assisting migrants in distress at sea; calls on the Commission to review Council Directive 2002/90/EC defining the sanctions in case of facilitation of unauthorised entry, transit and residence in order to clarify that providing humanitarian assistance to migrants at sea who are in distress is to be welcomed and not an action which should ever lead to any form of sanctions;

| 40. | Welcomes the completion of the Common European Asylum System (CEAS) and calls on the Member States to make the necessary legislative and administrative reforms to effectively implement it so as to ensure that the CEAS is fully established as planned, provides better access to the asylum procedure for those who seek protection, leads to fairer, quicker and better-quality asylum decisions and provides dignified and decent conditions both for those who apply for asylum and those who are granted international protection within the EU; deplores, however, the fact that children can still be placed in detention and calls for them to be systematically excluded from accelerated procedures; reiterates its call for the Commission to draw up strategic guidelines based on best practices to establish common minimum standards for the reception and protection of unaccompanied children; underlines the fact that procedural safeguards must be adequate and appropriate; calls for the application of the recent ECJ judgment stating that LGBT applicants for asylum can constitute a particular social group who are liable to be persecuted on account of their sexual orientation and that the existence of a term of imprisonment in the country of origin sanctioning homosexual acts may constitute an act of persecution per se; |
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40.

Welcomes the completion of the Common European Asylum System (CEAS) and calls on the Member States to make the necessary legislative and administrative reforms to effectively implement it so as to ensure that the CEAS is fully established as planned, provides better access to the asylum procedure for those who seek protection, leads to fairer, quicker and better-quality asylum decisions and provides dignified and decent conditions both for those who apply for asylum and those who are granted international protection within the EU; deplores, however, the fact that children can still be placed in detention and calls for them to be systematically excluded from accelerated procedures; reiterates its call for the Commission to draw up strategic guidelines based on best practices to establish common minimum standards for the reception and protection of unaccompanied children; underlines the fact that procedural safeguards must be adequate and appropriate; calls for the application of the recent ECJ judgment stating that LGBT applicants for asylum can constitute a particular social group who are liable to be persecuted on account of their sexual orientation and that the existence of a term of imprisonment in the country of origin sanctioning homosexual acts may constitute an act of persecution per se;

| 41. | Condemns the fact that a large number of migrants continue to die at sea attempting to reach the EU despite the many and varied technical means provided by the Member States and the EU for the surveillance and control of the EU's external borders; demands that the EU and its Member States implement the recommendations made in the resolution adopted by the Parliamentary Assembly of the Council of Europe on 24 April 2012, entitled ‘Lives lost in the Mediterranean Sea: who is responsible?’ (30); welcomes the decision of the Court of Justice which annulled Council Decision 2010/252/EU; |
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41.

Condemns the fact that a large number of migrants continue to die at sea attempting to reach the EU despite the many and varied technical means provided by the Member States and the EU for the surveillance and control of the EU's external borders; demands that the EU and its Member States implement the recommendations made in the resolution adopted by the Parliamentary Assembly of the Council of Europe on 24 April 2012, entitled ‘Lives lost in the Mediterranean Sea: who is responsible?’ (30); welcomes the decision of the Court of Justice which annulled Council Decision 2010/252/EU;

| 42. | Stresses the vulnerability of persons crossing Europe‘s southern sea borders, calls for a viable solution of the overall issue of immigration in the Mediterranean fully respecting the principle of non-refoulement and calls for the Member States and EU institutions to take into account, as an absolute minimum, the recent opinions of the FRA on how best to protect the fundamental rights of migrants in the context of maritime surveillance; |
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42.

Stresses the vulnerability of persons crossing Europe‘s southern sea borders, calls for a viable solution of the overall issue of immigration in the Mediterranean fully respecting the principle of non-refoulement and calls for the Member States and EU institutions to take into account, as an absolute minimum, the recent opinions of the FRA on how best to protect the fundamental rights of migrants in the context of maritime surveillance;

| 43. | Welcomes the handbook on European law relating to asylum, borders and immigration produced by the FRA together with the European Court of Human Rights as a concrete contribution assisting legal practitioners in Europe in upholding fundamental and human rights; |
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43.

Welcomes the handbook on European law relating to asylum, borders and immigration produced by the FRA together with the European Court of Human Rights as a concrete contribution assisting legal practitioners in Europe in upholding fundamental and human rights;

| 44. | Calls on the Member States and the Council to speed up the work of the Task Force Mediterranean in order to ensure a significant expansion of rescue capacity at sea and launch a comprehensive plan on migration and asylum, based on solidarity and responsibility sharing, focusing on all relevant aspects such as the revision of EU and Member State laws allowing the criminalisation of humanitarian assistance to persons in distress at sea, the development of safe and legal routes for refugees and migrants to Europe and development cooperation with third countries with a view to strengthening democracy, fundamental rights and the rule of law in order to ensure that tragedies such as those which have occurred off Lampedusa do not happen again; |
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44.

Calls on the Member States and the Council to speed up the work of the Task Force Mediterranean in order to ensure a significant expansion of rescue capacity at sea and launch a comprehensive plan on migration and asylum, based on solidarity and responsibility sharing, focusing on all relevant aspects such as the revision of EU and Member State laws allowing the criminalisation of humanitarian assistance to persons in distress at sea, the development of safe and legal routes for refugees and migrants to Europe and development cooperation with third countries with a view to strengthening democracy, fundamental rights and the rule of law in order to ensure that tragedies such as those which have occurred off Lampedusa do not happen again;

| 45. | Condemns the increasingly frequent violations of migrants' fundamental rights, particularly where they are deported to non-EU countries as highlighted by the UN Special Rapporteur on the human rights of migrants in his special report published on 24 April 2013 (31) and by the FRA report (32); stresses, in this connection, the need for the Return Directive, the readmission agreements and the work of Frontex to be genuinely appraised in terms of their respect for fundamental rights; calls on the Commission to provide a tangible follow-up to its 2011 report criticising the EU‘s readmission measures and agreements with non-EU countries; condemns the restrictive policies of Member States with regard to issuing visas to nationals of some specific non-EU countries; |
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45.

Condemns the increasingly frequent violations of migrants' fundamental rights, particularly where they are deported to non-EU countries as highlighted by the UN Special Rapporteur on the human rights of migrants in his special report published on 24 April 2013 (31) and by the FRA report (32); stresses, in this connection, the need for the Return Directive, the readmission agreements and the work of Frontex to be genuinely appraised in terms of their respect for fundamental rights; calls on the Commission to provide a tangible follow-up to its 2011 report criticising the EU‘s readmission measures and agreements with non-EU countries; condemns the restrictive policies of Member States with regard to issuing visas to nationals of some specific non-EU countries;

| 46. | Calls on the Member States to adopt policies encouraging legal migration and to ratify the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families; |
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46.

Calls on the Member States to adopt policies encouraging legal migration and to ratify the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families;

Equality

| 47. | Stresses that the principles of human dignity, equality before the law and the prohibition of discrimination on any grounds are among the foundations of democratic society; considers that the Union and the Member States should step up their measures to promote equality, combat discrimination and protect cultural, religious and linguistic diversity, and their measures relating to gender equality, the rights of the child, the rights of older persons, the rights of persons with disabilities, the rights of LGBT persons and the rights of persons belonging to national minorities; |
| --- | --- |

47.

Stresses that the principles of human dignity, equality before the law and the prohibition of discrimination on any grounds are among the foundations of democratic society; considers that the Union and the Member States should step up their measures to promote equality, combat discrimination and protect cultural, religious and linguistic diversity, and their measures relating to gender equality, the rights of the child, the rights of older persons, the rights of persons with disabilities, the rights of LGBT persons and the rights of persons belonging to national minorities;

| 48. | Calls on the Member States to adopt a national legislative framework to address all forms of discrimination and guarantee the effective implementation of the existing EU legal framework, including by launching infringement proceedings; deplores the deadlock in the Council negotiations on the proposal for a directive on implementing the principle of equal treatment between persons irrespective of religion or belief, disability, age and sexual orientation and reiterates yet again its call for the Council to adopt the proposal; welcomes the position taken by the Lithuanian Council Presidency to back the proposal and calls on other Member States to follow this example; welcomes, in this connection, the FRA’s Opinion 1/2013 on the situation of equality in the European Union 10 years on from initial implementation of the equality directives; considers that discrimination on linguistic grounds should also be tackled; |
| --- | --- |

48.

Calls on the Member States to adopt a national legislative framework to address all forms of discrimination and guarantee the effective implementation of the existing EU legal framework, including by launching infringement proceedings; deplores the deadlock in the Council negotiations on the proposal for a directive on implementing the principle of equal treatment between persons irrespective of religion or belief, disability, age and sexual orientation and reiterates yet again its call for the Council to adopt the proposal; welcomes the position taken by the Lithuanian Council Presidency to back the proposal and calls on other Member States to follow this example; welcomes, in this connection, the FRA’s Opinion 1/2013 on the situation of equality in the European Union 10 years on from initial implementation of the equality directives; considers that discrimination on linguistic grounds should also be tackled;

| 49. | Recalls its resolution of 25 October 2011 on mobility and inclusion of people with disabilities and the European Disability Strategy 2010-2020 (33), calling for full respect for the Charter of Fundamental Rights of the European Union; |
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49.

Recalls its resolution of 25 October 2011 on mobility and inclusion of people with disabilities and the European Disability Strategy 2010-2020 (33), calling for full respect for the Charter of Fundamental Rights of the European Union;

| 50. | Expresses its concern at the fact that persons with disabilities continue to face discrimination and exclusion, which hinders their ability to enjoy their fundamental rights on an equal basis with others; calls on the EU institutions and EU Member States to continue implementing the United Nations Convention on the Rights of Persons with Disabilities (CRPD) in their respective fields of competence; notes that the further development of EU law and policy in the area of non-discrimination could play a role in the process of harmonising legislation with the CRPD across the EU, for example regarding equality before the law; encourages the Member states to develop adequately resourced policies to better integrate persons with disabilities and facilitate their access to housing, education, labour market, public transport and facilities, and participation in the political process, notably by abolishing legal and practical discrimination and restrictions to their right to vote and stand for election; deplores the fact that certain persons with disabilities have no choice but to live in special homes, given the lack of community-based alternatives, and calls on the Member States to champion arrangements which enable more persons with disabilities to live independently; |
| --- | --- |

50.

Expresses its concern at the fact that persons with disabilities continue to face discrimination and exclusion, which hinders their ability to enjoy their fundamental rights on an equal basis with others; calls on the EU institutions and EU Member States to continue implementing the United Nations Convention on the Rights of Persons with Disabilities (CRPD) in their respective fields of competence; notes that the further development of EU law and policy in the area of non-discrimination could play a role in the process of harmonising legislation with the CRPD across the EU, for example regarding equality before the law; encourages the Member states to develop adequately resourced policies to better integrate persons with disabilities and facilitate their access to housing, education, labour market, public transport and facilities, and participation in the political process, notably by abolishing legal and practical discrimination and restrictions to their right to vote and stand for election; deplores the fact that certain persons with disabilities have no choice but to live in special homes, given the lack of community-based alternatives, and calls on the Member States to champion arrangements which enable more persons with disabilities to live independently;

| 51. | Calls on the Commission to carry out a comprehensive review of EU legislation and policies in order to assess their compliance with the UN Convention on the Rights of Persons with Disabilities; believes that EU legislative procedures and policy making should be adapted so as to ensure respect, and provide for the implementation, of the CRPD; calls on the Commission to adopt specific impact assessment guidelines to this end and to submit the draft EU progress report on the implementation of the CRPD in the EU to Parliament; believes that Parliament should hold regular debates and formulate recommendations through a resolution on the progress achieved in the enjoyment by persons with disabilities of their rights enshrined in the CRPD, including on the basis of the Commission report; supports the ongoing initiatives to set up a cross-committee task force in Parliament on the implementation of the CRPD in order to ensure that Parliament‘s actions in monitoring and supporting the implementation of the Convention are comprehensive and consistent; |
| --- | --- |

51.

Calls on the Commission to carry out a comprehensive review of EU legislation and policies in order to assess their compliance with the UN Convention on the Rights of Persons with Disabilities; believes that EU legislative procedures and policy making should be adapted so as to ensure respect, and provide for the implementation, of the CRPD; calls on the Commission to adopt specific impact assessment guidelines to this end and to submit the draft EU progress report on the implementation of the CRPD in the EU to Parliament; believes that Parliament should hold regular debates and formulate recommendations through a resolution on the progress achieved in the enjoyment by persons with disabilities of their rights enshrined in the CRPD, including on the basis of the Commission report; supports the ongoing initiatives to set up a cross-committee task force in Parliament on the implementation of the CRPD in order to ensure that Parliament‘s actions in monitoring and supporting the implementation of the Convention are comprehensive and consistent;

| 52. | Calls on the Member States and the Commission to protect, promote and enforce children’s rights in all internal and external actions and policies having an impact on them; expresses its concern about children who suffer violence and sexual exploitation and calls on the Member States to complete the transposition of Directive 2011/93/EU on combating the sexual abuse and sexual exploitation of children and child pornography; calls on the Member States, the Commission and the FRA to continue their efforts to assess the way in which children are treated during judicial proceedings; considers that, when parents separate or divorce, the best interests of the children should always be taken into consideration and that every child ought to be able to be in regular and direct contact with both parents; |
| --- | --- |

52.

Calls on the Member States and the Commission to protect, promote and enforce children’s rights in all internal and external actions and policies having an impact on them; expresses its concern about children who suffer violence and sexual exploitation and calls on the Member States to complete the transposition of Directive 2011/93/EU on combating the sexual abuse and sexual exploitation of children and child pornography; calls on the Member States, the Commission and the FRA to continue their efforts to assess the way in which children are treated during judicial proceedings; considers that, when parents separate or divorce, the best interests of the children should always be taken into consideration and that every child ought to be able to be in regular and direct contact with both parents;

| 53. | Expresses its concern about the situation of Roma in the EU and the numerous instances of persecution, violence, stigmatisation, discrimination, evictions, relocations and unlawful forced evictions, unlawful registration and ethnic profiling by law enforcement authorities, which are contrary to fundamental rights and European Union law; reiterates its position stated in its resolution of 12 December 2013 on the progress made in the implementation of the National Roma Integration Strategies (34) and calls once more for the effective implementation of strategies to foster real inclusion and for strengthened and pertinent action to promote integration, particularly in the field of fundamental rights, education, employment, housing and healthcare, and to combat violence, hate speech and discrimination of Roma; calls for an end to unlawful forced evictions, to the dismantling of settlements without alternative housing being provided, and to segregation of Roma children in schools and their illicit placement in special schools; calls on the Member States to make greater use of the EU funds placed at their disposal to implement integration projects in cooperation with local authorities, on the front line managing daily new arrivals on their territory; |
| --- | --- |

53.

Expresses its concern about the situation of Roma in the EU and the numerous instances of persecution, violence, stigmatisation, discrimination, evictions, relocations and unlawful forced evictions, unlawful registration and ethnic profiling by law enforcement authorities, which are contrary to fundamental rights and European Union law; reiterates its position stated in its resolution of 12 December 2013 on the progress made in the implementation of the National Roma Integration Strategies (34) and calls once more for the effective implementation of strategies to foster real inclusion and for strengthened and pertinent action to promote integration, particularly in the field of fundamental rights, education, employment, housing and healthcare, and to combat violence, hate speech and discrimination of Roma; calls for an end to unlawful forced evictions, to the dismantling of settlements without alternative housing being provided, and to segregation of Roma children in schools and their illicit placement in special schools; calls on the Member States to make greater use of the EU funds placed at their disposal to implement integration projects in cooperation with local authorities, on the front line managing daily new arrivals on their territory;

| 54. | Calls on the Commission and the Member States to provide an effective response to Roma exclusion by developing integrated policies and implementing the measures set out in the strategies focusing on anti-discrimination measures and measures aiming to increase their employability and access to the labour market in cooperation with representatives of the Roma population, while also ensuring their full participation in the management, monitoring and evaluation of projects affecting their communities, and to allocate sufficient budget resources to this end and ensure the efficiency of spending; calls also on the Commission and the FRA to present common, comparable and reliable indicators to monitor progress in Member States; |
| --- | --- |

54.

Calls on the Commission and the Member States to provide an effective response to Roma exclusion by developing integrated policies and implementing the measures set out in the strategies focusing on anti-discrimination measures and measures aiming to increase their employability and access to the labour market in cooperation with representatives of the Roma population, while also ensuring their full participation in the management, monitoring and evaluation of projects affecting their communities, and to allocate sufficient budget resources to this end and ensure the efficiency of spending; calls also on the Commission and the FRA to present common, comparable and reliable indicators to monitor progress in Member States;

| 55. | Believes that the Commission should take strong action in cases of violation of the fundamental rights of Roma in Member States, especially by opening infringement proceedings in the event of failure to allow them access to and the exercise of their economic and social rights, the right to freedom of movement and of residence, the right to equality and non-discrimination and the right to the protection of personal data; calls on the Commission to set up a monitoring mechanism on hate crime against Roma, and calls on the Commission and the Member States to address the lack of birth registration and birth certificates for Roma residing in the EU; reiterates its call for a targeted approach to the social inclusion of Roma women in order to avoid multiple discrimination; calls for the European Framework for National Roma Integration Strategies to be developed into a fully-fledged European Strategy; |
| --- | --- |

55.

Believes that the Commission should take strong action in cases of violation of the fundamental rights of Roma in Member States, especially by opening infringement proceedings in the event of failure to allow them access to and the exercise of their economic and social rights, the right to freedom of movement and of residence, the right to equality and non-discrimination and the right to the protection of personal data; calls on the Commission to set up a monitoring mechanism on hate crime against Roma, and calls on the Commission and the Member States to address the lack of birth registration and birth certificates for Roma residing in the EU; reiterates its call for a targeted approach to the social inclusion of Roma women in order to avoid multiple discrimination; calls for the European Framework for National Roma Integration Strategies to be developed into a fully-fledged European Strategy;

| 56. | Stresses that it is essential that the fundamental rights and freedoms of persons belonging to national or ethnic, religious or linguistic minorities are respected; expresses its concern at the fact that, in everyday life, people belonging to these minority communities encounter obstacles in justice, health and social services, as well as in education and culture, and that this undermines their rights and dignity as human beings and citizens of the Union and leads to situations in which they are treated as second-class citizens by the national authorities of their own Member States; considers that such minorities have specific needs that are different from those of other minority groups, that public policies should be more focused and that the Union itself must address these needs in a more appropriate way; |
| --- | --- |

56.

Stresses that it is essential that the fundamental rights and freedoms of persons belonging to national or ethnic, religious or linguistic minorities are respected; expresses its concern at the fact that, in everyday life, people belonging to these minority communities encounter obstacles in justice, health and social services, as well as in education and culture, and that this undermines their rights and dignity as human beings and citizens of the Union and leads to situations in which they are treated as second-class citizens by the national authorities of their own Member States; considers that such minorities have specific needs that are different from those of other minority groups, that public policies should be more focused and that the Union itself must address these needs in a more appropriate way;

| 57. | Considers that no single solution exists for improving the situation of such minorities in all the Member States, but that some common and minimum objectives for public authorities in the EU should be developed, taking account the relevant international legal standards and existing good practices; calls on the Member States to ensure that their legal systems guarantee that persons belonging to a recognised national minority will not be discriminated against, and to adopt adequate measures to promote effective equality, based on the relevant international norms and good practice, inter alia the Council of Europe Framework Convention for the Protection of National Minorities; calls on the Commission to establish a policy standard for the protection of national minorities, including indigenous, traditional ethnic and linguistic minority communities, bearing in mind that they comprise more than 10 % of the total population of the EU, in order to avoid applying double standards that differentiate between candidate countries and Member States; stresses the need for a comprehensive EU protection system for traditional national minorities, regional linguistic groups and constitutional regions accompanied by a functioning monitoring mechanism, following the example of the EU Framework for National Roma Integration Strategies; calls on the Member States to provide comprehensive data on violations of the fundamental rights of minorities, so as to allow the FRA and the EU to ensure data collection and reporting; |
| --- | --- |

57.

Considers that no single solution exists for improving the situation of such minorities in all the Member States, but that some common and minimum objectives for public authorities in the EU should be developed, taking account the relevant international legal standards and existing good practices; calls on the Member States to ensure that their legal systems guarantee that persons belonging to a recognised national minority will not be discriminated against, and to adopt adequate measures to promote effective equality, based on the relevant international norms and good practice, inter alia the Council of Europe Framework Convention for the Protection of National Minorities; calls on the Commission to establish a policy standard for the protection of national minorities, including indigenous, traditional ethnic and linguistic minority communities, bearing in mind that they comprise more than 10 % of the total population of the EU, in order to avoid applying double standards that differentiate between candidate countries and Member States; stresses the need for a comprehensive EU protection system for traditional national minorities, regional linguistic groups and constitutional regions accompanied by a functioning monitoring mechanism, following the example of the EU Framework for National Roma Integration Strategies; calls on the Member States to provide comprehensive data on violations of the fundamental rights of minorities, so as to allow the FRA and the EU to ensure data collection and reporting;

| 58. | Points out that positive measures implemented for the purpose of protecting minority persons and groups, fostering their appropriate development and ensuring that they are granted equal rights and treatment with respect to the rest of the population in the administrative, political, economic, social and cultural fields and in other spheres should not be considered as discrimination; |
| --- | --- |

58.

Points out that positive measures implemented for the purpose of protecting minority persons and groups, fostering their appropriate development and ensuring that they are granted equal rights and treatment with respect to the rest of the population in the administrative, political, economic, social and cultural fields and in other spheres should not be considered as discrimination;

| 59. | Condemns racist, anti-Semitic, homophobic/transphobic and xenophobic violence and violence against migrants, religious minorities and ethnic groups, which have reached alarming levels, in particular on the internet, in the absence of strong action by the authorities to combat these types of violence; calls on the Member States to implement Council Framework Decision 2008/913/JHA on combating certain forms and expressions of racism and xenophobia by means of criminal law, to address discrimination, to ensure that hate speech and hate crimes are investigated, to adopt criminal legislation prohibiting incitement to hatred on any grounds including sexual orientation, and to ensure that there is effective protection against racism, anti-Semitism, anti-gypsyism, xenophobia and homophobia and that victims are offered proper assistance; calls on the Commission to launch infringement proceedings against Member States that fail to implement the framework decision correctly from 1 December 2014; calls for the revision of the framework decision to ensure that it also covers hate speech and acts of anti-Semitism, Islamophobia and religious intolerance, anti-Gypsyism, homophobia and transphobia, and strengthen its application; fully supports the initiative launched under the Irish Presidency of the Council to strengthen the fight against intolerance and calls the Council to continue such constructive work; |
| --- | --- |

59.

Condemns racist, anti-Semitic, homophobic/transphobic and xenophobic violence and violence against migrants, religious minorities and ethnic groups, which have reached alarming levels, in particular on the internet, in the absence of strong action by the authorities to combat these types of violence; calls on the Member States to implement Council Framework Decision 2008/913/JHA on combating certain forms and expressions of racism and xenophobia by means of criminal law, to address discrimination, to ensure that hate speech and hate crimes are investigated, to adopt criminal legislation prohibiting incitement to hatred on any grounds including sexual orientation, and to ensure that there is effective protection against racism, anti-Semitism, anti-gypsyism, xenophobia and homophobia and that victims are offered proper assistance; calls on the Commission to launch infringement proceedings against Member States that fail to implement the framework decision correctly from 1 December 2014; calls for the revision of the framework decision to ensure that it also covers hate speech and acts of anti-Semitism, Islamophobia and religious intolerance, anti-Gypsyism, homophobia and transphobia, and strengthen its application; fully supports the initiative launched under the Irish Presidency of the Council to strengthen the fight against intolerance and calls the Council to continue such constructive work;

| 60. | Calls on the Commission and the Member States to launch a coordinated and comprehensive action to combat and prevent hate crime systematically in the EU and to make hate crime visible through data, ensuring that such data is comparable so as to allow an EU overview of the situation, by working together with the FRA to improve hate crime data collection and harmonisation; condemns hate speech stigmatising groups of people on account of their social, cultural, religious or foreign origins and incitement to racial hatred, notably when made by public figures; points to FRA Opinion 2/2013 on the Framework Decision on Racism and Xenophobia and stresses the need to ensure respect for the rights of victims of crime, and in particular in cases of hate crime; |
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60.

Calls on the Commission and the Member States to launch a coordinated and comprehensive action to combat and prevent hate crime systematically in the EU and to make hate crime visible through data, ensuring that such data is comparable so as to allow an EU overview of the situation, by working together with the FRA to improve hate crime data collection and harmonisation; condemns hate speech stigmatising groups of people on account of their social, cultural, religious or foreign origins and incitement to racial hatred, notably when made by public figures; points to FRA Opinion 2/2013 on the Framework Decision on Racism and Xenophobia and stresses the need to ensure respect for the rights of victims of crime, and in particular in cases of hate crime;

| 61. | Calls on the Member States, recognising that education is vital in the fight against discrimination, to ensure that their integration strategies focus on reforming national curriculums to include xenophobia, racism and anti-gypsyism within syllabuses and to establish this as a form of discrimination in public discourse from a young age; |
| --- | --- |

61.

Calls on the Member States, recognising that education is vital in the fight against discrimination, to ensure that their integration strategies focus on reforming national curriculums to include xenophobia, racism and anti-gypsyism within syllabuses and to establish this as a form of discrimination in public discourse from a young age;

| 62. | Urges the EU and the Member States to:






  — | ensure equality between women and men and prevent, combat and prosecute all forms of violence against women as a fundamental rights violation, while ensuring support and protection for victims; |
| --- | --- | --- |

62.

Urges the EU and the Member States to:

—

ensure equality between women and men and prevent, combat and prosecute all forms of violence against women as a fundamental rights violation, while ensuring support and protection for victims;

| — | sign and ratify the Council of Europe Convention on preventing and combating violence against women and domestic violence (Istanbul Convention), and set up a data collection system to support the parties to the Convention by providing accurate and comparable data on the extent, forms and consequences of violence against women; |
| --- | --- |

—

sign and ratify the Council of Europe Convention on preventing and combating violence against women and domestic violence (Istanbul Convention), and set up a data collection system to support the parties to the Convention by providing accurate and comparable data on the extent, forms and consequences of violence against women;

| — | step up their efforts to achieve the objectives of the European Pact for Equality between women and men (2011-2020), and to take adequate measures to tackle all forms of direct and indirect discrimination against women, in particular the gender pay gap, occupational segregation, stereotyping, and all forms of violence against women, since women continue to suffer multiple discrimination in various areas of everyday life in spite of the legislation in force on combating discrimination; |
| --- | --- |

—

step up their efforts to achieve the objectives of the European Pact for Equality between women and men (2011-2020), and to take adequate measures to tackle all forms of direct and indirect discrimination against women, in particular the gender pay gap, occupational segregation, stereotyping, and all forms of violence against women, since women continue to suffer multiple discrimination in various areas of everyday life in spite of the legislation in force on combating discrimination;

| — | promote gender equality education, gender mainstreaming and sufficient monitoring mechanisms for the implementation of EU gender policy; |
| --- | --- |

—

promote gender equality education, gender mainstreaming and sufficient monitoring mechanisms for the implementation of EU gender policy;

| — | step up their efforts to combat human trafficking, in a bid to end sexual exploitation which affects women in particular, and forced labour; |
| --- | --- |

—

step up their efforts to combat human trafficking, in a bid to end sexual exploitation which affects women in particular, and forced labour;

| — | ensure the proper implementation of the existing gender equality directives including by initiating infringement proceedings; |
| --- | --- |

—

ensure the proper implementation of the existing gender equality directives including by initiating infringement proceedings;

| — | bring forward a European strategy on combating violence against women which will follow on from its previous commitments in this field and will meet the many demands made by Parliament; welcomes, in this connection, the Commission’s ‘Zero tolerance of violence against women’; calls, however, for more action, including an EU-wide strategy to end violence against women, as announced in the Council conclusions of March 2010, comprising legally binding instruments and awareness-raising actions; |
| --- | --- |

—

bring forward a European strategy on combating violence against women which will follow on from its previous commitments in this field and will meet the many demands made by Parliament; welcomes, in this connection, the Commission’s ‘Zero tolerance of violence against women’; calls, however, for more action, including an EU-wide strategy to end violence against women, as announced in the Council conclusions of March 2010, comprising legally binding instruments and awareness-raising actions;

| — | keep the issue of violence against women — including violence in close relationships, sexual violence (rape, sexual assault and harassment), sexual exploitation and harmful traditional practices, such as forced marriage and ‘honour crimes’ — high on the agenda as gender-based violence is both a consequence of the inequalities between women and men and an obstacle to equality and. Therefore, should not be tolerated; |
| --- | --- |

—

keep the issue of violence against women — including violence in close relationships, sexual violence (rape, sexual assault and harassment), sexual exploitation and harmful traditional practices, such as forced marriage and ‘honour crimes’ — high on the agenda as gender-based violence is both a consequence of the inequalities between women and men and an obstacle to equality and. Therefore, should not be tolerated;

| — | apply a zero tolerance policy to female genital mutilation; |
| --- | --- |

—

apply a zero tolerance policy to female genital mutilation;

| — | take measures and launch projects for better reconciliation of family and working life for all generations of women, welcoming the decision to declare 2014 as the European Year of Work and Family Life Balance; |
| --- | --- |

—

take measures and launch projects for better reconciliation of family and working life for all generations of women, welcoming the decision to declare 2014 as the European Year of Work and Family Life Balance;

| 63. | Calls on the Commission and the Member States to take account of women’s needs and concerns by, inter alia, collaborating with civil society and women’s NGOs, when drawing up legislation and analysing the situation of fundamental rights in the EU; stresses the importance of monitoring and evaluating the implementation of European legislation relating to gender equality in Member States; |
| --- | --- |

63.

Calls on the Commission and the Member States to take account of women’s needs and concerns by, inter alia, collaborating with civil society and women’s NGOs, when drawing up legislation and analysing the situation of fundamental rights in the EU; stresses the importance of monitoring and evaluating the implementation of European legislation relating to gender equality in Member States;

| 64. | Calls on the Member States to guarantee decent wages and pensions, reduce the gender pay gap and create more high-quality jobs for women, and to enable women to benefit from high-standard public services and improve welfare provisions; |
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64.

Calls on the Member States to guarantee decent wages and pensions, reduce the gender pay gap and create more high-quality jobs for women, and to enable women to benefit from high-standard public services and improve welfare provisions;

| 65. | Calls on the Member States to take action to combat the economic and social causes that foster violence against women, such as unemployment, low wages and pensions, housing shortages, poverty, and non-existent or inadequate public services, in particular public health, education and social security services; |
| --- | --- |

65.

Calls on the Member States to take action to combat the economic and social causes that foster violence against women, such as unemployment, low wages and pensions, housing shortages, poverty, and non-existent or inadequate public services, in particular public health, education and social security services;

| 66. | Calls on the Commission to step up its efforts against the violation of the fundamental rights of young girls, specifically against that industry which perceives young girls as sexual objects and which triggers an increase in sexual trafficking in young girls within the EU; |
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66.

Calls on the Commission to step up its efforts against the violation of the fundamental rights of young girls, specifically against that industry which perceives young girls as sexual objects and which triggers an increase in sexual trafficking in young girls within the EU;

| 67. | Calls on the Member States to ensure the implementation of national strategies concerning respect for and the safeguarding of women’s sexual and reproductive health and rights (SRHRs); insists on the role of the Union in awareness-raising and promoting best practices on this issue, given that health is a fundamental human right essential for the exercise of other human rights; |
| --- | --- |

67.

Calls on the Member States to ensure the implementation of national strategies concerning respect for and the safeguarding of women’s sexual and reproductive health and rights (SRHRs); insists on the role of the Union in awareness-raising and promoting best practices on this issue, given that health is a fundamental human right essential for the exercise of other human rights;

| 68. | Invites the Commission to put forward a proposal for a legal framework on the issue of multiple and intersectional discrimination; |
| --- | --- |

68.

Invites the Commission to put forward a proposal for a legal framework on the issue of multiple and intersectional discrimination;

| 69. | Considers that women’s underrepresentation in political and business decision-making constitutes a deficit; calls, therefore, on Member States to introduce positive discrimination measures such as legislation for parity systems and gender quotas; |
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69.

Considers that women’s underrepresentation in political and business decision-making constitutes a deficit; calls, therefore, on Member States to introduce positive discrimination measures such as legislation for parity systems and gender quotas;

| 70. | Stresses the fact that progress in narrowing the gender pay gap is extremely slow; points out that the implementation of the principle of equal pay for the same work and for work of equal value is crucial to achieve gender equality; urges the Commission to revise without delay Directive 2006/54/EC and to propose amendments thereto in accordance with Article 32 of the directive and on the basis of Article 157 TFEU, following the detailed recommendations set out in the annex to Parliament’s resolution of 24 May 2012; |
| --- | --- |

70.

Stresses the fact that progress in narrowing the gender pay gap is extremely slow; points out that the implementation of the principle of equal pay for the same work and for work of equal value is crucial to achieve gender equality; urges the Commission to revise without delay Directive 2006/54/EC and to propose amendments thereto in accordance with Article 32 of the directive and on the basis of Article 157 TFEU, following the detailed recommendations set out in the annex to Parliament’s resolution of 24 May 2012;

| 71. | Stresses the fact that cutbacks in public services providing childcare have a direct impact on the economic independence of women; points out that in 2010 28,3 % of women’s inactivity and participation in part-time work was explained by a lack of care services, compared with 27,9 % in 2009; points out also that, in 2010, the employment rate of women with young children in the EU was 12,7 % lower than that of women without children, an increase from 11,5 % in 2008; |
| --- | --- |

71.

Stresses the fact that cutbacks in public services providing childcare have a direct impact on the economic independence of women; points out that in 2010 28,3 % of women’s inactivity and participation in part-time work was explained by a lack of care services, compared with 27,9 % in 2009; points out also that, in 2010, the employment rate of women with young children in the EU was 12,7 % lower than that of women without children, an increase from 11,5 % in 2008;

| 72. | Deplores the fact that the fundamental rights of older women are too often violated, including a high number of cases of violence, physical abuse, emotional abuse and financial abuse in several Member States; calls on the Commission and the Member States to take further action to protect elderly women from all forms of abuse, including ill-treatment in care homes for the elderly; |
| --- | --- |

72.

Deplores the fact that the fundamental rights of older women are too often violated, including a high number of cases of violence, physical abuse, emotional abuse and financial abuse in several Member States; calls on the Commission and the Member States to take further action to protect elderly women from all forms of abuse, including ill-treatment in care homes for the elderly;

| 73. | Considers that women with disabilities suffer from double discrimination as a result of their gender and their disability; calls, therefore, on the Commission and the Member States to take measures to safeguard and protect the fundamental rights of disabled women in the EU; |
| --- | --- |

73.

Considers that women with disabilities suffer from double discrimination as a result of their gender and their disability; calls, therefore, on the Commission and the Member States to take measures to safeguard and protect the fundamental rights of disabled women in the EU;

| 74. | Calls for a stronger commitment by the Commission and the Member States to ending the sexist stereotypes conveyed in the media, and in particular advertising, given the crucial role they may play in transforming the way in which male and female roles are generally portrayed; |
| --- | --- |

74.

Calls for a stronger commitment by the Commission and the Member States to ending the sexist stereotypes conveyed in the media, and in particular advertising, given the crucial role they may play in transforming the way in which male and female roles are generally portrayed;

| 75. | Calls on the Commission and the Member States to increase citizens’ awareness and knowledge about all their rights enshrined in the Charter and to encourage participative democracy by maintaining a continuous dialogue with civil society, relevant NGOs and women‘s organisations; calls on women’s organisations in particular to share their invaluable expertise regarding persisting stereotypes and discrimination as women have always been the most vulnerable victims; |
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75.

Calls on the Commission and the Member States to increase citizens’ awareness and knowledge about all their rights enshrined in the Charter and to encourage participative democracy by maintaining a continuous dialogue with civil society, relevant NGOs and women‘s organisations; calls on women’s organisations in particular to share their invaluable expertise regarding persisting stereotypes and discrimination as women have always been the most vulnerable victims;

| 76. | Calls for greater involvement of EU institutions and improved multi-stakeholder dialogue on the challenges which older people face in the full application of their human rights; |
| --- | --- |

76.

Calls for greater involvement of EU institutions and improved multi-stakeholder dialogue on the challenges which older people face in the full application of their human rights;

Solidarity

| 77. | Stresses that the financial and economic crisis and the measures taken to tackle it have had a greater impact on the poorest and most deprived sections of the population, often affecting them very seriously, as reflected in the issue paper by the Council of Europe’s Commissioner for Human Rights entitled ‘Safeguarding human rights in times of economic crisis’, in which reference is made to groups at risk of social marginalisation such as migrants, asylum seekers, Roma, women and children; points out that in 2012 a quarter of the population in EU 28 was at risk of poverty or social exclusion; calls for particular attention to be paid and appropriate, more incisive and effective measures to be taken to remedy this situation and fight inequalities and poverty; condemns remarks by politicians which aim to make scapegoats of these groups; expresses its concern at the fact that economic and social crises put fundamental rights, the rule of law and democratic values under strain, at both national and supranational level; |
| --- | --- |

77.

Stresses that the financial and economic crisis and the measures taken to tackle it have had a greater impact on the poorest and most deprived sections of the population, often affecting them very seriously, as reflected in the issue paper by the Council of Europe’s Commissioner for Human Rights entitled ‘Safeguarding human rights in times of economic crisis’, in which reference is made to groups at risk of social marginalisation such as migrants, asylum seekers, Roma, women and children; points out that in 2012 a quarter of the population in EU 28 was at risk of poverty or social exclusion; calls for particular attention to be paid and appropriate, more incisive and effective measures to be taken to remedy this situation and fight inequalities and poverty; condemns remarks by politicians which aim to make scapegoats of these groups; expresses its concern at the fact that economic and social crises put fundamental rights, the rule of law and democratic values under strain, at both national and supranational level;

| 78. | Underlines the fact that social rights are fundamental rights, as recognised by international treaties, the ECHR, the EU Charter of Fundamental Rights and the European Social Charter; highlights that these rights must be protected both in law and in practice to ensure social justice, notably in periods of economic crisis and austerity measures; underlines the importance of the right to dignity, occupational freedom and the right to work, the right to non-discrimination, including on the basis of nationality, protection in the event of unjustified dismissal, the right to health and safety at work, social security and social assistance, the right to health care, freedom of movement and of residence, the right to protection against poverty and social exclusion, through the provision of effective access to employment, adequate housing, training, education, culture and social and medical assistance, and in relation to remuneration and social benefits, guaranteeing a decent standard of living for workers and the members of their families, as well as of other conditions of employment and working conditions, autonomy of social partners, and freedom to join national and international associations for the protection of workers’ economic and social interests and to bargain collectively; |
| --- | --- |

78.

Underlines the fact that social rights are fundamental rights, as recognised by international treaties, the ECHR, the EU Charter of Fundamental Rights and the European Social Charter; highlights that these rights must be protected both in law and in practice to ensure social justice, notably in periods of economic crisis and austerity measures; underlines the importance of the right to dignity, occupational freedom and the right to work, the right to non-discrimination, including on the basis of nationality, protection in the event of unjustified dismissal, the right to health and safety at work, social security and social assistance, the right to health care, freedom of movement and of residence, the right to protection against poverty and social exclusion, through the provision of effective access to employment, adequate housing, training, education, culture and social and medical assistance, and in relation to remuneration and social benefits, guaranteeing a decent standard of living for workers and the members of their families, as well as of other conditions of employment and working conditions, autonomy of social partners, and freedom to join national and international associations for the protection of workers’ economic and social interests and to bargain collectively;

| 79. | Underlines the fact that unemployment, poverty or social marginalisation makes it much more difficult, if not practically impossible, for people to exercise the rights and freedoms enshrined in the Charter of Fundamental Rights of the European Union; points out that the following rights and freedoms are particularly under threat: the right to human dignity (Article 1), the freedom to choose an occupation and the right to engage in work (Article 15), non-discrimination (Article 21), protection in the event of unjustified dismissal (Article 30), the right to social security and social assistance (Article 34), the right to health care (Article 35) and freedom of movement and of residence (Article 45); highlights, further, the fact that being unemployed, poor or socially marginalised can also make it more difficult for people to gain access to basic social, financial and other services; |
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79.

Underlines the fact that unemployment, poverty or social marginalisation makes it much more difficult, if not practically impossible, for people to exercise the rights and freedoms enshrined in the Charter of Fundamental Rights of the European Union; points out that the following rights and freedoms are particularly under threat: the right to human dignity (Article 1), the freedom to choose an occupation and the right to engage in work (Article 15), non-discrimination (Article 21), protection in the event of unjustified dismissal (Article 30), the right to social security and social assistance (Article 34), the right to health care (Article 35) and freedom of movement and of residence (Article 45); highlights, further, the fact that being unemployed, poor or socially marginalised can also make it more difficult for people to gain access to basic social, financial and other services;

| 80. | Stresses that systems which recognise social justice as an important principle which must be underpinned by robust legislation form the best buffer against the social consequences of the economic and financial crisis; |
| --- | --- |

80.

Stresses that systems which recognise social justice as an important principle which must be underpinned by robust legislation form the best buffer against the social consequences of the economic and financial crisis;

| 81. | Recommends that all Member States lift their remaining reservations on the European Social Charter as soon as possible; considers that Parliament should stimulate a permanent dialogue on progress made in this respect; believes that the reference to the ESC in Article 151 TFEU should be used more effectively, for example by including a social rights test in the impact assessments of the Commission and Parliament; |
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81.

Recommends that all Member States lift their remaining reservations on the European Social Charter as soon as possible; considers that Parliament should stimulate a permanent dialogue on progress made in this respect; believes that the reference to the ESC in Article 151 TFEU should be used more effectively, for example by including a social rights test in the impact assessments of the Commission and Parliament;

| 82. | Calls for stronger action to help homeless persons and provide them with shelter and support, condemns — notably at a time when the persistent economic and financial crisis is driving more and more people in vulnerable situations onto the streets — laws and policies at national or local level criminalising those persons, who are more in need, as this amounts to a striking and inhumane violation of fundamental rights; |
| --- | --- |

82.

Calls for stronger action to help homeless persons and provide them with shelter and support, condemns — notably at a time when the persistent economic and financial crisis is driving more and more people in vulnerable situations onto the streets — laws and policies at national or local level criminalising those persons, who are more in need, as this amounts to a striking and inhumane violation of fundamental rights;

| 83. | Stresses the need to ensure that crisis-remedying measures are compatible with the values and objectives of the Union, and particularly to ensure respect for the rule of law in relation to Union actions in the countries most afflicted by the effects of the crisis in the euro area; |
| --- | --- |

83.

Stresses the need to ensure that crisis-remedying measures are compatible with the values and objectives of the Union, and particularly to ensure respect for the rule of law in relation to Union actions in the countries most afflicted by the effects of the crisis in the euro area;

| 84. | Reiterates as a matter of urgency its appeal to the Council to include the topic ‘Access by the poorest groups to all of their fundamental rights’ in the thematic areas of the FRA’s next multiannual framework; |
| --- | --- |

84.

Reiterates as a matter of urgency its appeal to the Council to include the topic ‘Access by the poorest groups to all of their fundamental rights’ in the thematic areas of the FRA’s next multiannual framework;

| 85. | Deplores the fact that in some Member States transitional rules on free movement of workers are still in place; stresses that fears of negative impacts of labour migration are unfounded; points out that estimates show a long-term increase of almost 1 % in the GDP of the EU15 countries as a result of post-enlargement mobility (in 2004-09) (35); |
| --- | --- |

85.

Deplores the fact that in some Member States transitional rules on free movement of workers are still in place; stresses that fears of negative impacts of labour migration are unfounded; points out that estimates show a long-term increase of almost 1 % in the GDP of the EU15 countries as a result of post-enlargement mobility (in 2004-09) (35);

| 86. | Notes that the recent labelling of free movement as migration to benefit from social security systems is not based on facts (36); emphasises that discrimination is a major obstacle preventing European citizens from enjoying fundamental rights; stresses that EU citizens residing permanently in another Member State enjoy the right to equal treatment regarding social security pursuant to Regulation (EC) No 883/2004; |
| --- | --- |

86.

Notes that the recent labelling of free movement as migration to benefit from social security systems is not based on facts (36); emphasises that discrimination is a major obstacle preventing European citizens from enjoying fundamental rights; stresses that EU citizens residing permanently in another Member State enjoy the right to equal treatment regarding social security pursuant to Regulation (EC) No 883/2004;

| 87. | Emphasises the need for the Commission and the Member States to strengthen their work on developing and guaranteeing labour rights and fundamental social rights as a crucial step towards ensuring that equal treatment, decent jobs and living salaries are obtained in the European Union; |
| --- | --- |

87.

Emphasises the need for the Commission and the Member States to strengthen their work on developing and guaranteeing labour rights and fundamental social rights as a crucial step towards ensuring that equal treatment, decent jobs and living salaries are obtained in the European Union;

| 88. | Calls on the Commission and the Member States to recognise that the right of workers to safe and healthy working conditions, as set out in Article 3 of the European Social Charter, is essential for workers to have the opportunity to live a decent life and to ensure that their fundamental rights are respected; |
| --- | --- |

88.

Calls on the Commission and the Member States to recognise that the right of workers to safe and healthy working conditions, as set out in Article 3 of the European Social Charter, is essential for workers to have the opportunity to live a decent life and to ensure that their fundamental rights are respected;

| 89. | Highlights the importance of the social partners’ role in collective bargaining for safeguarding the fundamental rights and equal treatment of workers, particularly with regard to young people, women, persons with disabilities and other socially disadvantaged groups in the labour market; |
| --- | --- |

89.

Highlights the importance of the social partners’ role in collective bargaining for safeguarding the fundamental rights and equal treatment of workers, particularly with regard to young people, women, persons with disabilities and other socially disadvantaged groups in the labour market;

Citizenship

| 90. | Stresses that the entry into force of the Lisbon Treaty and of the Charter of Fundamental Rights, and the rising expectations of citizens and civil society — as demonstrated by the failure of ACTA and the surveillance scandals — make it necessary to strengthen and increase democratic and institutional transparency and openness in the EU, in particular in its institutions, bodies, offices and agencies and in its Member States; is of the opinion that transparency and openness are key principles that must be further strengthened and promoted in order to ensure good governance and the full participation of civil society in the EU’s decision-making process; |
| --- | --- |

90.

Stresses that the entry into force of the Lisbon Treaty and of the Charter of Fundamental Rights, and the rising expectations of citizens and civil society — as demonstrated by the failure of ACTA and the surveillance scandals — make it necessary to strengthen and increase democratic and institutional transparency and openness in the EU, in particular in its institutions, bodies, offices and agencies and in its Member States; is of the opinion that transparency and openness are key principles that must be further strengthened and promoted in order to ensure good governance and the full participation of civil society in the EU’s decision-making process;

| 91. | Deplores the interinstitutional blockage of the revision of Regulation (EC) No 1049/2001 on the right of access to documents and information; calls on the Council and the Commission to resume their work on the revision of this regulation, on the basis of Parliament’s proposals to guarante greater transparency in the EU decision-making process and improved access to documents for EU citizens; calls on all EU institutions, offices, bodies and agencies to fully implement Regulation (EC) No 1049/2001 as required by the Lisbon Treaty and notes, in the light of the case-law of the ECJ and complaints to the Ombudsman, that they have not done so; calls on the Council and the Commission at the same time to take the necessary measures to ensure transparency in informing the general public of how the funding passed on to Member States from the EU budget is used; |
| --- | --- |

91.

Deplores the interinstitutional blockage of the revision of Regulation (EC) No 1049/2001 on the right of access to documents and information; calls on the Council and the Commission to resume their work on the revision of this regulation, on the basis of Parliament’s proposals to guarante greater transparency in the EU decision-making process and improved access to documents for EU citizens; calls on all EU institutions, offices, bodies and agencies to fully implement Regulation (EC) No 1049/2001 as required by the Lisbon Treaty and notes, in the light of the case-law of the ECJ and complaints to the Ombudsman, that they have not done so; calls on the Council and the Commission at the same time to take the necessary measures to ensure transparency in informing the general public of how the funding passed on to Member States from the EU budget is used;

| 92. | Emphasises that the right to good administration also entails a duty on the authorities to inform citizens of their fundamental rights, to help the most deprived to have their rights explained to them, and to support them in ensuring that these rights are respected; |
| --- | --- |

92.

Emphasises that the right to good administration also entails a duty on the authorities to inform citizens of their fundamental rights, to help the most deprived to have their rights explained to them, and to support them in ensuring that these rights are respected;

| 93. | Recalls that citizenship implies, under Article 21 of the UDHR, the right of every person to participate in the public affairs of their country of residence; recalls that European citizenship is not limited to the right to vote and stand in municipal and European elections, nor to the exercise of their rights, however essential they may be, as regards freedom of movement and residence; stresses therefore that European citizenship implies the ability of each resident in the territory of the Union to participate actively and without discrimination of any kind in the democratic, political, social and cultural life of the Member State in which he or she resides and to exercise all the fundamental political, civil, economic, cultural and social rights and freedoms recognised by the European Union; |
| --- | --- |

93.

Recalls that citizenship implies, under Article 21 of the UDHR, the right of every person to participate in the public affairs of their country of residence; recalls that European citizenship is not limited to the right to vote and stand in municipal and European elections, nor to the exercise of their rights, however essential they may be, as regards freedom of movement and residence; stresses therefore that European citizenship implies the ability of each resident in the territory of the Union to participate actively and without discrimination of any kind in the democratic, political, social and cultural life of the Member State in which he or she resides and to exercise all the fundamental political, civil, economic, cultural and social rights and freedoms recognised by the European Union;

| 94. | Draws attention to the need to organise awareness-raising and information campaigns in order to promote the values and objectives of the Union among citizens, and calls specifically for the widest possible dissemination of the texts of the relevant articles of the TEU and of the Charter of Fundamental Rights; |
| --- | --- |

94.

Draws attention to the need to organise awareness-raising and information campaigns in order to promote the values and objectives of the Union among citizens, and calls specifically for the widest possible dissemination of the texts of the relevant articles of the TEU and of the Charter of Fundamental Rights;

| 95. | Welcomes the decision to declare 2013 the European Year of Citizens; calls, however, on the Commission, together with the Member States, to continue to inform EU citizens about their rights, so that they can fully enjoy their EU citizenship; |
| --- | --- |

95.

Welcomes the decision to declare 2013 the European Year of Citizens; calls, however, on the Commission, together with the Member States, to continue to inform EU citizens about their rights, so that they can fully enjoy their EU citizenship;

| 96. | Calls on the Member States to launch information campaigns to inform EU citizens about their right to vote and stand for election; calls for the necessary reform of European election procedures to be carried out in all Member States in order to promote active EU citizenship; calls on the Member States to encourage the active participation of citizens through citizens‘ initiatives and the exercise of the right of petition and the right to submit complaints to the European Ombudsman; |
| --- | --- |

96.

Calls on the Member States to launch information campaigns to inform EU citizens about their right to vote and stand for election; calls for the necessary reform of European election procedures to be carried out in all Member States in order to promote active EU citizenship; calls on the Member States to encourage the active participation of citizens through citizens‘ initiatives and the exercise of the right of petition and the right to submit complaints to the European Ombudsman;

| 97. | Reiterates the importance of the work of the European Ombudsman to the rights of individuals; stresses that the Ombudsman‘s independence is an important means of ensuring that his work has credibility and calls, therefore, for the Ombudsman‘s Statute to be amended so that members of the body appointing the Ombudsman, whether former members or members still in office, are officially not eligible to stand as candidates for the post; |
| --- | --- |

97.

Reiterates the importance of the work of the European Ombudsman to the rights of individuals; stresses that the Ombudsman‘s independence is an important means of ensuring that his work has credibility and calls, therefore, for the Ombudsman‘s Statute to be amended so that members of the body appointing the Ombudsman, whether former members or members still in office, are officially not eligible to stand as candidates for the post;

| 98. | Stresses that the right to freedom of movement and residence of European citizens and their families, as well as the freedom to choose an occupation and the right to engage in work, laid down in the Treaties and guaranteed by the Directive on freedom of movement, is one of the fundamental rights of European citizens and represents an important economic benefit for host countries, contributing to addressing skill and job mismatch and helping to compensate for the European Union‘s demographic deficit; underlines the fact that the directive already provides for exceptions and restrictions to the right to free movement; condemns any attempt to review this acquis, and calls for any breach of the rules to result in action before the Court of Justice; |
| --- | --- |

98.

Stresses that the right to freedom of movement and residence of European citizens and their families, as well as the freedom to choose an occupation and the right to engage in work, laid down in the Treaties and guaranteed by the Directive on freedom of movement, is one of the fundamental rights of European citizens and represents an important economic benefit for host countries, contributing to addressing skill and job mismatch and helping to compensate for the European Union‘s demographic deficit; underlines the fact that the directive already provides for exceptions and restrictions to the right to free movement; condemns any attempt to review this acquis, and calls for any breach of the rules to result in action before the Court of Justice;

Justice

| 99. | Stresses that the independent, equitable, effective, impartial and just administration of justice, within reasonable time limits, is fundamental to democracy and the rule of law and to their credibility; expresses its concern about the numerous breaches which have occurred in this context, as demonstrated by the number of cases in which the European Court of Human Rights has found against states; calls on the Member States to fully implement the Court‘s decisions; stresses that any impunity on grounds of a position of power, force or influence over persons or the judicial or political authorities cannot be tolerated in the EU; |
| --- | --- |

99.

Stresses that the independent, equitable, effective, impartial and just administration of justice, within reasonable time limits, is fundamental to democracy and the rule of law and to their credibility; expresses its concern about the numerous breaches which have occurred in this context, as demonstrated by the number of cases in which the European Court of Human Rights has found against states; calls on the Member States to fully implement the Court‘s decisions; stresses that any impunity on grounds of a position of power, force or influence over persons or the judicial or political authorities cannot be tolerated in the EU;

| 100. | Acknowledges the importance of — in addition to courts — non-judicial and quasi-judicial institutions for access to justice, such as national human rights institutions, equality bodies, ombudsperson institutions, and data protection authorities as well as other such institutions with a human rights remit; stresses, in this context, that national human rights institutions should be appointed or established in all the Member States with a view to their full accreditation under the so called Paris Principles (Principles relating to the status and functioning of national institutions for protection and promotion of human rights, UN General Assembly resolution 48/134, 20 December 1993); stresses that a full independence requirement would also benefit other institutions with a human rights remit; |
| --- | --- |

100.

Acknowledges the importance of — in addition to courts — non-judicial and quasi-judicial institutions for access to justice, such as national human rights institutions, equality bodies, ombudsperson institutions, and data protection authorities as well as other such institutions with a human rights remit; stresses, in this context, that national human rights institutions should be appointed or established in all the Member States with a view to their full accreditation under the so called Paris Principles (Principles relating to the status and functioning of national institutions for protection and promotion of human rights, UN General Assembly resolution 48/134, 20 December 1993); stresses that a full independence requirement would also benefit other institutions with a human rights remit;

| 101. | Calls on the FRA to conduct a study, in collaboration with the UN Special Rapporteur concerned, on special laws and procedures justified on grounds of combating terrorism, and on their compliance with fundamental rights; rejects any exceptional procedure which manifestly creates an imbalance in the positions of the prosecution and the defence in judicial proceedings, such as secret hearings or sentencing in secret, or which gives governments special powers to censor the media or allow secret surveillance on the population; notes and deplores the fact that policies on combating terrorism are being gradually extended to a growing number of crimes and offences, giving rise in particular to an increase in the number of summary judicial proceedings and of minimum sentences that must be served in full, and in the information being recorded on the population; |
| --- | --- |

101.

Calls on the FRA to conduct a study, in collaboration with the UN Special Rapporteur concerned, on special laws and procedures justified on grounds of combating terrorism, and on their compliance with fundamental rights; rejects any exceptional procedure which manifestly creates an imbalance in the positions of the prosecution and the defence in judicial proceedings, such as secret hearings or sentencing in secret, or which gives governments special powers to censor the media or allow secret surveillance on the population; notes and deplores the fact that policies on combating terrorism are being gradually extended to a growing number of crimes and offences, giving rise in particular to an increase in the number of summary judicial proceedings and of minimum sentences that must be served in full, and in the information being recorded on the population;

| 102. | Calls on the Commission to continue its work on criminal justice and the implementation of the road map on procedural safeguards and calls on the Member States to take up a more ambitious stance on the matter; |
| --- | --- |

102.

Calls on the Commission to continue its work on criminal justice and the implementation of the road map on procedural safeguards and calls on the Member States to take up a more ambitious stance on the matter;

| 103. | Welcomes the FRA report on access to justice in cases of discrimination in the EU and stresses that accessing justice is often complicated and cumbersome; believes that improvements could include facilitated procedures and enhanced support to those seeking justice; |
| --- | --- |

103.

Welcomes the FRA report on access to justice in cases of discrimination in the EU and stresses that accessing justice is often complicated and cumbersome; believes that improvements could include facilitated procedures and enhanced support to those seeking justice;

| 104. | Notes the justice scoreboard issued by the Commission, which unfortunately covers only civil, commercial and administrative justice issues, notwithstanding the fact that Parliament had requested that it also cover criminal justice matters, fundamental rights and the rule of Law; calls, therefore, for the scoreboard to be developed so as also to cover these areas; stresses that it should be incorporated into the new Copenhagen mechanism and the European policy cycle on the application of Article 2 of the TEU; stresses also that improving the functioning of justice systems cannot have as its sole objective to make a country a more attractive place to invest and do business, targeting above all the efficiency of judicial proceedings, but that it should also be aimed at safeguarding the right to a fair trial and respect for fundamental rights; |
| --- | --- |

104.

Notes the justice scoreboard issued by the Commission, which unfortunately covers only civil, commercial and administrative justice issues, notwithstanding the fact that Parliament had requested that it also cover criminal justice matters, fundamental rights and the rule of Law; calls, therefore, for the scoreboard to be developed so as also to cover these areas; stresses that it should be incorporated into the new Copenhagen mechanism and the European policy cycle on the application of Article 2 of the TEU; stresses also that improving the functioning of justice systems cannot have as its sole objective to make a country a more attractive place to invest and do business, targeting above all the efficiency of judicial proceedings, but that it should also be aimed at safeguarding the right to a fair trial and respect for fundamental rights;

| 105. | Urges the Commission to examine the effective implementation in the EU of the right of access to justice in the context of the right of every person of present and future generations to live in an environment adequate to his or her health and well-being; |
| --- | --- |

105.

Urges the Commission to examine the effective implementation in the EU of the right of access to justice in the context of the right of every person of present and future generations to live in an environment adequate to his or her health and well-being;

| 106. | Expresses its concerns about the politicisation of constitutional courts in certain Member States and recalls that an independent judicial system is of the utmost importance; |
| --- | --- |

106.

Expresses its concerns about the politicisation of constitutional courts in certain Member States and recalls that an independent judicial system is of the utmost importance;

o

o o

| 107. | Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and the candidate countries, the Council of Europe and the Organisation for Security and Cooperation in Europe. |
| --- | --- |

107.

Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and the candidate countries, the Council of Europe and the Organisation for Security and Cooperation in Europe.

---

(1)  Council Document 10140/11 of 18 May 2011.

(2)  OJ C 115, 4.5.2010, p. 1.

(3)  OJ L 328, 6.12.2008, p. 55.

(4)  OJ L 180, 19.7.2000, p. 22.

(5)  OJ L 303, 2.12.2000, p. 16.

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

(7)  OJ L 145, 31.5.2001, p. 43.

(8)  OJ C 169 E, 15.6.2012, p. 49.

(9)  Texts adopted, P7_TA(2012)0500.

(10)  OJ C 104 E, 30.4.2004, p. 1026.

(11)  OJ C 124 E, 25.5.2006, p. 405.

(12)  OJ C 294 E, 3.12.2009, p. 54.

(13)  OJ C 224 E, 19.8.2010, p. 18.

(14)  OJ C 308 E, 20.10.2011, p. 73.

(15)  OJ C 136 E, 11.5.2012, p. 50.

(16)  OJ C 199 E, 7.7.2012, p. 112.

(17)  OJ C 199 E, 7.7.2012, p. 154.

(18)  Texts adopted, P7_TA(2013)0203.

(19)  OJ C 264 E, 13.9.2013, p. 54.

(20)  Texts adopted, P7_TA(2013)0090.

(21)  OJ C 51 E, 22.2.2013, p. 121.

(22)  Texts adopted, P7_TA(2013)0444.

(23)  Texts adopted, P7_TA(2013)0315.

(24)  OJ C 353 E, 3.12.2013, p. 1.

(25)  Texts adopted, P7_TA(2013)0418.

(26)  Texts adopted, P7_TA(2013)0350.

(27)  OJ C 296 E, 2.10.2012, p. 26.

(28)  Texts adopted, P7_TA(2013)0045.

(29)  OJ C 264 E, 13.9.2013, p. 75.

(30)  Resolution 1872(2012) of the Parliamentary Assembly Council of Europe adopted on 24 April 2012.

(31)  Regional study: management of the external borders of the European Union and its impact on the human rights of migrants, Report of the Special Rapporteur on the human rights of migrants, François Crépeau, 24 April 2013, A/HRC/23/46.

(32)  FRA report on Fundamental rights at Europe‘s southern sea borders, March 2013.

(33)  OJ C 131 E, 8.5.2013, p. 9.

(34)  Texts adopted, P7_TA(2013)0594.

(35)  Employment and social developments in Europe 2011, chapter 6: Intra-EU labour mobility and the impact of enlargement, p. 274.

(36)  See ‘A fact finding analysis on the impact on the Member States’ social security systems of the entitlements of non-active intra-EU migrants to special non-contributory cash benefits and healthcare granted on the basis of residence’, DG Employment, Final report submitted by ICF GHK in association with Milieu Ltd., 14 October 2013.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/135 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/135

---

P7_TA(2014)0174

European arrest warrant

European Parliament resolution of 27 February 2014 with recommendations to the Commission on the review of the European Arrest Warrant (2013/2109(INL))

(2017/C 285/18)

The European Parliament,

| — | having regard to Article 225 of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 225 of the Treaty on the Functioning of the European Union,

| — | having regard to Articles 2, 3, 6 and 7 of the Treaty on European Union and to the Charter of Fundamental Rights of the European Union, |
| --- | --- |

—

having regard to Articles 2, 3, 6 and 7 of the Treaty on European Union and to the Charter of Fundamental Rights of the European Union,

| — | having regard to Article 5 of its Decision 2005/684/EC, Euratom of 28 September 2005 adopting the Statute for Members of the European Parliament (1), |
| --- | --- |

—

having regard to Article 5 of its Decision 2005/684/EC, Euratom of 28 September 2005 adopting the Statute for Members of the European Parliament (1),

| — | having regard to Council Framework Decision 2002/584/JHA of 13 June 2002 on the European arrest warrant and the surrender procedures between Member States (2), |
| --- | --- |

—

having regard to Council Framework Decision 2002/584/JHA of 13 June 2002 on the European arrest warrant and the surrender procedures between Member States (2),

| — | having regard to the Commission reports on the implementation of the European arrest warrant and the surrender procedures between Member States (COM(2005)0063 and SEC(2005)0267, COM(2006)0008 and SEC(2006)0079, COM(2007)0407 and SEC(2007)0979 and COM(2011)0175 and SEC(2011)0430), |
| --- | --- |

—

having regard to the Commission reports on the implementation of the European arrest warrant and the surrender procedures between Member States (COM(2005)0063 and SEC(2005)0267, COM(2006)0008 and SEC(2006)0079, COM(2007)0407 and SEC(2007)0979 and COM(2011)0175 and SEC(2011)0430),

| — | having regard to the Council’s final report of 28 May 2009 on the fourth round of mutual evaluations — the practical application of the European Arrest Warrant and corresponding surrender procedures between Member States (8302/4/2009 — CRIMORG 55), |
| --- | --- |

—

having regard to the Council’s final report of 28 May 2009 on the fourth round of mutual evaluations — the practical application of the European Arrest Warrant and corresponding surrender procedures between Member States (8302/4/2009 — CRIMORG 55),

| — | having regard to its resolution of 23 October 2013 on organised crime, corruption, and money laundering: recommendations on action and initiatives to be taken (final report) (3), |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on organised crime, corruption, and money laundering: recommendations on action and initiatives to be taken (final report) (3),

| — | having regard to the revised version of the European Handbook on how to issue a European Arrest Warrant (17195/1/10 REV 1), |
| --- | --- |

—

having regard to the revised version of the European Handbook on how to issue a European Arrest Warrant (17195/1/10 REV 1),

| — | having regard to Regulation (EU) No 1382/2013 of the European Parliament and of the Council of 17 December 2013 establishing a Justice Programme for the period 2014 to 2020 (4), |
| --- | --- |

—

having regard to Regulation (EU) No 1382/2013 of the European Parliament and of the Council of 17 December 2013 establishing a Justice Programme for the period 2014 to 2020 (4),

| — | having regard to the Commission Communication of 13 September 2011 entitled ‘Building Trust in EU-wide justice, a new dimension to European Judicial Training’ (COM(2011)0551), |
| --- | --- |

—

having regard to the Commission Communication of 13 September 2011 entitled ‘Building Trust in EU-wide justice, a new dimension to European Judicial Training’ (COM(2011)0551),

| — | having regard to its resolution of 15 December 2011 on detention conditions in the EU (5), |
| --- | --- |

—

having regard to its resolution of 15 December 2011 on detention conditions in the EU (5),

| — | having regard to its recommendation of 9 March 2004 to the Council on the rights of prisoners in the European Union (6), |
| --- | --- |

—

having regard to its recommendation of 9 March 2004 to the Council on the rights of prisoners in the European Union (6),

| — | having regard to the assessment of the European added value of Union measures concerning the European Arrest Warrant, carried out by the European Added Value Unit of the European Parliament, |
| --- | --- |

—

having regard to the assessment of the European added value of Union measures concerning the European Arrest Warrant, carried out by the European Added Value Unit of the European Parliament,

| — | having regard to the Framework Agreement on relations between the European Parliament and the European Commission of 20 October 2010 (7), |
| --- | --- |

—

having regard to the Framework Agreement on relations between the European Parliament and the European Commission of 20 October 2010 (7),

| — | having regard to Rules 42 and 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 42 and 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0039/2014), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0039/2014),

| A. | Whereas the European Union has set itself the aim of offering its citizens an area of freedom security and justice, and whereas, pursuant to Article 6 of the Treaty on European Union (TEU), it respects human rights and fundamental freedoms, thereby taking on positive obligations which it must meet in order to honour that commitment; whereas to be effective, the principle of mutual recognition must be premised upon mutual trust which can only be achieved if respect for the fundamental rights of suspects and accused persons and procedural rights in criminal proceedings are guaranteed throughout the Union; whereas mutual trust is enhanced through training, cooperation and dialogue between judicial authorities and legal practitioners, creating a genuine European judicial culture; |
| --- | --- |

A.

Whereas the European Union has set itself the aim of offering its citizens an area of freedom security and justice, and whereas, pursuant to Article 6 of the Treaty on European Union (TEU), it respects human rights and fundamental freedoms, thereby taking on positive obligations which it must meet in order to honour that commitment; whereas to be effective, the principle of mutual recognition must be premised upon mutual trust which can only be achieved if respect for the fundamental rights of suspects and accused persons and procedural rights in criminal proceedings are guaranteed throughout the Union; whereas mutual trust is enhanced through training, cooperation and dialogue between judicial authorities and legal practitioners, creating a genuine European judicial culture;

| B. | Whereas Framework Decision 2002/584/JHA has for the most part been successful in meeting its aim of speeding up surrender procedures throughout the Union compared to the traditional extradition system among Member States and constitutes the cornerstone of mutual recognition of judicial decisions in criminal matters, now laid down in Article 82 of the Treaty on the Functioning of the European Union (TFEU); |
| --- | --- |

B.

Whereas Framework Decision 2002/584/JHA has for the most part been successful in meeting its aim of speeding up surrender procedures throughout the Union compared to the traditional extradition system among Member States and constitutes the cornerstone of mutual recognition of judicial decisions in criminal matters, now laid down in Article 82 of the Treaty on the Functioning of the European Union (TFEU);

| C. | Whereas problems have however arisen in its operation, some specific to Framework Decision 2002/584/JHA and resulting from gaps in the Framework Decision such as failing to explicitly include fundamental rights safeguards or a proportionality check as well as from the incomplete and inconsistent implementation thereof; whereas other problems are shared with the set of mutual recognition instruments due to the incomplete and unbalanced development of the Union area of criminal justice; |
| --- | --- |

C.

Whereas problems have however arisen in its operation, some specific to Framework Decision 2002/584/JHA and resulting from gaps in the Framework Decision such as failing to explicitly include fundamental rights safeguards or a proportionality check as well as from the incomplete and inconsistent implementation thereof; whereas other problems are shared with the set of mutual recognition instruments due to the incomplete and unbalanced development of the Union area of criminal justice;

| D. | Whereas clearly defined and effective instruments for mutual recognition of judicial measures are of key importance to national prosecution services in connection with investigations into serious cross-border crimes and will be equally important in investigations carried out by the European Public Prosecutor’s Office once it has been set up; |
| --- | --- |

D.

Whereas clearly defined and effective instruments for mutual recognition of judicial measures are of key importance to national prosecution services in connection with investigations into serious cross-border crimes and will be equally important in investigations carried out by the European Public Prosecutor’s Office once it has been set up;

| E. | Whereas in its final report the Special Committee on Organised Crime, Corruption and Money Laundering (CRIM) stressed the need to ensure swift mutual recognition, whilst fully respecting the principle of proportionality, of all judicial measures, with particular reference to criminal judgments, confiscation orders and European Arrest Warrants (EAWs); |
| --- | --- |

E.

Whereas in its final report the Special Committee on Organised Crime, Corruption and Money Laundering (CRIM) stressed the need to ensure swift mutual recognition, whilst fully respecting the principle of proportionality, of all judicial measures, with particular reference to criminal judgments, confiscation orders and European Arrest Warrants (EAWs);

| F. | Whereas concern exists inter alia about:






  (i) | the absence in Framework Decision 2002/584/JHA and other mutual recognition instruments of an explicit ground for refusal where there are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State’s obligations in accordance with Article 6 TEU and the Charter of Fundamental Rights of the European Union (‘the Charter’); |
| --- | --- | --- |

F.

Whereas concern exists inter alia about:

(i)

the absence in Framework Decision 2002/584/JHA and other mutual recognition instruments of an explicit ground for refusal where there are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State’s obligations in accordance with Article 6 TEU and the Charter of Fundamental Rights of the European Union (‘the Charter’);

| (ii) | the absence of a provision in Framework Decision 2002/584/JHA and other mutual recognition instruments on the right, as laid down in Article 47 of the Charter, to an effective remedy which is left to be governed by national law, leading to uncertainty and inconsistent practices between Member States; |
| --- | --- |

(ii)

the absence of a provision in Framework Decision 2002/584/JHA and other mutual recognition instruments on the right, as laid down in Article 47 of the Charter, to an effective remedy which is left to be governed by national law, leading to uncertainty and inconsistent practices between Member States;

| (iii) | the lack of regular review of the Schengen Information System (SIS II) and Interpol alerts as well as the lack of an automatic link between the withdrawal of an EAW and the removal of such alerts, and uncertainty as to the effect of a refusal to execute an EAW on the continued validity of an EAW and the linked alerts with the result that persons subject to EAWs are unable to move freely within the area of freedom security and justice without the risk of future arrest and surrender; |
| --- | --- |

(iii)

the lack of regular review of the Schengen Information System (SIS II) and Interpol alerts as well as the lack of an automatic link between the withdrawal of an EAW and the removal of such alerts, and uncertainty as to the effect of a refusal to execute an EAW on the continued validity of an EAW and the linked alerts with the result that persons subject to EAWs are unable to move freely within the area of freedom security and justice without the risk of future arrest and surrender;

| (iv) | the lack of precision in the definition of serious crimes list related to the EAW but also to other Union instruments which make constant reference to that list, and the inclusion of crimes the seriousness of which is not envisaged in the criminal codes of all Member States and which may not satisfy the proportionality test; |
| --- | --- |

(iv)

the lack of precision in the definition of serious crimes list related to the EAW but also to other Union instruments which make constant reference to that list, and the inclusion of crimes the seriousness of which is not envisaged in the criminal codes of all Member States and which may not satisfy the proportionality test;

| (v) | disproportionate use of the EAW for minor offences or in circumstances where less intrusive alternatives might be used, leading to unwarranted arrests and unjustified and excessive time spent in pre-trial detention and thus to disproportionate interference with the fundamental rights of suspects and accused persons as well as burdens on the resources of Member States; |
| --- | --- |

(v)

disproportionate use of the EAW for minor offences or in circumstances where less intrusive alternatives might be used, leading to unwarranted arrests and unjustified and excessive time spent in pre-trial detention and thus to disproportionate interference with the fundamental rights of suspects and accused persons as well as burdens on the resources of Member States;

| (vi) | the lack of a definition of the term ‘judicial authority’ in Framework Decision 2002/584/JHA and other mutual recognition instruments which has led to a variation in practice between Member States causing uncertainty, harm to mutual trust, and litigation; |
| --- | --- |

(vi)

the lack of a definition of the term ‘judicial authority’ in Framework Decision 2002/584/JHA and other mutual recognition instruments which has led to a variation in practice between Member States causing uncertainty, harm to mutual trust, and litigation;

| (vii) | the absence of minimum standards to ensure effective judicial oversight of mutual recognition measures which has led to inconsistent Member State practices in regard to legal safeguards and protections against fundamental rights violations, including on compensation for victims of miscarriages of justice such as mistaken identity, contrary to standards laid down in the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR) and in the well-established case-law of the Court of Justice of the European Union (ECJ); |
| --- | --- |

(vii)

the absence of minimum standards to ensure effective judicial oversight of mutual recognition measures which has led to inconsistent Member State practices in regard to legal safeguards and protections against fundamental rights violations, including on compensation for victims of miscarriages of justice such as mistaken identity, contrary to standards laid down in the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR) and in the well-established case-law of the Court of Justice of the European Union (ECJ);

| (viii) | while recognising the necessity of pre-trial detention under certain criteria, the absence of minimum standards on such detention including regular review, its use as a last resort and consideration of alternatives, coupled with the lack of proper assessment of whether the case is trial-ready, can lead to unjustified and excessive periods of suspects and accused persons in pre-trial detention; |
| --- | --- |

(viii)

while recognising the necessity of pre-trial detention under certain criteria, the absence of minimum standards on such detention including regular review, its use as a last resort and consideration of alternatives, coupled with the lack of proper assessment of whether the case is trial-ready, can lead to unjustified and excessive periods of suspects and accused persons in pre-trial detention;

| (ix) | the unacceptable conditions in a number of detention facilities across the Union and the impact that this has on the fundamental rights of the individuals concerned, in particular the right to protection against inhuman or degrading treatment or punishment pursuant to Article 3 of the ECHR and on the effectiveness and functioning of Union mutual recognition instruments; |
| --- | --- |

(ix)

the unacceptable conditions in a number of detention facilities across the Union and the impact that this has on the fundamental rights of the individuals concerned, in particular the right to protection against inhuman or degrading treatment or punishment pursuant to Article 3 of the ECHR and on the effectiveness and functioning of Union mutual recognition instruments;

| (x) | a lack of legal representation being provided for those persons sought under an EAW in the issuing Member State as well as the executing Member State; |
| --- | --- |

(x)

a lack of legal representation being provided for those persons sought under an EAW in the issuing Member State as well as the executing Member State;

| (xi) | the absence in Framework Decision 2002/584/JHA of deadlines for the transmission of the translated EAWs, leading to variable practices and uncertainty; |
| --- | --- |

(xi)

the absence in Framework Decision 2002/584/JHA of deadlines for the transmission of the translated EAWs, leading to variable practices and uncertainty;

| (xii) | the lack of a proper definition of criminal offences to which the test of dual criminality no longer applies; |
| --- | --- |

(xii)

the lack of a proper definition of criminal offences to which the test of dual criminality no longer applies;

| (xiii) | the failure to use other existing Union judicial cooperation and mutual recognition tools; |
| --- | --- |

(xiii)

the failure to use other existing Union judicial cooperation and mutual recognition tools;

| 1. | Keeping in mind the new legal framework from 2014 under the Lisbon Treaty, considers that this resolution should not deal with problems arising solely from the incorrect implementation of Framework Decision 2002/584/JHA since such problems can and should be remedied by correct implementation by Member States and enforced through Commission proceedings; |
| --- | --- |

1.

Keeping in mind the new legal framework from 2014 under the Lisbon Treaty, considers that this resolution should not deal with problems arising solely from the incorrect implementation of Framework Decision 2002/584/JHA since such problems can and should be remedied by correct implementation by Member States and enforced through Commission proceedings;

| 2. | Calls on Member States to implement in a timely and effective manner the whole body of Union criminal justice measures since they are complementary including the European Investigation Order, the European Supervision Order and procedural rights measures, thereby making available to judicial authorities alternative and less intrusive mutual recognition instruments whilst also ensuring respect for the rights of suspects and accused persons in criminal proceedings; calls on the Commission to carefully monitor their correct implementation as well as their impact on the functioning of the EAW and the Union area of criminal justice; |
| --- | --- |

2.

Calls on Member States to implement in a timely and effective manner the whole body of Union criminal justice measures since they are complementary including the European Investigation Order, the European Supervision Order and procedural rights measures, thereby making available to judicial authorities alternative and less intrusive mutual recognition instruments whilst also ensuring respect for the rights of suspects and accused persons in criminal proceedings; calls on the Commission to carefully monitor their correct implementation as well as their impact on the functioning of the EAW and the Union area of criminal justice;

| 3. | Calls on Member States and their judicial authorities to explore all the existing possibilities within Framework Decision 2002/584/JHA (such as Recital 12) to safeguard the protection of human rights and fundamental freedoms; to exhaust all possible alternative mechanisms before issuing an EAW; and to process the case without undue delay once an EAW has led to an arrest in order to keep pre-trial detention to a minimum; |
| --- | --- |

3.

Calls on Member States and their judicial authorities to explore all the existing possibilities within Framework Decision 2002/584/JHA (such as Recital 12) to safeguard the protection of human rights and fundamental freedoms; to exhaust all possible alternative mechanisms before issuing an EAW; and to process the case without undue delay once an EAW has led to an arrest in order to keep pre-trial detention to a minimum;

| 4. | Points out that full recognition and rapid enforcement of judicial measures are a step towards the establishment of a Union area of criminal justice, and emphasises the EAW’s importance as an effective means of combating serious cross-border crime; |
| --- | --- |

4.

Points out that full recognition and rapid enforcement of judicial measures are a step towards the establishment of a Union area of criminal justice, and emphasises the EAW’s importance as an effective means of combating serious cross-border crime;

| 5. | Considers that as the problems highlighted in recital F arise out of both the specifics of Framework Decision 2002/584/JHA and the incomplete and unbalanced nature of the Union area of criminal justice, the legislative solutions need to address both issues through continued work to establish minimum standards on inter alia the procedural rights of suspects and accused persons and a horizontal measure establishing principles applicable to all mutual recognition instruments, or if such a horizontal measure is not feasible or fails to remedy the problems identified in this resolution, amendments to Framework Decision 2002/584/JHA; |
| --- | --- |

5.

Considers that as the problems highlighted in recital F arise out of both the specifics of Framework Decision 2002/584/JHA and the incomplete and unbalanced nature of the Union area of criminal justice, the legislative solutions need to address both issues through continued work to establish minimum standards on inter alia the procedural rights of suspects and accused persons and a horizontal measure establishing principles applicable to all mutual recognition instruments, or if such a horizontal measure is not feasible or fails to remedy the problems identified in this resolution, amendments to Framework Decision 2002/584/JHA;

| 6. | Considers that the weaknesses identified not only undermine mutual trust but are also costly in social and economic terms to the individuals concerned, their families and society in general; |
| --- | --- |

6.

Considers that the weaknesses identified not only undermine mutual trust but are also costly in social and economic terms to the individuals concerned, their families and society in general;

| 7. | Therefore requests the Commission to submit, within a year following the adoption of this resolution, on the basis of Article 82 of the TFEU, legislative proposals following the detailed recommendations set out in the Annex hereto and providing for:






  (a) | a procedure whereby a mutual recognition measure can, if necessary, be validated in the issuing Member State by a judge, court, investigating magistrate or public prosecutor, in order to overcome the differing interpretations of the term ‘judicial authority’; |
| --- | --- | --- |

7.

Therefore requests the Commission to submit, within a year following the adoption of this resolution, on the basis of Article 82 of the TFEU, legislative proposals following the detailed recommendations set out in the Annex hereto and providing for:

(a)

a procedure whereby a mutual recognition measure can, if necessary, be validated in the issuing Member State by a judge, court, investigating magistrate or public prosecutor, in order to overcome the differing interpretations of the term ‘judicial authority’;

| (b) | a proportionality check when issuing mutual recognition decisions, based on all the relevant factors and circumstances such as the seriousness of the offence, whether the case is trial-ready, the impact on the rights of the requested person, including the protection of private and family life, the cost implications and the availability of an appropriate less intrusive alternative measure; |
| --- | --- |

(b)

a proportionality check when issuing mutual recognition decisions, based on all the relevant factors and circumstances such as the seriousness of the offence, whether the case is trial-ready, the impact on the rights of the requested person, including the protection of private and family life, the cost implications and the availability of an appropriate less intrusive alternative measure;

| (c) | a standardised consultation procedure whereby the competent authorities in the issuing and executing Member State can exchange information regarding the execution of judicial decisions such as on the assessment of proportionality and specifically in regard to the EAW to ascertain trial-readiness; |
| --- | --- |

(c)

a standardised consultation procedure whereby the competent authorities in the issuing and executing Member State can exchange information regarding the execution of judicial decisions such as on the assessment of proportionality and specifically in regard to the EAW to ascertain trial-readiness;

| (d) | a mandatory refusal ground where there are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State's obligation in accordance with Article 6 of the TEU and the Charter, notably Article 52(1) thereof with its reference to the principle of proportionality; |
| --- | --- |

(d)

a mandatory refusal ground where there are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State's obligation in accordance with Article 6 of the TEU and the Charter, notably Article 52(1) thereof with its reference to the principle of proportionality;

| (e) | the right to an effective legal remedy in compliance with Article 47(1) of the Charter and Article 13 of the ECHR, such as the right to appeal in the executing Member State against the requested execution of a mutual recognition instrument and the right for the requested person to challenge before a tribunal any failure by the issuing Member State to comply with assurances given to the executing Member State; |
| --- | --- |

(e)

the right to an effective legal remedy in compliance with Article 47(1) of the Charter and Article 13 of the ECHR, such as the right to appeal in the executing Member State against the requested execution of a mutual recognition instrument and the right for the requested person to challenge before a tribunal any failure by the issuing Member State to comply with assurances given to the executing Member State;

| (f) | a better definition of the crimes where the EAW should apply in order to facilitate the application of the proportionality test; |
| --- | --- |

(f)

a better definition of the crimes where the EAW should apply in order to facilitate the application of the proportionality test;

| 8. | Calls for a clear and consistent application by all Member States of Union law regarding procedural rights in criminal proceedings linked to the use of the EAW; including the right to interpretation and translation in criminal proceedings; the right of access to a lawyer in criminal proceedings and on the right to communicate upon arrest; and the right to information in criminal proceedings; |
| --- | --- |

8.

Calls for a clear and consistent application by all Member States of Union law regarding procedural rights in criminal proceedings linked to the use of the EAW; including the right to interpretation and translation in criminal proceedings; the right of access to a lawyer in criminal proceedings and on the right to communicate upon arrest; and the right to information in criminal proceedings;

| 9. | Calls on the Commission to request from Member States comprehensive data relating to the operation of the EAW mechanism and to include such data in its next implementation report with a view to proposing appropriate action if any problems are found; |
| --- | --- |

9.

Calls on the Commission to request from Member States comprehensive data relating to the operation of the EAW mechanism and to include such data in its next implementation report with a view to proposing appropriate action if any problems are found;

| 10. | Calls for a regular review of non-executed EAWs and consideration of whether they, together with the corresponding SIS II and Interpol alerts, should be withdrawn; also calls for the withdrawal of EAWs and the corresponding SIS II and Interpol alerts where the EAW has been refused on mandatory grounds, such as on the ground of ne bis in idem or incompatibility with human rights obligations; calls for provision to be made for SIS II and Interpol alerts to be mandatorily updated with information on the grounds for refusing the execution of the EAW corresponding to the alert and for appropriate updating of Europol files; |
| --- | --- |

10.

Calls for a regular review of non-executed EAWs and consideration of whether they, together with the corresponding SIS II and Interpol alerts, should be withdrawn; also calls for the withdrawal of EAWs and the corresponding SIS II and Interpol alerts where the EAW has been refused on mandatory grounds, such as on the ground of ne bis in idem or incompatibility with human rights obligations; calls for provision to be made for SIS II and Interpol alerts to be mandatorily updated with information on the grounds for refusing the execution of the EAW corresponding to the alert and for appropriate updating of Europol files;

| 11. | While stressing the primary importance of correct procedures including appeal rights, calls for Member States, as either an issuing or executing Member State, to provide for legal mechanisms to compensate damage arising from miscarriages of justice relating to the operation of mutual recognition instruments, in accordance with the standards laid down in the ECHR and in the well-established case-law of the ECJ; |
| --- | --- |

11.

While stressing the primary importance of correct procedures including appeal rights, calls for Member States, as either an issuing or executing Member State, to provide for legal mechanisms to compensate damage arising from miscarriages of justice relating to the operation of mutual recognition instruments, in accordance with the standards laid down in the ECHR and in the well-established case-law of the ECJ;

| 12. | Calls on the Council to include in its revised version of the European Handbook on how to issue a European Arrest Warrant (17195/1/10 REV 1) a six day time limit for the transmission of translated EAWs in order to provide greater clarity and certainty; |
| --- | --- |

12.

Calls on the Council to include in its revised version of the European Handbook on how to issue a European Arrest Warrant (17195/1/10 REV 1) a six day time limit for the transmission of translated EAWs in order to provide greater clarity and certainty;

| 13. | Calls on Member States and the Commission to cooperate in strengthening contact networks of judges, prosecutors and criminal defence lawyers to facilitate effective and well-informed EAW proceedings, and to offer relevant training at national and Union level to judicial and legal practitioners in inter alia languages, the proper use of the EAW and the combined use of the different mutual recognition instruments; calls on the Commission to draft a practical Union handbook designed for defence lawyers acting in EAW proceedings and easily accessible throughout the Union taking into account the existing work of the European Criminal Bar Association on this matter and complemented by national handbooks; |
| --- | --- |

13.

Calls on Member States and the Commission to cooperate in strengthening contact networks of judges, prosecutors and criminal defence lawyers to facilitate effective and well-informed EAW proceedings, and to offer relevant training at national and Union level to judicial and legal practitioners in inter alia languages, the proper use of the EAW and the combined use of the different mutual recognition instruments; calls on the Commission to draft a practical Union handbook designed for defence lawyers acting in EAW proceedings and easily accessible throughout the Union taking into account the existing work of the European Criminal Bar Association on this matter and complemented by national handbooks;

| 14. | Calls on the Commission to facilitate the setting up of a specific European Arrest Warrant Judicial Network and a network of defence lawyers working on European criminal justice and extradition matters and to provide adequate funding to them as well as to the European Judicial Training Network; believes that the Commission can ensure the appropriate funding via the existing programmes in the Union area of criminal justice; |
| --- | --- |

14.

Calls on the Commission to facilitate the setting up of a specific European Arrest Warrant Judicial Network and a network of defence lawyers working on European criminal justice and extradition matters and to provide adequate funding to them as well as to the European Judicial Training Network; believes that the Commission can ensure the appropriate funding via the existing programmes in the Union area of criminal justice;

| 15. | Calls on the Commission to establish and make easily accessible a Union database collecting all national case-law relating to EAW and other mutual recognition proceedings to facilitate the work of practitioners and the monitoring and assessment of implementation and any problems arising; |
| --- | --- |

15.

Calls on the Commission to establish and make easily accessible a Union database collecting all national case-law relating to EAW and other mutual recognition proceedings to facilitate the work of practitioners and the monitoring and assessment of implementation and any problems arising;

| 16. | Highlights the link between detention conditions and EAW measures and reminds Member States that Article 3 of the ECHR and the case-law of the European Court of Human Right (ECtHR) impose on the Member States not only negative obligations, by banning them from subjecting prisoners to inhuman and degrading treatment, but also positive obligations, by requiring them to ensure that prison conditions are consistent with human dignity, and that thorough, effective investigations are carried out if such rights are violated; calls on Member States to take particular account of the rights of vulnerable persons and in general thoroughly examine alternatives to detention; |
| --- | --- |

16.

Highlights the link between detention conditions and EAW measures and reminds Member States that Article 3 of the ECHR and the case-law of the European Court of Human Right (ECtHR) impose on the Member States not only negative obligations, by banning them from subjecting prisoners to inhuman and degrading treatment, but also positive obligations, by requiring them to ensure that prison conditions are consistent with human dignity, and that thorough, effective investigations are carried out if such rights are violated; calls on Member States to take particular account of the rights of vulnerable persons and in general thoroughly examine alternatives to detention;

| 17. | In order to ensure the effectiveness of the mutual recognition framework, calls on the Commission to explore the legal and financial means available at Union level to improve standards of detention including legislative proposals on the conditions of pre-trial detention; |
| --- | --- |

17.

In order to ensure the effectiveness of the mutual recognition framework, calls on the Commission to explore the legal and financial means available at Union level to improve standards of detention including legislative proposals on the conditions of pre-trial detention;

| 18. | Confirms that the recommendations respect fundamental rights, the principle of subsidiarity and the principle of proportionality; |
| --- | --- |

18.

Confirms that the recommendations respect fundamental rights, the principle of subsidiarity and the principle of proportionality;

| 20. | Instructs its President to forward this resolution and the accompanying detailed recommendations to the Commission and the Council. |
| --- | --- |

20.

Instructs its President to forward this resolution and the accompanying detailed recommendations to the Commission and the Council.

| 19. | Considers that any financial implications of the requested proposals for the budget of the Union should be covered by the existing budgetary allocations; stresses that for both Member States and citizens, the adoption and implementation of those proposals would lead to substantial cost and time savings, and will thus be beneficial both in economic and social terms, as clearly pointed out in the European Added Value Assessment of Union measures concerning the review of the EAW; |
| --- | --- |

19.

Considers that any financial implications of the requested proposals for the budget of the Union should be covered by the existing budgetary allocations; stresses that for both Member States and citizens, the adoption and implementation of those proposals would lead to substantial cost and time savings, and will thus be beneficial both in economic and social terms, as clearly pointed out in the European Added Value Assessment of Union measures concerning the review of the EAW;

---

(1)  OJ L 262, 7.10.2005, p. 1.

(2)  OJ L 190, 18.7.2002, p. 1.

(3)  Texts adopted, P7_TA(2013)0444.

(4)  OJ L 354, 28.12.2013, p. 73.

(5)  OJ C 168 E, 14.6.2013, p. 82.

(6)  OJ C 102 E, 28.4.2004, p. 154.

(7)  OJ L 304, 20.11.2010, p. 47.

---

ANNEX TO THE RESOLUTION: RECOMMENDATIONS AS TO SOME ENVISAGED LEGISLATIVE PROPOSALS

Validation procedure for Union mutual legal recognition instruments:

| — | ‘Issuing authority’ in Union criminal legislation shall be defined as:






  (i) | a judge, a court, an investigating magistrate or a public prosecutor competent in the case concerned; or |
| --- | --- | --- |

—

‘Issuing authority’ in Union criminal legislation shall be defined as:

(i)

a judge, a court, an investigating magistrate or a public prosecutor competent in the case concerned; or

| (ii) | any other competent authority as defined by the issuing Member State, provided that the act to be executed is validated, after examination of its conformity with the conditions for issuing the instrument, by a judge, court, investigating magistrate or a public prosecutor in the issuing Member State. |
| --- | --- |

(ii)

any other competent authority as defined by the issuing Member State, provided that the act to be executed is validated, after examination of its conformity with the conditions for issuing the instrument, by a judge, court, investigating magistrate or a public prosecutor in the issuing Member State.

Proportionality check for the issuing of Union mutual recognition legal instruments:

| — | When issuing a decision to be executed in another Member State, the competent authority shall carefully assess the need for the requested measure based on all the relevant factors and circumstances, taking into account the rights of the suspected or accused person and the availability of an appropriate less intrusive alternative measure to achieve the intended objectives, and shall apply the least intrusive available measure. Where the executing authority has reason to believe that the measure is disproportionate, the executing authority can consult the issuing authority on the importance of executing the mutual recognition decision. After such consultation, the issuing authority may decide to withdraw the mutual recognition decision. |
| --- | --- |

—

When issuing a decision to be executed in another Member State, the competent authority shall carefully assess the need for the requested measure based on all the relevant factors and circumstances, taking into account the rights of the suspected or accused person and the availability of an appropriate less intrusive alternative measure to achieve the intended objectives, and shall apply the least intrusive available measure. Where the executing authority has reason to believe that the measure is disproportionate, the executing authority can consult the issuing authority on the importance of executing the mutual recognition decision. After such consultation, the issuing authority may decide to withdraw the mutual recognition decision.

Consultation procedure between the competent authorities in the issuing and executing Member State to be used for Union mutual recognition legal instruments:

| — | Without prejudice to the possibility of the competent executing authority to avail itself of the grounds for refusal, a standardised procedure should be available whereby the competent authorities in the issuing and executing Member State can exchange information and consult each other with a view to facilitating the smooth and efficient application of the relevant mutual recognition instruments or the protection of the fundamental rights of the person concerned such as the assessment of proportionality, including, with regard to the EAW in order to ascertain trial-readiness. |
| --- | --- |

—

Without prejudice to the possibility of the competent executing authority to avail itself of the grounds for refusal, a standardised procedure should be available whereby the competent authorities in the issuing and executing Member State can exchange information and consult each other with a view to facilitating the smooth and efficient application of the relevant mutual recognition instruments or the protection of the fundamental rights of the person concerned such as the assessment of proportionality, including, with regard to the EAW in order to ascertain trial-readiness.

Fundamental rights refusal ground to be applied to Union mutual recognition legal instruments:

| — | There are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State's obligations in accordance with Article 6 TEU and the Charter. |
| --- | --- |

—

There are substantial grounds to believe that the execution of the measure would be incompatible with the executing Member State's obligations in accordance with Article 6 TEU and the Charter.

Provision on effective legal remedies applicable to Union mutual recognition instruments:

| — | Member States shall ensure in accordance with the Charter, the established case-law of the ECJ and the ECtHR, that everyone whose rights and freedoms are violated by a decision, action or omission in the application of an instrument of mutual recognition in criminal matters has the right to an effective remedy before a tribunal. If such a remedy is exercised in the executing Member State and has suspensive effect, the final decision on such a remedy shall be taken within the time limits set by the applicable mutual recognition instrument or, in the absence of explicit time limits, with sufficient promptness to ensure that the purpose of the mutual recognition process is not jeopardised. |
| --- | --- |

—

Member States shall ensure in accordance with the Charter, the established case-law of the ECJ and the ECtHR, that everyone whose rights and freedoms are violated by a decision, action or omission in the application of an instrument of mutual recognition in criminal matters has the right to an effective remedy before a tribunal. If such a remedy is exercised in the executing Member State and has suspensive effect, the final decision on such a remedy shall be taken within the time limits set by the applicable mutual recognition instrument or, in the absence of explicit time limits, with sufficient promptness to ensure that the purpose of the mutual recognition process is not jeopardised.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/141 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/141

---

P7_TA(2014)0175

EU-Indonesia voluntary partnership agreement on forest law enforcement, governance and trade in timber products to the EU

European Parliament resolution of 27 February 2014 on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (2013/2990(RSP))

(2017/C 285/19)

The European Parliament,

| — | having regard to the draft Council decision on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (1), |
| --- | --- |

—

having regard to the draft Council decision on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (1),

| — | having regard to the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (2), |
| --- | --- |

—

having regard to the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (2),

| — | having regard to the request for consent submitted by the Council in accordance with Articles 207(3), first subparagraph, 207(4), first subparagraph, 218(6), second subparagraph, point (a)(v), and 218(7) of the Treaty on the Functioning of the European Union (C7-0344/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Articles 207(3), first subparagraph, 207(4), first subparagraph, 218(6), second subparagraph, point (a)(v), and 218(7) of the Treaty on the Functioning of the European Union (C7-0344/2013),

| — | having regard to the United Nations Declaration on the Rights of Indigenous Peoples (adopted by General Assembly Resolution 61/295 of 13 September 2007) (3), |
| --- | --- |

—

having regard to the United Nations Declaration on the Rights of Indigenous Peoples (adopted by General Assembly Resolution 61/295 of 13 September 2007) (3),

| — | having regard to Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators who place timber and timber products on the market (4), |
| --- | --- |

—

having regard to Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators who place timber and timber products on the market (4),

| — | having regard to the World Bank report of 14 March 2012 entitled Justice for forests: Improving criminal justice efforts to combat illegal logging
   (5), |
| --- | --- |

—

having regard to the World Bank report of 14 March 2012 entitled Justice for forests: Improving criminal justice efforts to combat illegal logging
   (5),

| — | having regard to the Human Rights Watch report of 16 July 2013 entitled The dark side of green growth: Human rights impacts of weak governance in Indonesia’s forestry sector
   (6), |
| --- | --- |

—

having regard to the Human Rights Watch report of 16 July 2013 entitled The dark side of green growth: Human rights impacts of weak governance in Indonesia’s forestry sector
   (6),

| — | having regard to the Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, signed on 9 November 2009, |
| --- | --- |

—

having regard to the Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, signed on 9 November 2009,

| — | having regard to Rule 110(2) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 110(2) of its Rules of Procedure,

| A. | whereas on 30 September 2013 the Government of Indonesia and the EU signed a Voluntary Partnership Agreement (VPA) on forest law enforcement, governance and trade in timber products into the EU (FLEGT), confirming their mutual commitment to ensuring that timber entering the EU is produced, harvested and shipped legally; |
| --- | --- |

A.

whereas on 30 September 2013 the Government of Indonesia and the EU signed a Voluntary Partnership Agreement (VPA) on forest law enforcement, governance and trade in timber products into the EU (FLEGT), confirming their mutual commitment to ensuring that timber entering the EU is produced, harvested and shipped legally;

| B. | whereas VPAs are designed to eradicate illegal logging, improve forest governance and ultimately lead to the sustainable management of forests, as well as supporting worldwide efforts to stop deforestation and forest degradation; |
| --- | --- |

B.

whereas VPAs are designed to eradicate illegal logging, improve forest governance and ultimately lead to the sustainable management of forests, as well as supporting worldwide efforts to stop deforestation and forest degradation;

| C. | whereas VPAs are intended to foster systemic changes in the forestry sector, rewarding the efforts of diligent operators who acquire timber from legal and reliable sources and protecting them from unfair competition; |
| --- | --- |

C.

whereas VPAs are intended to foster systemic changes in the forestry sector, rewarding the efforts of diligent operators who acquire timber from legal and reliable sources and protecting them from unfair competition;

| D. | whereas Indonesia is home to the world’s third-largest rainforest area after the Amazon and the Congo Basin, but is also a significant emitter of greenhouse gases, mainly as a result of the large-scale conversion of its rainforests and carbon-rich peatlands to other land uses such as the production of palm oil and paper; |
| --- | --- |

D.

whereas Indonesia is home to the world’s third-largest rainforest area after the Amazon and the Congo Basin, but is also a significant emitter of greenhouse gases, mainly as a result of the large-scale conversion of its rainforests and carbon-rich peatlands to other land uses such as the production of palm oil and paper;

| E. | whereas Indonesia lost at least 1 240 000 hectares of forest between 2009 and 2011; |
| --- | --- |

E.

whereas Indonesia lost at least 1 240 000 hectares of forest between 2009 and 2011;

| F. | whereas only 10 % — by value — of Indonesian timber and timber product exports are currently destined for the EU, while the bulk of exports are directed towards Asian countries, which makes the VPA an important standard-setter for the entire Indonesian timber industry; |
| --- | --- |

F.

whereas only 10 % — by value — of Indonesian timber and timber product exports are currently destined for the EU, while the bulk of exports are directed towards Asian countries, which makes the VPA an important standard-setter for the entire Indonesian timber industry;

| G. | whereas there is a high risk of money laundering and tax evasion in Indonesia’s forestry sector, according to Interpol and a 2012 World Bank study; |
| --- | --- |

G.

whereas there is a high risk of money laundering and tax evasion in Indonesia’s forestry sector, according to Interpol and a 2012 World Bank study;

| H. | whereas, according to Human Rights Watch, corruption, tax evasion and money laundering in the forestry sector cost the country as much as USD 7 billion between 2007 and 2011; whereas the Deputy Chair of Indonesia’s Corruption Eradication Commission (KPK) has described the forestry sector as a ‘source of unlimited corruption’ (7); whereas Indonesia has, however, made significant progress in recent years regarding the prosecution of financial crimes, as was proven by the Supreme Court conviction of palm oil producer Asian Agri Group for tax evasion in December 2012; |
| --- | --- |

H.

whereas, according to Human Rights Watch, corruption, tax evasion and money laundering in the forestry sector cost the country as much as USD 7 billion between 2007 and 2011; whereas the Deputy Chair of Indonesia’s Corruption Eradication Commission (KPK) has described the forestry sector as a ‘source of unlimited corruption’ (7); whereas Indonesia has, however, made significant progress in recent years regarding the prosecution of financial crimes, as was proven by the Supreme Court conviction of palm oil producer Asian Agri Group for tax evasion in December 2012;

| I. | whereas both parties must agree on the Indonesian Timber Legality Assurance System (TLAS)/Sistem Verifikasi Legalitas Kayu (SVLK) so that Indonesian timber and timber products covered by the VPA can enter the EU market as FLEGT-licensed timber, which is automatically considered legal under the terms of the EU Timber Regulation (8); |
| --- | --- |

I.

whereas both parties must agree on the Indonesian Timber Legality Assurance System (TLAS)/Sistem Verifikasi Legalitas Kayu (SVLK) so that Indonesian timber and timber products covered by the VPA can enter the EU market as FLEGT-licensed timber, which is automatically considered legal under the terms of the EU Timber Regulation (8);

| J. | whereas the Indonesian SVLK is currently undergoing revision to bring it into compliance with the VPA requirements; |
| --- | --- |

J.

whereas the Indonesian SVLK is currently undergoing revision to bring it into compliance with the VPA requirements;

| K. | whereas the Commission is empowered under Council Regulation (EC) No 2173/2005 on the establishment of a FLEGT licensing scheme for imports of timber into the European Community (9) to adopt detailed requirements for the granting of FLEGT licences and to amend the list of partner countries and their designated licensing authorities set out in Annex I to that regulation; |
| --- | --- |

K.

whereas the Commission is empowered under Council Regulation (EC) No 2173/2005 on the establishment of a FLEGT licensing scheme for imports of timber into the European Community (9) to adopt detailed requirements for the granting of FLEGT licences and to amend the list of partner countries and their designated licensing authorities set out in Annex I to that regulation;

| L. | whereas on 6 May 2013 Indonesia’s Constitutional Court ruled that the customary forests of indigenous peoples should not be classed as falling within ‘state forest areas’, thereby paving the way for wider recognition of the rights of indigenous peoples in the archipelago; |
| --- | --- |

L.

whereas on 6 May 2013 Indonesia’s Constitutional Court ruled that the customary forests of indigenous peoples should not be classed as falling within ‘state forest areas’, thereby paving the way for wider recognition of the rights of indigenous peoples in the archipelago;

| 1. | Commends Indonesia’s enormous voluntary effort to resolve rampant illegal logging and associated trade by developing its SVLK through a multi-stakeholder process, and especially the significant progress achieved in recent months; remains concerned, however, about certain problems; recalls that in order to formally issue FLEGT licences the SVLK must be operational with a view to achieving the goals of the VPA; |
| --- | --- |

1.

Commends Indonesia’s enormous voluntary effort to resolve rampant illegal logging and associated trade by developing its SVLK through a multi-stakeholder process, and especially the significant progress achieved in recent months; remains concerned, however, about certain problems; recalls that in order to formally issue FLEGT licences the SVLK must be operational with a view to achieving the goals of the VPA;

| 2. | Welcomes the outcome of the negotiations on the Voluntary Partnership Agreement between the EU and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the EU; reiterates its support for the conclusion of the VPA and its willingness to support the successful implementation thereof; |
| --- | --- |

2.

Welcomes the outcome of the negotiations on the Voluntary Partnership Agreement between the EU and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the EU; reiterates its support for the conclusion of the VPA and its willingness to support the successful implementation thereof;

| 3. | Notes that the majority of timber sources in question in the country have not yet been SVLK-certified and that large volumes of unverified timber from forest clearance are entering the supply chain; |
| --- | --- |

3.

Notes that the majority of timber sources in question in the country have not yet been SVLK-certified and that large volumes of unverified timber from forest clearance are entering the supply chain;

| 4. | Underlines the importance of extending the coverage of the SVLK scheme, including auditing, to cover all timber production areas and every stage of the supply chain, ensuring that verified legal timber is separated from unverified timber so that the latter does not enter SVLK supply chains; |
| --- | --- |

4.

Underlines the importance of extending the coverage of the SVLK scheme, including auditing, to cover all timber production areas and every stage of the supply chain, ensuring that verified legal timber is separated from unverified timber so that the latter does not enter SVLK supply chains;

| 5. | Considers the issue of forest conversion to be an ongoing problem in Indonesia’s land-use governance system; regrets the fact that at present the SVLK is not auditing the process whereby concessions for forest conversion are granted to undertakings, especially as regards the completion of environmental impact assessments (AMDALs) and compliance with restrictions imposed as part of the process for obtaining a forest conversion permit (IPK); |
| --- | --- |

5.

Considers the issue of forest conversion to be an ongoing problem in Indonesia’s land-use governance system; regrets the fact that at present the SVLK is not auditing the process whereby concessions for forest conversion are granted to undertakings, especially as regards the completion of environmental impact assessments (AMDALs) and compliance with restrictions imposed as part of the process for obtaining a forest conversion permit (IPK);

| 6. | Notes that the current SVLK leads to timber operations being certified as legal even when land-use rights claims by indigenous peoples and local communities have not been settled and/or proper compensation has not been paid, where appropriate; calls on the Commission to urge the Indonesian Government to ensure that traditional community rights to forests, the free, prior and informed consent of indigenous peoples and local communities, and compensation for lost access to forest lands, where appropriate, are taken into due account in the verification of legality, and that the verification bodies are given a mandate to assess whether undertakings have respected local land-use rights and whether land has been legally gazetted; |
| --- | --- |

6.

Notes that the current SVLK leads to timber operations being certified as legal even when land-use rights claims by indigenous peoples and local communities have not been settled and/or proper compensation has not been paid, where appropriate; calls on the Commission to urge the Indonesian Government to ensure that traditional community rights to forests, the free, prior and informed consent of indigenous peoples and local communities, and compensation for lost access to forest lands, where appropriate, are taken into due account in the verification of legality, and that the verification bodies are given a mandate to assess whether undertakings have respected local land-use rights and whether land has been legally gazetted;

| 7. | Encourages the Indonesian Government to ensure that the certification process does not discriminate against small and medium-sized enterprises; |
| --- | --- |

7.

Encourages the Indonesian Government to ensure that the certification process does not discriminate against small and medium-sized enterprises;

| 8. | Calls on the Commission to urge the Indonesian Government to give assurances that:






  — | all timber sources and their complete chains of custody are audited, including verification that timber undertakings had the right to harvest in the first place, |
| --- | --- | --- |

8.

Calls on the Commission to urge the Indonesian Government to give assurances that:

—

all timber sources and their complete chains of custody are audited, including verification that timber undertakings had the right to harvest in the first place,

| — | certified and uncertified timber and timber products are kept separate, |
| --- | --- |

—

certified and uncertified timber and timber products are kept separate,

| — | the conversion of natural forests is kept to a minimum and the legal origin of timber from conversion areas is verified, including the existence of an AMDAL, and/or compliance with its stipulations regulating the use of land under concession; |
| --- | --- |

—

the conversion of natural forests is kept to a minimum and the legal origin of timber from conversion areas is verified, including the existence of an AMDAL, and/or compliance with its stipulations regulating the use of land under concession;

| 9. | Calls on the Indonesian Government, with a view to enhancing the country’s credibility in issuing FLEGT licences, to complement the legal verification under the SVLK with decisive action to combat financial crimes linked to the forestry sector, such as money laundering and tax fraud; |
| --- | --- |

9.

Calls on the Indonesian Government, with a view to enhancing the country’s credibility in issuing FLEGT licences, to complement the legal verification under the SVLK with decisive action to combat financial crimes linked to the forestry sector, such as money laundering and tax fraud;

| 10. | Calls on the Indonesian Government to follow up on its recent decision to enforce tax laws, and to require documentation showing that companies exporting timber are in full compliance with Indonesia’s tax statutes and the anti-money laundering statute of 2010; |
| --- | --- |

10.

Calls on the Indonesian Government to follow up on its recent decision to enforce tax laws, and to require documentation showing that companies exporting timber are in full compliance with Indonesia’s tax statutes and the anti-money laundering statute of 2010;

| 11. | Welcomes the Indonesian Government’s ‘one map’ initiative to increase public access to up-to-date and transparent data and maps, without which good forest governance in Indonesia is hampered by inconsistent and multiple interpretations of laws, and conflicts with local and indigenous communities; underlines the fact that the independent forest monitors need to have access to such basic information in order to perform their role credibly, and that concession maps, harvesting plans and information on permits should be a matter of public record; calls on the Indonesian Government to accelerate the ‘one map’ initiative and publish a first version of it, including relevant information linked to forest licensing and land-use claims; |
| --- | --- |

11.

Welcomes the Indonesian Government’s ‘one map’ initiative to increase public access to up-to-date and transparent data and maps, without which good forest governance in Indonesia is hampered by inconsistent and multiple interpretations of laws, and conflicts with local and indigenous communities; underlines the fact that the independent forest monitors need to have access to such basic information in order to perform their role credibly, and that concession maps, harvesting plans and information on permits should be a matter of public record; calls on the Indonesian Government to accelerate the ‘one map’ initiative and publish a first version of it, including relevant information linked to forest licensing and land-use claims;

| 12. | Calls on the Commission, through its participation in the Joint Implementation Committee, to ensure that the risk of fraud and corruption is substantially addressed, including through the preparation of a risk-based fraud control plan; |
| --- | --- |

12.

Calls on the Commission, through its participation in the Joint Implementation Committee, to ensure that the risk of fraud and corruption is substantially addressed, including through the preparation of a risk-based fraud control plan;

| 13. | Acknowledges that verification of the legality of timber relies almost entirely on the performance of auditors and independent monitoring; commends the SVLK for its official role in respect of independent monitoring by civil society; notes, however, that the capacity of independent monitoring networks is still severely limited in terms of human and financial resources; |
| --- | --- |

13.

Acknowledges that verification of the legality of timber relies almost entirely on the performance of auditors and independent monitoring; commends the SVLK for its official role in respect of independent monitoring by civil society; notes, however, that the capacity of independent monitoring networks is still severely limited in terms of human and financial resources;

| 14. | Calls on the Commission to urge the Indonesian Government to ensure that auditors and verification bodies, along with the independent forest monitors, receive adequate funding and training so that they can carry out regular field monitoring, spot checks and audits; |
| --- | --- |

14.

Calls on the Commission to urge the Indonesian Government to ensure that auditors and verification bodies, along with the independent forest monitors, receive adequate funding and training so that they can carry out regular field monitoring, spot checks and audits;

| 15. | Welcomes the efforts made by the Indonesian Government to strengthen the role of the designated forestry police; notes, however, that the Indonesian Ministry of Forestry should further improve its policy for monitoring, cataloguing and following up on cases of illegal logging; stresses the utmost importance of reporting companies found to be operating illegally to the law enforcement authorities; |
| --- | --- |

15.

Welcomes the efforts made by the Indonesian Government to strengthen the role of the designated forestry police; notes, however, that the Indonesian Ministry of Forestry should further improve its policy for monitoring, cataloguing and following up on cases of illegal logging; stresses the utmost importance of reporting companies found to be operating illegally to the law enforcement authorities;

| 16. | Calls on the Commission to urge the Indonesian Government to ensure that independent monitoring reports signalling infringements of relevant legislation are responded to adequately, and that effective and dissuasive enforcement action is taken by the relevant authorities where infringements of the legislation in question are detected; |
| --- | --- |

16.

Calls on the Commission to urge the Indonesian Government to ensure that independent monitoring reports signalling infringements of relevant legislation are responded to adequately, and that effective and dissuasive enforcement action is taken by the relevant authorities where infringements of the legislation in question are detected;

| 17. | Underlines the fact that independent monitoring and respect for the rights of indigenous peoples and local communities are critical factors lending credibility to the SVLK; stresses, therefore, that it is important that this commitment continue, that transparency vis-à-vis other civil society stakeholders be enhanced, that independent monitoring by civil society take place without violence, threats or any form of abuse, and that the latter be vigorously prosecuted should they occur; |
| --- | --- |

17.

Underlines the fact that independent monitoring and respect for the rights of indigenous peoples and local communities are critical factors lending credibility to the SVLK; stresses, therefore, that it is important that this commitment continue, that transparency vis-à-vis other civil society stakeholders be enhanced, that independent monitoring by civil society take place without violence, threats or any form of abuse, and that the latter be vigorously prosecuted should they occur;

| 18. | Calls on the Commission to urge the Indonesian Government to ensure that:






  — | stakeholder involvement in the implementation and operationalisation of the SVLK is continued and enhanced, |
| --- | --- | --- |

18.

Calls on the Commission to urge the Indonesian Government to ensure that:

—

stakeholder involvement in the implementation and operationalisation of the SVLK is continued and enhanced,

| — | independent monitoring by civil society takes place without violence, threats or any form of abuse, and that the latter are vigorously prosecuted should they occur, |
| --- | --- |

—

independent monitoring by civil society takes place without violence, threats or any form of abuse, and that the latter are vigorously prosecuted should they occur,

| — | free, prior and informed consent of indigenous peoples and local communities is obtained in all cases, and fair compensation paid, where appropriate, for loss of access to forest lands critical to their livelihoods, as a non-negotiable condition of any FLEGT licence, |
| --- | --- |

—

free, prior and informed consent of indigenous peoples and local communities is obtained in all cases, and fair compensation paid, where appropriate, for loss of access to forest lands critical to their livelihoods, as a non-negotiable condition of any FLEGT licence,

| — | the SLVK audit requirements are not static, but are subject to periodic review by Indonesian stakeholders with a view to their continuous improvement; |
| --- | --- |

—

the SLVK audit requirements are not static, but are subject to periodic review by Indonesian stakeholders with a view to their continuous improvement;

| 19. | Calls on the Commission to ensure that the findings of the decision of Indonesia’s Constitutional Court of 6 May 2013 are duly taken into account in the revision of the SVLK; |
| --- | --- |

19.

Calls on the Commission to ensure that the findings of the decision of Indonesia’s Constitutional Court of 6 May 2013 are duly taken into account in the revision of the SVLK;

| 20. | Calls on the Commission to facilitate the efforts requested from the Indonesian Government and to ensure a regional level playing field by meeting the Indonesian Government’s request to include the region of Sarawak in the negotiations for an EU-Malaysia VPA; |
| --- | --- |

20.

Calls on the Commission to facilitate the efforts requested from the Indonesian Government and to ensure a regional level playing field by meeting the Indonesian Government’s request to include the region of Sarawak in the negotiations for an EU-Malaysia VPA;

| 21. | Is aware that certain requests contained in this resolution go beyond the criteria established in Annex 8 to the VPA regarding the approval of the licensing system; calls on the Commission to ensure that progress is made in meeting these additional requests, which Parliament deems important, and to report back to Parliament on that progress before approving the licensing system; |
| --- | --- |

21.

Is aware that certain requests contained in this resolution go beyond the criteria established in Annex 8 to the VPA regarding the approval of the licensing system; calls on the Commission to ensure that progress is made in meeting these additional requests, which Parliament deems important, and to report back to Parliament on that progress before approving the licensing system;

| 22. | Calls on the Commission to report regularly to Parliament on the progress made in implementing the VPA, and in particular on how the aforementioned issues have been, and will be, addressed; |
| --- | --- |

22.

Calls on the Commission to report regularly to Parliament on the progress made in implementing the VPA, and in particular on how the aforementioned issues have been, and will be, addressed;

| 23. | Instructs its President to forward this resolution to the Council, the Commission and the Government and Parliament of Indonesia. |
| --- | --- |

23.

Instructs its President to forward this resolution to the Council, the Commission and the Government and Parliament of Indonesia.

---

(1)  Council document 11767/1/2013.

(2)  Council document 11769/1/2013.

(3)  http://www.un.org/esa/socdev/unpfii/documents/DRIPS_en.pdf

(4)  OJ L 295, 12.11.2010, p. 23.

(5)  World Bank, Justice for forests: Improving criminal justice efforts to combat illegal logging, 2012, pp. 5-10, http://siteresources.worldbank.org/EXTFINANCIALSECTOR/Resources/Illegal_Logging.pdf

(6)  Human Rights Watch, The dark side of green growth: Human rights impacts of weak governance in Indonesia’s forestry sector, 2013, http://www.hrw.org/sites/default/files/reports/indonesia0713webwcover_1.pdf

(7)  Reuters Online News, 17 September 2010, ‘Graft could jeopardise Indonesia’s climate deals’, http://www.reuters.com/article/2010/09/17/indonesia-corruption-idUSSGE68G03P20100917

(8)  Regulation (EU) No 995/2010.

(9)  OJ L 347, 30.12.2005, p. 1.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/145 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/145

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P7_TA(2014)0176

Situation in Venezuela

European Parliament resolution of 27 February 2014 on the situation in Venezuela (2014/2600(RSP))

(2017/C 285/20)

The European Parliament,

| — | having regard to its previous resolutions on the situation in Venezuela, including those of 24 May 2007 on the Radio Caracas TV channel case in Venezuela (1), 23 October 2008 on political disqualifications in Venezuela (2), 7 May 2009 on the case of Manuel Rosales in Venezuela (3), 11 February 2010 on Venezuela (4), 8 July 2010 on Venezuela, in particular the case of Maria Lourdes Afiuni (5), and 24 May 2012 on the possible withdrawal of Venezuela from the Inter-American Commission on Human Rights (6), |
| --- | --- |

—

having regard to its previous resolutions on the situation in Venezuela, including those of 24 May 2007 on the Radio Caracas TV channel case in Venezuela (1), 23 October 2008 on political disqualifications in Venezuela (2), 7 May 2009 on the case of Manuel Rosales in Venezuela (3), 11 February 2010 on Venezuela (4), 8 July 2010 on Venezuela, in particular the case of Maria Lourdes Afiuni (5), and 24 May 2012 on the possible withdrawal of Venezuela from the Inter-American Commission on Human Rights (6),

| — | having regard to the statement by the spokesperson for Catherine Ashton, Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy (VP/HR), of 14 February 2014, |
| --- | --- |

—

having regard to the statement by the spokesperson for Catherine Ashton, Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy (VP/HR), of 14 February 2014,

| — | having regard to the statement by VP/HR Catherine Ashton of 21 February 2014 on unrest in Venezuela, |
| --- | --- |

—

having regard to the statement by VP/HR Catherine Ashton of 21 February 2014 on unrest in Venezuela,

| — | having regard to the International Covenant on Civil and Political Rights, to which Venezuela is a party, |
| --- | --- |

—

having regard to the International Covenant on Civil and Political Rights, to which Venezuela is a party,

| — | having regard to the Universal Declaration of Human Rights of 1948, |
| --- | --- |

—

having regard to the Universal Declaration of Human Rights of 1948,

| — | having regard to Rule 110(2) and (4) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 110(2) and (4) of its Rules of Procedure,

| A. | having regard to the seriousness of the current situation in Venezuela; whereas since 12 February 2014 peaceful marches led by students have taken place across Venezuela and have ended in deadly violence, with at least 13 deaths and more than 70 people being injured and hundreds detained; whereas the students’ demands relate to the failure of President Maduro’s government to solve the problems of high inflation, crime and shortages of some staples, as well as to increasing levels of corruption and the intimidation of the media and the democratic opposition; whereas the government has blamed the shortages on ‘saboteurs’ and ‘profit-hungry corrupt businessmen’; whereas Venezuela is the country with the largest energy reserves in Latin America; |
| --- | --- |

A.

having regard to the seriousness of the current situation in Venezuela; whereas since 12 February 2014 peaceful marches led by students have taken place across Venezuela and have ended in deadly violence, with at least 13 deaths and more than 70 people being injured and hundreds detained; whereas the students’ demands relate to the failure of President Maduro’s government to solve the problems of high inflation, crime and shortages of some staples, as well as to increasing levels of corruption and the intimidation of the media and the democratic opposition; whereas the government has blamed the shortages on ‘saboteurs’ and ‘profit-hungry corrupt businessmen’; whereas Venezuela is the country with the largest energy reserves in Latin America;

| B. | whereas in recent days the number of demonstrations has not diminished, but has in fact risen, leading to an increase in the number of people killed, injured and arrested as a result of the suppression of the protest movement by the state authorities and illegal armed groups; |
| --- | --- |

B.

whereas in recent days the number of demonstrations has not diminished, but has in fact risen, leading to an increase in the number of people killed, injured and arrested as a result of the suppression of the protest movement by the state authorities and illegal armed groups;

| C. | whereas the political tension and polarisation is increasing in Venezuela; whereas the Venezuelan authorities, instead of contributing to the maintenance of peace and calm, have threatened to conduct an ‘armed revolution’; |
| --- | --- |

C.

whereas the political tension and polarisation is increasing in Venezuela; whereas the Venezuelan authorities, instead of contributing to the maintenance of peace and calm, have threatened to conduct an ‘armed revolution’;

| D. | having regard to the acts of repression against, in particular, students, journalists, opposition leaders and peaceful civil society activists, who have been persecuted and deprived of their freedom; |
| --- | --- |

D.

having regard to the acts of repression against, in particular, students, journalists, opposition leaders and peaceful civil society activists, who have been persecuted and deprived of their freedom;

| E. | whereas violent and uncontrolled armed pro-government groups have been acting with impunity in Venezuela for a long time; whereas the opposition has accused these groups of inciting violence during the peaceful demonstrations, causing deaths and several injuries; whereas the Venezuelan Government has not yet clarified the events; |
| --- | --- |

E.

whereas violent and uncontrolled armed pro-government groups have been acting with impunity in Venezuela for a long time; whereas the opposition has accused these groups of inciting violence during the peaceful demonstrations, causing deaths and several injuries; whereas the Venezuelan Government has not yet clarified the events;

| F. | whereas the media are subject to censorship and intimidation, and scores of journalists have been beaten or detained or have had their professional material destroyed; |
| --- | --- |

F.

whereas the media are subject to censorship and intimidation, and scores of journalists have been beaten or detained or have had their professional material destroyed;

| G. | whereas freedom of expression and the right to take part in peaceful demonstrations are fundamental to democracy, and whereas equality and justice for all are impossible without fundamental freedoms and respect for the rights of all citizens; whereas the Venezuelan Constitution guarantees the peaceful right of assembly and of association and the right to demonstrate peacefully; whereas the state authorities have a duty to safeguard the fundamental rights of Venezuelan citizens and to guarantee their safety and protect their lives without curtailing those rights; |
| --- | --- |

G.

whereas freedom of expression and the right to take part in peaceful demonstrations are fundamental to democracy, and whereas equality and justice for all are impossible without fundamental freedoms and respect for the rights of all citizens; whereas the Venezuelan Constitution guarantees the peaceful right of assembly and of association and the right to demonstrate peacefully; whereas the state authorities have a duty to safeguard the fundamental rights of Venezuelan citizens and to guarantee their safety and protect their lives without curtailing those rights;

| H. | whereas only respect for fundamental rights and freedoms, constructive and respectful dialogue and tolerance can help Venezuela to find a way out of this serious crisis and thus overcome future difficulties; |
| --- | --- |

H.

whereas only respect for fundamental rights and freedoms, constructive and respectful dialogue and tolerance can help Venezuela to find a way out of this serious crisis and thus overcome future difficulties;

| 1. | Condemns all acts of violence and the tragic loss of life during the peaceful demonstrations of 12 February 2014 and the following days, and expresses its sincere condolences to the families of the victims; |
| --- | --- |

1.

Condemns all acts of violence and the tragic loss of life during the peaceful demonstrations of 12 February 2014 and the following days, and expresses its sincere condolences to the families of the victims;

| 2. | Expresses its strong solidarity with the Venezuelan people and its concern at the possibility that new protests may lead to more acts of violence which would only deepen the gulf between the positions of the government and the opposition and polarise to an even greater degree the sensitive political developments that are taking place in Venezuela; calls on the representatives of all parties and sections of Venezuelan society to remain calm in both actions and words; |
| --- | --- |

2.

Expresses its strong solidarity with the Venezuelan people and its concern at the possibility that new protests may lead to more acts of violence which would only deepen the gulf between the positions of the government and the opposition and polarise to an even greater degree the sensitive political developments that are taking place in Venezuela; calls on the representatives of all parties and sections of Venezuelan society to remain calm in both actions and words;

| 3. | Reminds the Venezuelan Government that freedom of expression and the right to participate in peaceful demonstrations are fundamental human rights in a democracy, as recognised in the Venezuelan Constitution, and calls on President Maduro to abide by the international treaties to which Venezuela is a party, in particular the Inter-American Democratic Charter; |
| --- | --- |

3.

Reminds the Venezuelan Government that freedom of expression and the right to participate in peaceful demonstrations are fundamental human rights in a democracy, as recognised in the Venezuelan Constitution, and calls on President Maduro to abide by the international treaties to which Venezuela is a party, in particular the Inter-American Democratic Charter;

| 4. | Reminds the Venezuelan Government of its obligation to ensure the security of all citizens in the country, regardless of their political views and affiliations; expresses deep concern at the arrests of students and opposition leaders and calls for their immediate release; |
| --- | --- |

4.

Reminds the Venezuelan Government of its obligation to ensure the security of all citizens in the country, regardless of their political views and affiliations; expresses deep concern at the arrests of students and opposition leaders and calls for their immediate release;

| 5. | Recalls that respect for the principle of separation of powers is fundamental in a democracy and that the justice system cannot be used by the authorities as a means of political persecution and repression of the democratic opposition; calls on the Venezuelan authorities to withdraw the unfounded accusations and arrest warrants against opposition leaders; |
| --- | --- |

5.

Recalls that respect for the principle of separation of powers is fundamental in a democracy and that the justice system cannot be used by the authorities as a means of political persecution and repression of the democratic opposition; calls on the Venezuelan authorities to withdraw the unfounded accusations and arrest warrants against opposition leaders;

| 6. | Calls on the Venezuelan authorities to immediately disarm and dissolve the uncontrolled armed pro-government groups and to put an end to their impunity; calls for clarification regarding the deaths that have occurred so that the perpetrators are held accountable for their actions; |
| --- | --- |

6.

Calls on the Venezuelan authorities to immediately disarm and dissolve the uncontrolled armed pro-government groups and to put an end to their impunity; calls for clarification regarding the deaths that have occurred so that the perpetrators are held accountable for their actions;

| 7. | Encourages all parties, in particular the Venezuelan authorities, to pursue peaceful dialogue, reaching out to all segments of Venezuelan society in order to define points of convergence and to allow political actors to discuss the most serious problems facing the country; |
| --- | --- |

7.

Encourages all parties, in particular the Venezuelan authorities, to pursue peaceful dialogue, reaching out to all segments of Venezuelan society in order to define points of convergence and to allow political actors to discuss the most serious problems facing the country;

| 8. | Emphasises that respect for freedom of the press, information and opinion and political pluralism are fundamental to democracy; regrets the existence of media and web censorship and the fact that access to some blogs and social networks is limited; condemns the harassment suffered by a number of newspapers and other audiovisual media outlets, such as the television channel NTN24 and Spanish CNN, and regards these practices as contrary to the Venezuelan Constitution and the undertakings given by the Bolivarian Republic of Venezuela; |
| --- | --- |

8.

Emphasises that respect for freedom of the press, information and opinion and political pluralism are fundamental to democracy; regrets the existence of media and web censorship and the fact that access to some blogs and social networks is limited; condemns the harassment suffered by a number of newspapers and other audiovisual media outlets, such as the television channel NTN24 and Spanish CNN, and regards these practices as contrary to the Venezuelan Constitution and the undertakings given by the Bolivarian Republic of Venezuela;

| 9. | Calls for an ad hoc European Parliament delegation to be sent to assess the situation in Venezuela as soon as possible; |
| --- | --- |

9.

Calls for an ad hoc European Parliament delegation to be sent to assess the situation in Venezuela as soon as possible;

| 10. | Instructs its President to forward this resolution to the Council, the Commission, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Government and National Assembly of the Bolivarian Republic of Venezuela, the Euro-Latin American Parliamentary Assembly and the Secretary-General of the Organisation of American States. |
| --- | --- |

10.

Instructs its President to forward this resolution to the Council, the Commission, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Government and National Assembly of the Bolivarian Republic of Venezuela, the Euro-Latin American Parliamentary Assembly and the Secretary-General of the Organisation of American States.

---

(1)  OJ C 102 E, 24.4.2008, p. 484.

(2)  OJ C 15 E, 21.1.2010, p. 85.

(3)  OJ C 212 E, 5.8.2010, p. 113.

(4)  OJ C 341 E, 16.12.2010, p. 69.

(5)  OJ C 351 E, 2.12.2011, p. 130.

(6)  OJ C 264 E, 13.9.2013, p. 88.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/147 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/147

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P7_TA(2014)0177

Future of EU visa policy

European Parliament resolution of 27 February 2014 on the future of EU visa policy (2014/2586(RSP))

(2017/C 285/21)

The European Parliament,

| — | having regard to the Treaty on the Functioning of the European Union (TFEU), in particular Article 77 thereof, |
| --- | --- |

—

having regard to the Treaty on the Functioning of the European Union (TFEU), in particular Article 77 thereof,

| — | having regard to the Commission communication entitled ‘Implementation and development of the common visa policy to spur growth in the EU’ (COM(2012)0649), |
| --- | --- |

—

having regard to the Commission communication entitled ‘Implementation and development of the common visa policy to spur growth in the EU’ (COM(2012)0649),

| — | having regard to the Commission report on the functioning of Local Schengen Cooperation during the first two years of implementation of the Visa Code (COM(2012)0648), |
| --- | --- |

—

having regard to the Commission report on the functioning of Local Schengen Cooperation during the first two years of implementation of the Visa Code (COM(2012)0648),

| — | having regard to the Commission’s Seventh report on certain third countries’ maintenance of visa requirements in breach of the principle of reciprocity (COM(2012)0681), |
| --- | --- |

—

having regard to the Commission’s Seventh report on certain third countries’ maintenance of visa requirements in breach of the principle of reciprocity (COM(2012)0681),

| — | having regard to the recent revisions (1) of Council Regulation (EC) No 539/2001 of 15 March 2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (2), |
| --- | --- |

—

having regard to the recent revisions (1) of Council Regulation (EC) No 539/2001 of 15 March 2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (2),

| — | having regard to the recent visa facilitation agreements with Georgia (3), Ukraine (4), Moldova (5), Cape Verde (6), Armenia (7) and Azerbaijan (8), |
| --- | --- |

—

having regard to the recent visa facilitation agreements with Georgia (3), Ukraine (4), Moldova (5), Cape Verde (6), Armenia (7) and Azerbaijan (8),

| — | having regard to the question to the Commission on the future of EU visa policy (O-000028/2014 — B7-0108/2014), |
| --- | --- |

—

having regard to the question to the Commission on the future of EU visa policy (O-000028/2014 — B7-0108/2014),

| — | having regard to Rules 115(5) and 110(2) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 115(5) and 110(2) of its Rules of Procedure,

| A. | whereas the common visa policy constitutes a necessary corollary to the lifting of internal border controls within the Schengen area; |
| --- | --- |

A.

whereas the common visa policy constitutes a necessary corollary to the lifting of internal border controls within the Schengen area;

| B. | whereas the main elements of the common visa policy are: the common lists of countries whose citizens are subject to the visa requirement and those whose citizens are exempt from it, as annexed to Regulation (EC) No 539/2001, the common rules on the issuing of visas as contained in the Visa Code, the uniform format for visas, the exchange of information through the Visa Information System, and a series of international agreements with third countries on visa exemption and facilitation; |
| --- | --- |

B.

whereas the main elements of the common visa policy are: the common lists of countries whose citizens are subject to the visa requirement and those whose citizens are exempt from it, as annexed to Regulation (EC) No 539/2001, the common rules on the issuing of visas as contained in the Visa Code, the uniform format for visas, the exchange of information through the Visa Information System, and a series of international agreements with third countries on visa exemption and facilitation;

| C. | whereas the Treaty of Lisbon provides for the use of the ordinary legislative procedure for all aspects of the common visa policy, and for Parliament’s consent for all international agreements on the matter; |
| --- | --- |

C.

whereas the Treaty of Lisbon provides for the use of the ordinary legislative procedure for all aspects of the common visa policy, and for Parliament’s consent for all international agreements on the matter;

| D. | whereas it is important to initiate reflection and interinstitutional discussion on the future of the common EU visa policy, in particular regarding steps towards further harmonisation of visa procedures, including common rules on the issuing of visas; |
| --- | --- |

D.

whereas it is important to initiate reflection and interinstitutional discussion on the future of the common EU visa policy, in particular regarding steps towards further harmonisation of visa procedures, including common rules on the issuing of visas;

General visa policy and review of the Visa Code

| 1. | Welcomes the progress made in the field of the visa acquis, but also calls on the Commission and Member States to improve the implementation of the current visa acquis; calls, especially, for enhanced local Schengen cooperation in order to improve the implementation of the Visa Code in the short term; |
| --- | --- |

1.

Welcomes the progress made in the field of the visa acquis, but also calls on the Commission and Member States to improve the implementation of the current visa acquis; calls, especially, for enhanced local Schengen cooperation in order to improve the implementation of the Visa Code in the short term;

| 2. | Believes that in the future steps should be taken towards further harmonisation of visa procedures, including truly common rules on the issuing of visas; |
| --- | --- |

2.

Believes that in the future steps should be taken towards further harmonisation of visa procedures, including truly common rules on the issuing of visas;

| 3. | Considers that in many third countries the current consular coverage is clearly not satisfactory; |
| --- | --- |

3.

Considers that in many third countries the current consular coverage is clearly not satisfactory;

| 4. | Considers that common visa application centres have proven to be a useful tool which could in the future become standard; |
| --- | --- |

4.

Considers that common visa application centres have proven to be a useful tool which could in the future become standard;

| 5. | Regrets the fact that the Commission has not presented a study on the possibility of establishing ‘a common European issuing mechanism for short term visas’, including an examination of ‘to what degree an assessment of individual risk could supplement the presumption of risk associated with the applicant’s nationality’, as it was invited to do in the Stockholm Programme (point 5.2); |
| --- | --- |

5.

Regrets the fact that the Commission has not presented a study on the possibility of establishing ‘a common European issuing mechanism for short term visas’, including an examination of ‘to what degree an assessment of individual risk could supplement the presumption of risk associated with the applicant’s nationality’, as it was invited to do in the Stockholm Programme (point 5.2);

| 6. | Considers that travel by bona fide and frequent travellers should be further facilitated, in particular through more frequent use of multiple-entry visas with a longer duration; |
| --- | --- |

6.

Considers that travel by bona fide and frequent travellers should be further facilitated, in particular through more frequent use of multiple-entry visas with a longer duration;

| 7. | Calls on the Member States to make use of the current provisions of the Visa Code and the Schengen Borders Code allowing the issuing of humanitarian visas, and to facilitate the provision of temporary shelter for human rights defenders at risk in third countries; |
| --- | --- |

7.

Calls on the Member States to make use of the current provisions of the Visa Code and the Schengen Borders Code allowing the issuing of humanitarian visas, and to facilitate the provision of temporary shelter for human rights defenders at risk in third countries;

| 8. | Looks forward to the expected proposal for a review of the Visa Code, but deplores the fact that its adoption has been repeatedly postponed by the Commission; |
| --- | --- |

8.

Looks forward to the expected proposal for a review of the Visa Code, but deplores the fact that its adoption has been repeatedly postponed by the Commission;

| 9. | Regrets the fact that the overall evaluation of the Visa Code has still not been presented by the Commission; deplores the Commission’s intention to present this evaluation together with the proposal for a review of the Visa Code; considers that it would be more appropriate if the Commission presented the evaluation report first and thus allowed the institutions to have a discussion based on it; |
| --- | --- |

9.

Regrets the fact that the overall evaluation of the Visa Code has still not been presented by the Commission; deplores the Commission’s intention to present this evaluation together with the proposal for a review of the Visa Code; considers that it would be more appropriate if the Commission presented the evaluation report first and thus allowed the institutions to have a discussion based on it;

Visa facilitation

| 10. | Calls for the conclusion of further visa facilitation agreements, where appropriate, and for the monitoring and improvement of those already in existence; |
| --- | --- |

10.

Calls for the conclusion of further visa facilitation agreements, where appropriate, and for the monitoring and improvement of those already in existence;

| 11. | Calls for a systematic evaluation of existing visa facilitation agreements in order to assess whether they achieve their intended objective; |
| --- | --- |

11.

Calls for a systematic evaluation of existing visa facilitation agreements in order to assess whether they achieve their intended objective;

Regulation (EC) No 539/2001

| 12. | Welcomes the recent updates of the lists of third countries whose nationals are or are not subject to a visa requirement, as contained in Regulation (EC) No 539/2001, and in particular the additional exemptions from the visa requirement; recalls the importance of visa-free travel for third countries and in particular their civil societies, but also for the EU’s own interests; |
| --- | --- |

12.

Welcomes the recent updates of the lists of third countries whose nationals are or are not subject to a visa requirement, as contained in Regulation (EC) No 539/2001, and in particular the additional exemptions from the visa requirement; recalls the importance of visa-free travel for third countries and in particular their civil societies, but also for the EU’s own interests;

| 13. | In this context, is of the opinion that a visa-free agreement between the EU and Ukraine is a way to respond to the calls of Ukrainian civil society and the students who demonstrated over the last few days; points out that such an agreement would step up exchanges and people-to-people contacts between the civil societies, thus increasing mutual understanding, and would benefit economic exchanges; calls on the Commission to present a proposal in order to put Ukraine on the list of third countries whose nationals are not subject to a visa requirement; also calls on the Member States to fully implement the current visa facilitation agreement in order to facilitate access to the EU, in particular for students and scientists; |
| --- | --- |

13.

In this context, is of the opinion that a visa-free agreement between the EU and Ukraine is a way to respond to the calls of Ukrainian civil society and the students who demonstrated over the last few days; points out that such an agreement would step up exchanges and people-to-people contacts between the civil societies, thus increasing mutual understanding, and would benefit economic exchanges; calls on the Commission to present a proposal in order to put Ukraine on the list of third countries whose nationals are not subject to a visa requirement; also calls on the Member States to fully implement the current visa facilitation agreement in order to facilitate access to the EU, in particular for students and scientists;

| 14. | Welcomes the updating of the visa exemption criteria to include considerations of fundamental rights but also economic benefits, in particular in terms of tourism and foreign trade, and their inclusion in an article of the regulation; |
| --- | --- |

14.

Welcomes the updating of the visa exemption criteria to include considerations of fundamental rights but also economic benefits, in particular in terms of tourism and foreign trade, and their inclusion in an article of the regulation;

| 15. | Stresses that further visa liberalisation requires more knowledge about the application of the current visa waivers, including through the EU Electronic System for Travel Authorisation (EU-ESTA); calls on the Council and the Commission to ensure that Parliament is more fully informed regarding the situation of third countries under discussion, so as to allow proper democratic scrutiny; |
| --- | --- |

15.

Stresses that further visa liberalisation requires more knowledge about the application of the current visa waivers, including through the EU Electronic System for Travel Authorisation (EU-ESTA); calls on the Council and the Commission to ensure that Parliament is more fully informed regarding the situation of third countries under discussion, so as to allow proper democratic scrutiny;

| 16. | Invites the Commission to reflect on how, in the future, changes to the annexes to the regulation and bilateral visa waiver agreements, where considered necessary, could be ensured in parallel, so as to avoid the risk that a modification of the annexes is not followed immediately by the necessary visa waiver agreement; |
| --- | --- |

16.

Invites the Commission to reflect on how, in the future, changes to the annexes to the regulation and bilateral visa waiver agreements, where considered necessary, could be ensured in parallel, so as to avoid the risk that a modification of the annexes is not followed immediately by the necessary visa waiver agreement;

| 17. | Takes note of the agreement on the suspension mechanism; expects the Member States to trigger this mechanism in good faith and only as a last resort in an emergency situation, where an urgent response is needed in order to resolve the difficulties faced by the Union as a whole, and when the relevant criteria are fulfilled; |
| --- | --- |

17.

Takes note of the agreement on the suspension mechanism; expects the Member States to trigger this mechanism in good faith and only as a last resort in an emergency situation, where an urgent response is needed in order to resolve the difficulties faced by the Union as a whole, and when the relevant criteria are fulfilled;

| 18. | Considers that full visa reciprocity is an objective which the Union should pursue in a proactive manner in its relations with third countries, thus helping to improve the credibility and consistency of the Union’s external policy at international level; |
| --- | --- |

18.

Considers that full visa reciprocity is an objective which the Union should pursue in a proactive manner in its relations with third countries, thus helping to improve the credibility and consistency of the Union’s external policy at international level;

| 19. | Calls for a debate on the link between further visa liberalisation and the calls being made by certain Member States for increased security measures and stricter border controls for travellers exempt from the visa requirement; |
| --- | --- |

19.

Calls for a debate on the link between further visa liberalisation and the calls being made by certain Member States for increased security measures and stricter border controls for travellers exempt from the visa requirement;

Visa Information System (VIS)

| 20. | Calls on eu-LISA to present the expected VIS evaluation report as soon as possible; |
| --- | --- |

20.

Calls on eu-LISA to present the expected VIS evaluation report as soon as possible;

Involvement of the European Parliament

| 21. | Calls on the Council and the Commission to improve the flow of information to Parliament as regards negotiations for international agreements in the visa field, in accordance with Article 218(10) TFEU and the Framework Agreement on relations between the European Parliament and the European Commission; |
| --- | --- |

21.

Calls on the Council and the Commission to improve the flow of information to Parliament as regards negotiations for international agreements in the visa field, in accordance with Article 218(10) TFEU and the Framework Agreement on relations between the European Parliament and the European Commission;

| 22. | Announces its intention to set up a contact group on visa policy within the Committee on Civil Liberties, Justice and Home Affairs; invites the Council Presidency and the Member States, along with the Commission, to participate in the meetings of this contact group; |
| --- | --- |

22.

Announces its intention to set up a contact group on visa policy within the Committee on Civil Liberties, Justice and Home Affairs; invites the Council Presidency and the Member States, along with the Commission, to participate in the meetings of this contact group;

o

o o

| 23. | Instructs its President to forward this resolution to the Council and the Commission. |
| --- | --- |

23.

Instructs its President to forward this resolution to the Council and the Commission.

---

(1)  Regulation (EU) No 1091/2010 (OJ L 329, 14.12.2010, p. 1); Regulation (EU) No 1211/2010 (OJ L 339, 22.12.2010, p. 6); Regulation (EU) No 1289/2013 (OJ L 347, 20.12.2013, p. 74); COM(2012)0650; COM(2013)0853.

(2)  OJ L 81, 21.3.2001, p. 1.

(3)  Council Decision 2011/117/EU (OJ L 52, 25.2.2011, p. 33).

(4)  Council Decision 2013/297/EU (OJ L 168, 20.6.2013, p. 10).

(5)  Council Decision 2013/296/EU (OJ L 168, 20.6.2013, p. 1).

(6)  Council Decision 2013/521/EU (OJ L 282, 24.10.2013, p. 1).

(7)  Council Decision 2013/628/EU (OJ L 289, 31.10.2013, p. 1).

(8)  COM(2013)0742.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/150 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/150

---

P7_TA(2014)0178

Specific actions in the Common Fisheries Policy for developing the role of women

European Parliament resolution of 27 February 2014 on specific actions in the Common Fisheries Policy for developing the role of women (2013/2150(INI))

(2017/C 285/22)

The European Parliament,

| — | having regard to the legislation applicable to the European Fisheries Fund (EFF), in particular Council Regulations (EC) No 2328/2003, (EC) No 861/2006, (EC) No 1198/2006 and (EC) No 791/2007 laying down the rules and agreements in relation to Community structural assistance in the fisheries sector, |
| --- | --- |

—

having regard to the legislation applicable to the European Fisheries Fund (EFF), in particular Council Regulations (EC) No 2328/2003, (EC) No 861/2006, (EC) No 1198/2006 and (EC) No 791/2007 laying down the rules and agreements in relation to Community structural assistance in the fisheries sector,

| — | having regard to Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (1), |
| --- | --- |

—

having regard to Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (1),

| — | having regard to its position of 6 February 2013 on the proposal for a directive of the European Parliament and of the Council on the Common Fisheries Policy (2), |
| --- | --- |

—

having regard to its position of 6 February 2013 on the proposal for a directive of the European Parliament and of the Council on the Common Fisheries Policy (2),

| — | having regard to its position of 12 September 2012 on the proposal for a regulation of the European Parliament and the Council on the common organisation of the markets in fishery and aquaculture products (3), |
| --- | --- |

—

having regard to its position of 12 September 2012 on the proposal for a regulation of the European Parliament and the Council on the common organisation of the markets in fishery and aquaculture products (3),

| — | having regard to the proposal submitted by the Commission and the positions adopted by Parliament and the Council on the European Maritime and Fisheries Fund (COM(2011)0804), |
| --- | --- |

—

having regard to the proposal submitted by the Commission and the positions adopted by Parliament and the Council on the European Maritime and Fisheries Fund (COM(2011)0804),

| — | having regard to the proposal submitted by the Commission and the positions adopted by Parliament and the Council on the proposal for a regulation of the European Parliament and of the Council laying down the rules for the participation and dissemination in Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) (COM(2011)0810), |
| --- | --- |

—

having regard to the proposal submitted by the Commission and the positions adopted by Parliament and the Council on the proposal for a regulation of the European Parliament and of the Council laying down the rules for the participation and dissemination in Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) (COM(2011)0810),

| — | having regard to the communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions: Strategy for equality between women and men 2010-2015 (COM(2010)0491), |
| --- | --- |

—

having regard to the communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions: Strategy for equality between women and men 2010-2015 (COM(2010)0491),

| — | having regard to its resolution of 15 December 2005 on women’s networks: fishing, farming and diversification (4), |
| --- | --- |

—

having regard to its resolution of 15 December 2005 on women’s networks: fishing, farming and diversification (4),

| — | having regard to its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy (5), |
| --- | --- |

—

having regard to its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy (5),

| — | having regard to its resolution of 22 November 2012 on the external dimension of the common fisheries policy (6), |
| --- | --- |

—

having regard to its resolution of 22 November 2012 on the external dimension of the common fisheries policy (6),

| — | having regard to its resolution of 12 September 2012 on ‘The reform of the common fisheries policy — Overarching Communication’ (7), |
| --- | --- |

—

having regard to its resolution of 12 September 2012 on ‘The reform of the common fisheries policy — Overarching Communication’ (7),

| — | having regard to the hearing on women and the sustainable development of fisheries areas held by the Committee on Fisheries on 1 December 2010, |
| --- | --- |

—

having regard to the hearing on women and the sustainable development of fisheries areas held by the Committee on Fisheries on 1 December 2010,

| — | having regard to the hearing on developing the role of women in European fisheries and aquaculture held in the European Parliament by the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality on 14 October 2013, |
| --- | --- |

—

having regard to the hearing on developing the role of women in European fisheries and aquaculture held in the European Parliament by the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality on 14 October 2013,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the joint deliberations of the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality under Rule 51 of the Rules of Procedure, |
| --- | --- |

—

having regard to the joint deliberations of the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality under Rule 51 of the Rules of Procedure,

| — | having regard to the report of the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality (A7-0070/2014), |
| --- | --- |

—

having regard to the report of the Committee on Fisheries and the Committee on Women’s Rights and Gender Equality (A7-0070/2014),

| A. | whereas the work carried out by women in fisheries and aquaculture is not recognised and generally remains invisible, even though it represents considerable economic added value and contributes to the social, economic and environmental sustainability of a large number of communities and regions in Europe, particularly in areas that depend on fishing; |
| --- | --- |

A.

whereas the work carried out by women in fisheries and aquaculture is not recognised and generally remains invisible, even though it represents considerable economic added value and contributes to the social, economic and environmental sustainability of a large number of communities and regions in Europe, particularly in areas that depend on fishing;

| B. | whereas more than 100 000 women work in the fisheries sector in the Member States, 4 % of them in the extractive sector and with jobs linked to the activities of fishing boats, as net-makers, port workers or packers, 30 % in aquaculture, chiefly shellfish gathering on foot, and around 60 % in the processing industry; |
| --- | --- |

B.

whereas more than 100 000 women work in the fisheries sector in the Member States, 4 % of them in the extractive sector and with jobs linked to the activities of fishing boats, as net-makers, port workers or packers, 30 % in aquaculture, chiefly shellfish gathering on foot, and around 60 % in the processing industry;

| C. | whereas the work traditionally carried out by women in the fisheries and aquaculture sector is arduous: shellfish gathering on foot, traditional selling of fish in the form of mobile sales, on stalls or in shops, the manufacture and repair of fishing nets (net-makers), unloading and classification of the catch, and packaging work in particularly harsh climate conditions; |
| --- | --- |

C.

whereas the work traditionally carried out by women in the fisheries and aquaculture sector is arduous: shellfish gathering on foot, traditional selling of fish in the form of mobile sales, on stalls or in shops, the manufacture and repair of fishing nets (net-makers), unloading and classification of the catch, and packaging work in particularly harsh climate conditions;

| D. | whereas the statistics grossly underestimate the reality of female work in some of these sectors, and the widespread economic crisis and high unemployment in some Member States has helped to further increase these figures and has led to a growing number of women engaging in activities in the fishing sector, particularly land-based shellfish gathering, as a means of complementing or even ensuring their family income; |
| --- | --- |

D.

whereas the statistics grossly underestimate the reality of female work in some of these sectors, and the widespread economic crisis and high unemployment in some Member States has helped to further increase these figures and has led to a growing number of women engaging in activities in the fishing sector, particularly land-based shellfish gathering, as a means of complementing or even ensuring their family income;

| E. | recognising women’s contribution in activities related to fisheries and aquaculture, in particular those connected with making and mending fishing nets, unloading and classifying the catch, managing on-board supplies, fish processing, packaging and marketing and the management of fishing businesses; |
| --- | --- |

E.

recognising women’s contribution in activities related to fisheries and aquaculture, in particular those connected with making and mending fishing nets, unloading and classifying the catch, managing on-board supplies, fish processing, packaging and marketing and the management of fishing businesses;

| F. | whereas in paragraph 30 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy, Parliament called on the Member States to take account of the importance of the economic, social and cultural roles of women in the fishing industry, so that women can have access to social benefits, and emphasised that the active participation of women in fishing-related activities helps preserve and ensure, firstly the survival of the fishing sector, and secondly that of traditions and specific practices, and also helps safeguard the cultural diversity of the different regions; |
| --- | --- |

F.

whereas in paragraph 30 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy, Parliament called on the Member States to take account of the importance of the economic, social and cultural roles of women in the fishing industry, so that women can have access to social benefits, and emphasised that the active participation of women in fishing-related activities helps preserve and ensure, firstly the survival of the fishing sector, and secondly that of traditions and specific practices, and also helps safeguard the cultural diversity of the different regions;

| G. | whereas in its position of 12 September 2012 Parliament called for action to be taken to foster women’s participation in producer organisations in the fisheries and aquaculture sector; |
| --- | --- |

G.

whereas in its position of 12 September 2012 Parliament called for action to be taken to foster women’s participation in producer organisations in the fisheries and aquaculture sector;

| H. | whereas in paragraph 31 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called for the European Maritime and Fisheries Fund (EMFF) to provide funding to foster women’s participation in the fisheries sector, support women’s associations, promote vocational training and enhance women’s role in fishing, by granting support for both activities carried out on land and those associated with fishing, both upstream and downstream; |
| --- | --- |

H.

whereas in paragraph 31 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called for the European Maritime and Fisheries Fund (EMFF) to provide funding to foster women’s participation in the fisheries sector, support women’s associations, promote vocational training and enhance women’s role in fishing, by granting support for both activities carried out on land and those associated with fishing, both upstream and downstream;

| I. | whereas in paragraph 39 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called on the Commission and the Member States to take steps to ensure that women benefit from equal pay and other labour, social and economic rights, including insurance covering the risks and measures for applying early retirement weightings to compensate for the arduous nature of the work (night working, danger, working hours decided by the pace of production and fishing opportunities) to which they are exposed by working in the fisheries sector, as well as recognition of their specific disorders as occupational diseases; |
| --- | --- |

I.

whereas in paragraph 39 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called on the Commission and the Member States to take steps to ensure that women benefit from equal pay and other labour, social and economic rights, including insurance covering the risks and measures for applying early retirement weightings to compensate for the arduous nature of the work (night working, danger, working hours decided by the pace of production and fishing opportunities) to which they are exposed by working in the fisheries sector, as well as recognition of their specific disorders as occupational diseases;

| J. | whereas statistical data on the labour force, and in particular on gender distribution in certain activities and on artisanal or small-scale fishing, extensive aquaculture and related activities, are given low priority by comparison with data on catches, landings, tonnage, etc; |
| --- | --- |

J.

whereas statistical data on the labour force, and in particular on gender distribution in certain activities and on artisanal or small-scale fishing, extensive aquaculture and related activities, are given low priority by comparison with data on catches, landings, tonnage, etc;

| K. | whereas the statistical data for the EU and the Member States concerning the workforce in the fisheries, aquaculture and related sectors are not complete, harmonised or broken down into indicators that would make it possible to estimate women’s contribution in these sectors; |
| --- | --- |

K.

whereas the statistical data for the EU and the Member States concerning the workforce in the fisheries, aquaculture and related sectors are not complete, harmonised or broken down into indicators that would make it possible to estimate women’s contribution in these sectors;

| L. | whereas, in spite of the work carried out by women in the fisheries and aquaculture sector and their key economic contribution, women do not benefit from proper social and labour protection or appropriate professional and labour status; |
| --- | --- |

L.

whereas, in spite of the work carried out by women in the fisheries and aquaculture sector and their key economic contribution, women do not benefit from proper social and labour protection or appropriate professional and labour status;

| M. | whereas women suffer economic discrimination in the fisheries sector and are paid less than men for the same work; |
| --- | --- |

M.

whereas women suffer economic discrimination in the fisheries sector and are paid less than men for the same work;

| N. | whereas in many cases women’s work in the fisheries sector has no legal recognition and no access to social protection to match the specific risks and health effects linked to these activities; |
| --- | --- |

N.

whereas in many cases women’s work in the fisheries sector has no legal recognition and no access to social protection to match the specific risks and health effects linked to these activities;

| O. | whereas in paragraph 42 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called on the Commission and the Member States to take steps to achieve greater recognition, both legal and social, for the work of women in the fisheries sector, and to ensure that women who work full- or part-time for family undertakings or assist their spouses, thereby contributing to their own economic sustainability and that of their families, are given legal recognition or social benefits equivalent to those enjoyed by people with self-employed status, in particular by applying Directive 2010/41/EU, and that their social and economic rights are guaranteed, including equal wages, unemployment benefits if they lose their jobs (temporarily or permanently), the right to a pension, work-life balance, access to maternity leave, access to social security and free health care, workplace health and safety, and insurance covering risks at sea; |
| --- | --- |

O.

whereas in paragraph 42 of its resolution of 22 November 2012 on small-scale coastal fishing, artisanal fishing and the reform of the common fisheries policy Parliament called on the Commission and the Member States to take steps to achieve greater recognition, both legal and social, for the work of women in the fisheries sector, and to ensure that women who work full- or part-time for family undertakings or assist their spouses, thereby contributing to their own economic sustainability and that of their families, are given legal recognition or social benefits equivalent to those enjoyed by people with self-employed status, in particular by applying Directive 2010/41/EU, and that their social and economic rights are guaranteed, including equal wages, unemployment benefits if they lose their jobs (temporarily or permanently), the right to a pension, work-life balance, access to maternity leave, access to social security and free health care, workplace health and safety, and insurance covering risks at sea;

| P. | whereas in its resolution of 12 September 2012 Parliament referred to the need to give greater legal and social recognition and recompense to women’s role in the fisheries sector, to give women rights equal to those of men, and to give the spouses and life partners of fishermen supporting the family undertaking a legal status and social benefits equivalent to those enjoyed by people with self-employed status; |
| --- | --- |

P.

whereas in its resolution of 12 September 2012 Parliament referred to the need to give greater legal and social recognition and recompense to women’s role in the fisheries sector, to give women rights equal to those of men, and to give the spouses and life partners of fishermen supporting the family undertaking a legal status and social benefits equivalent to those enjoyed by people with self-employed status;

| 1. | Urges the Commission to launch a specific statistical programme for regions that depend on fishing, paying particular attention to artisanal and coastal fishing, traditional fishing methods and specific marketing channels, and to the work and social and labour conditions of women shellfish gatherers, net-makers and artisanal workers in fisheries and related activities, with the aim of assessing the specific needs associated with women’s activity and enhancing the social recognition given to these extremely arduous occupations; |
| --- | --- |

1.

Urges the Commission to launch a specific statistical programme for regions that depend on fishing, paying particular attention to artisanal and coastal fishing, traditional fishing methods and specific marketing channels, and to the work and social and labour conditions of women shellfish gatherers, net-makers and artisanal workers in fisheries and related activities, with the aim of assessing the specific needs associated with women’s activity and enhancing the social recognition given to these extremely arduous occupations;

| 2. | Considers it necessary to improve the collection and analysis of statistical data on employment in the fisheries sector, broken down by gender, type of activity and type of employment (self-employed, employed, part-time, full-time, occasional), so as to make it possible to arrive at an estimate of women’s contribution in the fisheries and aquaculture sector; |
| --- | --- |

2.

Considers it necessary to improve the collection and analysis of statistical data on employment in the fisheries sector, broken down by gender, type of activity and type of employment (self-employed, employed, part-time, full-time, occasional), so as to make it possible to arrive at an estimate of women’s contribution in the fisheries and aquaculture sector;

| 3. | Urges the Commission to ensure that the collection of gender-disaggregated data also covers the catch sector and that new indicators are introduced, such as age, education and training levels, and activity of spouse or partner; |
| --- | --- |

3.

Urges the Commission to ensure that the collection of gender-disaggregated data also covers the catch sector and that new indicators are introduced, such as age, education and training levels, and activity of spouse or partner;

| 4. | Considers it necessary to establish clear definitions regarding the statistical indicators used for the collection of workforce employment data in fisheries, aquaculture and related sectors; also considers it necessary to draw up a harmonised set of statistical indicators at EU level, and calls on the Member States to provide, in due time, full data in accordance with those indicators; |
| --- | --- |

4.

Considers it necessary to establish clear definitions regarding the statistical indicators used for the collection of workforce employment data in fisheries, aquaculture and related sectors; also considers it necessary to draw up a harmonised set of statistical indicators at EU level, and calls on the Member States to provide, in due time, full data in accordance with those indicators;

| 5. | Urges the Commission and Council to grant legal and social recognition to the role played by women in the fisheries and aquaculture sector and in the sustainable development of areas that depend on fishing, with the aim of removing all economic, administrative and social barriers that stand in the way of their participation on equal terms; |
| --- | --- |

5.

Urges the Commission and Council to grant legal and social recognition to the role played by women in the fisheries and aquaculture sector and in the sustainable development of areas that depend on fishing, with the aim of removing all economic, administrative and social barriers that stand in the way of their participation on equal terms;

| 6. | Urges the Commission and Council to encourage the Member States to regulate and recognise as occupational diseases injuries to joints, back injuries and rheumatic diseases caused by the harsh weather conditions in which women shellfish gatherers, net-makers, processing workers, fishers and sellers have to work, as well as injuries caused by lifting excessive weights; |
| --- | --- |

6.

Urges the Commission and Council to encourage the Member States to regulate and recognise as occupational diseases injuries to joints, back injuries and rheumatic diseases caused by the harsh weather conditions in which women shellfish gatherers, net-makers, processing workers, fishers and sellers have to work, as well as injuries caused by lifting excessive weights;

| 7. | Urges the Commission to recognise that the work carried out by women helps to improve the traceability of fishery products, which in turn contributes to consumer knowledge and ensures higher standards of quality and safety of fishery and aquaculture products, thus increasing the economic, gastronomic and tourist opportunities available to fishing areas; |
| --- | --- |

7.

Urges the Commission to recognise that the work carried out by women helps to improve the traceability of fishery products, which in turn contributes to consumer knowledge and ensures higher standards of quality and safety of fishery and aquaculture products, thus increasing the economic, gastronomic and tourist opportunities available to fishing areas;

| 8. | Calls for the creation (under the European Maritime and Fisheries Fund and/or other instruments) of specific support mechanisms that can be activated in emergencies (natural disasters), as well as of financial compensation mechanisms to assist fishermen, fisherwomen and their families during temporary fishing bans, especially in areas where fishing is the sole source of earnings; |
| --- | --- |

8.

Calls for the creation (under the European Maritime and Fisheries Fund and/or other instruments) of specific support mechanisms that can be activated in emergencies (natural disasters), as well as of financial compensation mechanisms to assist fishermen, fisherwomen and their families during temporary fishing bans, especially in areas where fishing is the sole source of earnings;

| 9. | Considers it necessary to foster and provide financial support for the establishment of women’s associations through national and European women’s networks, in order to increase the visibility of women in the fishing sector, create social awareness of women’s contribution to fishing activity, facilitate the exchange of experience, and communicate women’s needs and demands, from local government level up to European bodies; |
| --- | --- |

9.

Considers it necessary to foster and provide financial support for the establishment of women’s associations through national and European women’s networks, in order to increase the visibility of women in the fishing sector, create social awareness of women’s contribution to fishing activity, facilitate the exchange of experience, and communicate women’s needs and demands, from local government level up to European bodies;

| 10. | Urges the Commission and the Member States to facilitate access to funding for women’s organisations in fisheries, aquaculture and related sectors, enabling them to implement their initiatives, consolidate their organisations and contact other women’s organisations for exchanges of experience and good practice; |
| --- | --- |

10.

Urges the Commission and the Member States to facilitate access to funding for women’s organisations in fisheries, aquaculture and related sectors, enabling them to implement their initiatives, consolidate their organisations and contact other women’s organisations for exchanges of experience and good practice;

| 11. | Considers it necessary to promote and strengthen women’s effective participation in consultative bodies, advisory councils and decision-making, representative, regional and professional bodies, guaranteeing their participation in decision-making in both public and private sectors on equal terms with men; |
| --- | --- |

11.

Considers it necessary to promote and strengthen women’s effective participation in consultative bodies, advisory councils and decision-making, representative, regional and professional bodies, guaranteeing their participation in decision-making in both public and private sectors on equal terms with men;

The European Maritime and Fisheries Fund (EMFF) 2013-2020

| 12. | Notes that only one Member State has made use of the opportunities offered by axis 4 of the European Fisheries Fund to finance projects whose beneficiaries are women, and urges the Member States to seize the opportunities offered by the EMFF in order to:






  — | apply the principle of equal opportunities, both when drawing up and when developing or implementing operational programmes; |
| --- | --- | --- |

12.

Notes that only one Member State has made use of the opportunities offered by axis 4 of the European Fisheries Fund to finance projects whose beneficiaries are women, and urges the Member States to seize the opportunities offered by the EMFF in order to:

—

apply the principle of equal opportunities, both when drawing up and when developing or implementing operational programmes;

| — | make the fisheries sector more women-friendly by redesigning the sector and providing suitable facilities (such as changing-rooms on vessels and in ports); |
| --- | --- |

—

make the fisheries sector more women-friendly by redesigning the sector and providing suitable facilities (such as changing-rooms on vessels and in ports);

| — | support associations of women and their organisation in networks (e.g. net-makers, port workers, packers); |
| --- | --- |

—

support associations of women and their organisation in networks (e.g. net-makers, port workers, packers);

| — | support projects to mitigate the problems arising from the working conditions of women harvesting shellfish on foot, including measures to balance work and family life; |
| --- | --- |

—

support projects to mitigate the problems arising from the working conditions of women harvesting shellfish on foot, including measures to balance work and family life;

| — | support projects to promote, diversify and raise the profile of the role played by women in fisheries and aquaculture; |
| --- | --- |

—

support projects to promote, diversify and raise the profile of the role played by women in fisheries and aquaculture;

| — | offer women and girls easier access to training by financing specific training and vocational education and professional recognition of their activity; Member States should, for this purpose, launch processes for obtaining officially recognised skills certificates and set up training centres for the professional activities traditionally carried out by women in the various communities; |
| --- | --- |

—

offer women and girls easier access to training by financing specific training and vocational education and professional recognition of their activity; Member States should, for this purpose, launch processes for obtaining officially recognised skills certificates and set up training centres for the professional activities traditionally carried out by women in the various communities;

| — | offer girls improved employment opportunities and support continuity between generations, in particular by developing activities that are sustainable for the marine environment; |
| --- | --- |

—

offer girls improved employment opportunities and support continuity between generations, in particular by developing activities that are sustainable for the marine environment;

| — | boost vocational training, in particular for women working in the fisheries and aquaculture sector, with a view to increasing their opportunities for accessing management posts and skilled technical and managerial jobs related to fisheries, on the basis of equal pay; |
| --- | --- |

—

boost vocational training, in particular for women working in the fisheries and aquaculture sector, with a view to increasing their opportunities for accessing management posts and skilled technical and managerial jobs related to fisheries, on the basis of equal pay;

| — | enhancing women’s role in fishing, in particular by granting support for activities carried out on land and activities associated with fishing, both in production and in processing, marketing and sales; |
| --- | --- |

—

enhancing women’s role in fishing, in particular by granting support for activities carried out on land and activities associated with fishing, both in production and in processing, marketing and sales;

| — | promote business initiatives launched by women, including, where appropriate, the economic diversification of certain activities related to the fisheries sector, among them activities such as museology, cultural traditions, crafts, gastronomy and the restaurant industry; |
| --- | --- |

—

promote business initiatives launched by women, including, where appropriate, the economic diversification of certain activities related to the fisheries sector, among them activities such as museology, cultural traditions, crafts, gastronomy and the restaurant industry;

| — | promote business initiatives in areas of activity unrelated to fishing in coastal areas where jobs have been lost as a result of implementation of the fisheries reform; |
| --- | --- |

—

promote business initiatives in areas of activity unrelated to fishing in coastal areas where jobs have been lost as a result of implementation of the fisheries reform;

| 13. | Urges the Member States to facilitate soft loan channels that will make it possible to avoid the specific difficulties faced by women in relation to financing projects eligible for inclusion in national programmes under the EMFF; |
| --- | --- |

13.

Urges the Member States to facilitate soft loan channels that will make it possible to avoid the specific difficulties faced by women in relation to financing projects eligible for inclusion in national programmes under the EMFF;

| 14. | Calls on the Member States to support women’s business initiatives by facilitating a favourable microcredit system and providing adequate information regarding funding opportunities; |
| --- | --- |

14.

Calls on the Member States to support women’s business initiatives by facilitating a favourable microcredit system and providing adequate information regarding funding opportunities;

| 15. | Urges the Member States to take measures to develop and modernise local infrastructure, diversify economic activities and improve the quality of life in fisheries areas, particularly areas entirely dependent on fishing, so as to ensure their sustainable development, while combating poverty in general, and particularly where it affects women and children, and seeking to prevent violence against women and domestic violence; |
| --- | --- |

15.

Urges the Member States to take measures to develop and modernise local infrastructure, diversify economic activities and improve the quality of life in fisheries areas, particularly areas entirely dependent on fishing, so as to ensure their sustainable development, while combating poverty in general, and particularly where it affects women and children, and seeking to prevent violence against women and domestic violence;

| 16. | Reiterates the positions taken in the context of the procedure relating to Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020), as regards boosting women’s participation in all areas of research, projects and scientific disciplines, in particular the participation of women who dedicate their working life to research into the marine environment; |
| --- | --- |

16.

Reiterates the positions taken in the context of the procedure relating to Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020), as regards boosting women’s participation in all areas of research, projects and scientific disciplines, in particular the participation of women who dedicate their working life to research into the marine environment;

| 17. | Calls on the Member States to:






  — | grant legal recognition to the work carried out by women who make an economic contribution to the family or who contribute through their work, even where they are not paid; |
| --- | --- | --- |

17.

Calls on the Member States to:

—

grant legal recognition to the work carried out by women who make an economic contribution to the family or who contribute through their work, even where they are not paid;

| — | guarantee support for women, granting them unemployment benefits where they are forced to stop working (temporarily or permanently), the right to a pension, work-life balance, access to maternity leave (whatever their marital or civil union status within the couple), access to social security and free healthcare, and protection against risks arising from their work in the maritime and fisheries sector; |
| --- | --- |

—

guarantee support for women, granting them unemployment benefits where they are forced to stop working (temporarily or permanently), the right to a pension, work-life balance, access to maternity leave (whatever their marital or civil union status within the couple), access to social security and free healthcare, and protection against risks arising from their work in the maritime and fisheries sector;

| 18. | Notes that in paragraph 28 of its resolution of 22 November 2012 on the external dimension of the common fisheries policy Parliament calls for the EU, through the WTO, to work towards penalising countries that discriminate against women, and that in paragraph 45 of the same resolution it urges the Commission, during the negotiations on fisheries agreements, to ensure that the coastal state dedicates a substantial part of the sectoral support for development to the recognition, promotion and diversification of women’s role in the fisheries sector, ensuring the application of the principle of equal treatment and opportunities for women and men, with regard in particular to training and access to funding and loans; |
| --- | --- |

18.

Notes that in paragraph 28 of its resolution of 22 November 2012 on the external dimension of the common fisheries policy Parliament calls for the EU, through the WTO, to work towards penalising countries that discriminate against women, and that in paragraph 45 of the same resolution it urges the Commission, during the negotiations on fisheries agreements, to ensure that the coastal state dedicates a substantial part of the sectoral support for development to the recognition, promotion and diversification of women’s role in the fisheries sector, ensuring the application of the principle of equal treatment and opportunities for women and men, with regard in particular to training and access to funding and loans;

| 19. | Urges the Commission to ensure that the European gender dimension is embodied and guaranteed in economic partnership agreements involving the fisheries sector; |
| --- | --- |

19.

Urges the Commission to ensure that the European gender dimension is embodied and guaranteed in economic partnership agreements involving the fisheries sector;

Basic regulation on the common fisheries policy

| 20. | Urges the Member States to ensure compliance with the objectives of the new common fisheries policy in relation to access to fishery resources based on transparent environmental, social and economic criteria, incorporating the principles of equal treatment and equal opportunities for women and men; |
| --- | --- |

20.

Urges the Member States to ensure compliance with the objectives of the new common fisheries policy in relation to access to fishery resources based on transparent environmental, social and economic criteria, incorporating the principles of equal treatment and equal opportunities for women and men;

| 21. | Urges the Member States to recognise the occupational status of women in the event of temporary cessations of activity, including biological rest periods; |
| --- | --- |

21.

Urges the Member States to recognise the occupational status of women in the event of temporary cessations of activity, including biological rest periods;

| 22. | Calls on the Commission and the Member States to ensure compliance with Directive 2010/41/EU, so that women working full- or part-time in family businesses in the fisheries sector or supporting their spouses or partners, thereby contributing to their own economic sustainability and that of their families, as well as women who make their livelihood from such activity without belonging to a family unit, are given legal recognition and social benefits equivalent to those enjoyed by people with self-employed status; |
| --- | --- |

22.

Calls on the Commission and the Member States to ensure compliance with Directive 2010/41/EU, so that women working full- or part-time in family businesses in the fisheries sector or supporting their spouses or partners, thereby contributing to their own economic sustainability and that of their families, as well as women who make their livelihood from such activity without belonging to a family unit, are given legal recognition and social benefits equivalent to those enjoyed by people with self-employed status;

o

o o

| 23. | Instructs its President to forward this resolution to the Council, the Commission and the governments of the Member States. |
| --- | --- |

23.

Instructs its President to forward this resolution to the Council, the Commission and the governments of the Member States.

---

(1)  OJ L 180, 15.7.2010, p. 1.

(2)  Texts adopted, P7_TA(2013)0040.

(3)  OJ C 353 E, 3.12.2013, p. 212.

(4)  OJ C 286 E, 23.11.2006, p. 519.

(5)  Texts adopted, P7_TA(2012)0460.

(6)  Texts adopted, P7_TA(2012)0461.

(7)  OJ C 353 E, 3.12.2013, p. 104.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/156 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/156

---

P7_TA(2014)0179

Private copying levies

European Parliament resolution of 27 February 2014 on private copying levies (2013/2114(INI))

(2017/C 285/23)

The European Parliament,

| — | having regard to Directive 2001/29/EC of the European Parliament and of the Council on the harmonisation of certain aspects of copyright and related rights in the information society (1), |
| --- | --- |

—

having regard to Directive 2001/29/EC of the European Parliament and of the Council on the harmonisation of certain aspects of copyright and related rights in the information society (1),

| — | having regard to the proposal for a directive of the European Parliament and of the Council on collective management of copyright and related rights and multi-territorial licensing of rights in musical works for online uses in the internal market (COM(2012)0372), and to the accompanying impact assessment, |
| --- | --- |

—

having regard to the proposal for a directive of the European Parliament and of the Council on collective management of copyright and related rights and multi-territorial licensing of rights in musical works for online uses in the internal market (COM(2012)0372), and to the accompanying impact assessment,

| — | having regard to Articles 4, 6, 114 and 118 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Articles 4, 6, 114 and 118 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to the judgments of the Court of Justice of the European Union, particularly of 21 October 2010 in Case C-467/08, Padawan v SGAE [2010] ECR I-10055, of 16 June 2011 in Case C-462/09, Stichting de Thuiskopie v Opus Supplies Deutschland GmbH and others [2011] ECR I-05331, of 9 February 2010 in Case C-277/10, Martin Luksan v Petrus van der Let (not yet reported), of 27 June 2013 in Joined Cases C-457/11 to C-460/11, VG Wort v Kyocera Mita and others (not yet reported), and of 11 July 2013 in Case C-521/11, Austro Mechana v Amazon (not yet reported), |
| --- | --- |

—

having regard to the judgments of the Court of Justice of the European Union, particularly of 21 October 2010 in Case C-467/08, Padawan v SGAE [2010] ECR I-10055, of 16 June 2011 in Case C-462/09, Stichting de Thuiskopie v Opus Supplies Deutschland GmbH and others [2011] ECR I-05331, of 9 February 2010 in Case C-277/10, Martin Luksan v Petrus van der Let (not yet reported), of 27 June 2013 in Joined Cases C-457/11 to C-460/11, VG Wort v Kyocera Mita and others (not yet reported), and of 11 July 2013 in Case C-521/11, Austro Mechana v Amazon (not yet reported),

| — | having regard to the Commission communication of 24 May 2011 entitled ‘A Single Market for Intellectual Property Rights: Boosting creativity and innovation to provide economic growth, high quality jobs and first class products and services in Europe’ (COM(2011)0287), |
| --- | --- |

—

having regard to the Commission communication of 24 May 2011 entitled ‘A Single Market for Intellectual Property Rights: Boosting creativity and innovation to provide economic growth, high quality jobs and first class products and services in Europe’ (COM(2011)0287),

| — | having regard to the Commission communication of 18 December 2012‘On Content in the Digital Single Market’ (COM(2012)0789), |
| --- | --- |

—

having regard to the Commission communication of 18 December 2012‘On Content in the Digital Single Market’ (COM(2012)0789),

| — | having regard to António Vitorino’s recommendations of 31 January 2013 resulting from the mediation process on private copying and reprography levies, |
| --- | --- |

—

having regard to António Vitorino’s recommendations of 31 January 2013 resulting from the mediation process on private copying and reprography levies,

| — | having regard to the Committee on Legal Affairs working document entitled ‘Copyright in the music and audiovisual sectors’, approved on 29 June 2011, |
| --- | --- |

—

having regard to the Committee on Legal Affairs working document entitled ‘Copyright in the music and audiovisual sectors’, approved on 29 June 2011,

| — | having regard to Rule 48 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 48 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs (A7-0114/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs (A7-0114/2014),

| A. | whereas culture and artistic creation form the bedrock of the European identity past and present, and will play a vital role in the economic and social development of the European Union in the future; |
| --- | --- |

A.

whereas culture and artistic creation form the bedrock of the European identity past and present, and will play a vital role in the economic and social development of the European Union in the future;

| B. | whereas culture and artistic creation are integral to the digital economy, whereas expression of both high-end and mundane cultural content relies on equal access to Europe’s digital growth, and whereas it has emerged from consultations that the European digital market has still not delivered on the promises of effective distribution, fair remuneration for creators and fair and effective distribution of income within the cultural sector in general, and that EU-level action is needed to resolve these problems; |
| --- | --- |

B.

whereas culture and artistic creation are integral to the digital economy, whereas expression of both high-end and mundane cultural content relies on equal access to Europe’s digital growth, and whereas it has emerged from consultations that the European digital market has still not delivered on the promises of effective distribution, fair remuneration for creators and fair and effective distribution of income within the cultural sector in general, and that EU-level action is needed to resolve these problems;

| C. | whereas digitisation is having a huge impact on the way in which cultural identities are expressed, distributed and developed, and whereas lower barriers to participation and the emergence of new distribution channels are facilitating access to creative works and culture, improving the circulation, discovery and rediscovery of culture and artistic creation around the world and providing opportunities for creators and artists; whereas the market opportunities for new services and businesses have increased enormously as a result; |
| --- | --- |

C.

whereas digitisation is having a huge impact on the way in which cultural identities are expressed, distributed and developed, and whereas lower barriers to participation and the emergence of new distribution channels are facilitating access to creative works and culture, improving the circulation, discovery and rediscovery of culture and artistic creation around the world and providing opportunities for creators and artists; whereas the market opportunities for new services and businesses have increased enormously as a result;

| D. | whereas authors’ claim to protection of their creative work, and their right to equitable remuneration for that work, must also exist in the digital age; |
| --- | --- |

D.

whereas authors’ claim to protection of their creative work, and their right to equitable remuneration for that work, must also exist in the digital age;

| E. | whereas digital private copying has taken on major economic importance as a result of technological progress and the shift to the internet and cloud computing, and whereas the existing system of private copying levies does not take sufficient account of developments in the digital age; whereas there is currently no alternative approach in this area that would ensure appropriate remuneration for the rightholder and at the same time make private copying possible; whereas a discussion nevertheless needs to be conducted with a view to updating the private copying mechanism, making it more efficient and taking greater account of technological progress; |
| --- | --- |

E.

whereas digital private copying has taken on major economic importance as a result of technological progress and the shift to the internet and cloud computing, and whereas the existing system of private copying levies does not take sufficient account of developments in the digital age; whereas there is currently no alternative approach in this area that would ensure appropriate remuneration for the rightholder and at the same time make private copying possible; whereas a discussion nevertheless needs to be conducted with a view to updating the private copying mechanism, making it more efficient and taking greater account of technological progress;

| F. | whereas the Directive of the European Parliament and of the Council on the collective management of copyright and related rights and multi-territorial licensing of rights in musical works for online uses in the internal market, which was adopted by Parliament and the Council on 4 February 2014, reinforces the fact that the management of copyright requires particular emphasis on the transparency of the flows of remuneration collected, distributed and paid to rightholders by collecting societies, including for private copying; |
| --- | --- |

F.

whereas the Directive of the European Parliament and of the Council on the collective management of copyright and related rights and multi-territorial licensing of rights in musical works for online uses in the internal market, which was adopted by Parliament and the Council on 4 February 2014, reinforces the fact that the management of copyright requires particular emphasis on the transparency of the flows of remuneration collected, distributed and paid to rightholders by collecting societies, including for private copying;

| G. | whereas under Directive 2001/29/EC Member States may provide for an exception to, or limitation on, the reproduction right for certain types of reproduction of audio, visual and audio-visual material for private use, accompanied by fair remuneration, and may allow consumers in countries having introduced such a limitation to copy their music and audio-visual collections from one medium or type of multimedia material to another freely and as frequently as they wish, without seeking authorisation from the rightholders, provided that this is for their private use; whereas any levies should be calculated on the basis of the possible harm to the rightholders resulting from the private copying act in question; |
| --- | --- |

G.

whereas under Directive 2001/29/EC Member States may provide for an exception to, or limitation on, the reproduction right for certain types of reproduction of audio, visual and audio-visual material for private use, accompanied by fair remuneration, and may allow consumers in countries having introduced such a limitation to copy their music and audio-visual collections from one medium or type of multimedia material to another freely and as frequently as they wish, without seeking authorisation from the rightholders, provided that this is for their private use; whereas any levies should be calculated on the basis of the possible harm to the rightholders resulting from the private copying act in question;

| H. | whereas the sum total of private copying levies collected in 23 of the 28 Member States has more than tripled since Directive 2001/29/EC came into force and, according to the Commission’s estimates, now stands at over EUR 600 million, and whereas this represents a considerable amount for the artists; |
| --- | --- |

H.

whereas the sum total of private copying levies collected in 23 of the 28 Member States has more than tripled since Directive 2001/29/EC came into force and, according to the Commission’s estimates, now stands at over EUR 600 million, and whereas this represents a considerable amount for the artists;

| I. | whereas these levies only constitute a minute proportion of the turnover — estimated to total more than EUR 1 000 billion — of manufacturers and importers of traditional and digital recording media and material; |
| --- | --- |

I.

whereas these levies only constitute a minute proportion of the turnover — estimated to total more than EUR 1 000 billion — of manufacturers and importers of traditional and digital recording media and material;

| J. | whereas many mobile terminals allow copying for private purposes in theory but are in fact not used for this purpose; calls, consequently, for long-term discussions to be conducted with a view to developing a more efficient and up-to-date approach that may not necessarily be based on a flat-rate levy on equipment; |
| --- | --- |

J.

whereas many mobile terminals allow copying for private purposes in theory but are in fact not used for this purpose; calls, consequently, for long-term discussions to be conducted with a view to developing a more efficient and up-to-date approach that may not necessarily be based on a flat-rate levy on equipment;

| K. | whereas when the prices at which material sells in a country that charges the levy are compared with those in one that does not, it becomes clear that the private copying levy has no appreciable impact on product prices; |
| --- | --- |

K.

whereas when the prices at which material sells in a country that charges the levy are compared with those in one that does not, it becomes clear that the private copying levy has no appreciable impact on product prices;

| L. | whereas manufacturers and importers of traditional and digital recording media and material have brought numerous legal actions since the entry into force of Directive 2001/29/EC, at both national and European level; |
| --- | --- |

L.

whereas manufacturers and importers of traditional and digital recording media and material have brought numerous legal actions since the entry into force of Directive 2001/29/EC, at both national and European level;

| M. | whereas Directive 2001/29/EC and the case law of the Court of Justice of the European Union do not require Member States to see that rightholders receive direct payment of the full levy collected for private copying, and whereas the Member States have broad powers of discretion to establish that part of this remuneration should be paid indirectly; |
| --- | --- |

M.

whereas Directive 2001/29/EC and the case law of the Court of Justice of the European Union do not require Member States to see that rightholders receive direct payment of the full levy collected for private copying, and whereas the Member States have broad powers of discretion to establish that part of this remuneration should be paid indirectly;

| N. | whereas the private copying levy is paid by consumers when purchasing recording or storage media or services, and whereas they are therefore entitled to know of its existence and amount; whereas the amount of the private copying levy should reflect the actual use of such equipment and services for the purpose of private copying of audio, visual and audio-visual material; |
| --- | --- |

N.

whereas the private copying levy is paid by consumers when purchasing recording or storage media or services, and whereas they are therefore entitled to know of its existence and amount; whereas the amount of the private copying levy should reflect the actual use of such equipment and services for the purpose of private copying of audio, visual and audio-visual material;

| O. | whereas media and material prices do not vary according to the different rates of private copying levy applied across the Union, and whereas the abolition of private copying levies in Spain in 2012 has had no impact on media and material prices; |
| --- | --- |

O.

whereas media and material prices do not vary according to the different rates of private copying levy applied across the Union, and whereas the abolition of private copying levies in Spain in 2012 has had no impact on media and material prices;

| P. | whereas disparities exist between the various models and collection rates for private copying levies, including as regards their impact on consumers and the single market; whereas a European framework needs to be laid down in order to afford a high degree of transparency for rightholders, manufacturers and importers of equipment, consumers and service providers across the Union and whereas, to preserve the underlying stability of the system in the digital age in these days of the single market, the royalty arrangements in many Member States should be modernised and a European framework created in order to guarantee the application of equivalent conditions to rightholders, consumers, manufacturers and importers of equipment and service providers across the Union; |
| --- | --- |

P.

whereas disparities exist between the various models and collection rates for private copying levies, including as regards their impact on consumers and the single market; whereas a European framework needs to be laid down in order to afford a high degree of transparency for rightholders, manufacturers and importers of equipment, consumers and service providers across the Union and whereas, to preserve the underlying stability of the system in the digital age in these days of the single market, the royalty arrangements in many Member States should be modernised and a European framework created in order to guarantee the application of equivalent conditions to rightholders, consumers, manufacturers and importers of equipment and service providers across the Union;

| Q. | whereas the exemption and reimbursement arrangements for professional uses which have been introduced in the Member States have to be effective; whereas in some Member States these arrangements are necessary and whereas the judicial decisions adopted in some Member States have not always been applied; |
| --- | --- |

Q.

whereas the exemption and reimbursement arrangements for professional uses which have been introduced in the Member States have to be effective; whereas in some Member States these arrangements are necessary and whereas the judicial decisions adopted in some Member States have not always been applied;

| R. | whereas in the case of online works, in terms of both access and sales, licence-granting practices are complementary to the system of private copying levies; |
| --- | --- |

R.

whereas in the case of online works, in terms of both access and sales, licence-granting practices are complementary to the system of private copying levies;

| S. | whereas in the digital field in particular, the classic copying process is being replaced by streaming systems in which no copy of the copyrighted works is placed on the user’s terminal, and whereas preference should therefore be given to licensing models in these cases; |
| --- | --- |

S.

whereas in the digital field in particular, the classic copying process is being replaced by streaming systems in which no copy of the copyrighted works is placed on the user’s terminal, and whereas preference should therefore be given to licensing models in these cases;

A virtuous system in need of modernisation and harmonisation

| 1. | Points out that the cultural sector provides 5 million jobs in the EU and 2,6 % of its GDP, is one of the main drivers of growth in Europe and a wellspring of new and non-relocatable jobs, stimulates innovation and offers an effective means of combating the current recession; |
| --- | --- |

1.

Points out that the cultural sector provides 5 million jobs in the EU and 2,6 % of its GDP, is one of the main drivers of growth in Europe and a wellspring of new and non-relocatable jobs, stimulates innovation and offers an effective means of combating the current recession;

| 2. | Recalls that copyright law should balance the interests of, inter alia, creators and consumers; considers, in this connection, that all European consumers should have the right to make private copies of legally acquired content; |
| --- | --- |

2.

Recalls that copyright law should balance the interests of, inter alia, creators and consumers; considers, in this connection, that all European consumers should have the right to make private copies of legally acquired content;

| 3. | Calls on the Commission, therefore, to present a legislative proposal to review Directive 2001/29/EC on the harmonisation of certain aspects of copyright and related rights in the information society, including a provision on the full harmonisation of exceptions and limitations, inter alia with regard to private copying; |
| --- | --- |

3.

Calls on the Commission, therefore, to present a legislative proposal to review Directive 2001/29/EC on the harmonisation of certain aspects of copyright and related rights in the information society, including a provision on the full harmonisation of exceptions and limitations, inter alia with regard to private copying;

| 4. | Emphasises that the current fragmented copyright regime needs to be reformed in order to facilitate access to, and increase (global) circulation of, cultural and creative content, in such a way as to enable artists, creators, consumers, businesses and audiences to benefit from digital developments, new distribution channels, new business models and other opportunities, especially in times of budget austerity; |
| --- | --- |

4.

Emphasises that the current fragmented copyright regime needs to be reformed in order to facilitate access to, and increase (global) circulation of, cultural and creative content, in such a way as to enable artists, creators, consumers, businesses and audiences to benefit from digital developments, new distribution channels, new business models and other opportunities, especially in times of budget austerity;

| 5. | Notes that private copying levies currently constitute a source of income which is of varying importance for different categories of rightholder, and that its importance varies significantly between Member States; |
| --- | --- |

5.

Notes that private copying levies currently constitute a source of income which is of varying importance for different categories of rightholder, and that its importance varies significantly between Member States;

| 6. | Believes that the private copying system is a virtuous system that balances the exception for copying for private use with the right to fair remuneration for rightholders, and that it is worth preserving, especially in cases where rightholders are not in a position to license directly the right of reproduction on multiple devices; considers that there is no alternative to this balanced system in the short term; stresses, however, that discussions need to be held in the long term with a view to continually assessing the private copying system in the light of digital and market developments and consumer behaviour and, if possible, exploring potential alternatives that would fulfil the objective of striking a balance between the exception for copying by consumers and the compensation of creators; |
| --- | --- |

6.

Believes that the private copying system is a virtuous system that balances the exception for copying for private use with the right to fair remuneration for rightholders, and that it is worth preserving, especially in cases where rightholders are not in a position to license directly the right of reproduction on multiple devices; considers that there is no alternative to this balanced system in the short term; stresses, however, that discussions need to be held in the long term with a view to continually assessing the private copying system in the light of digital and market developments and consumer behaviour and, if possible, exploring potential alternatives that would fulfil the objective of striking a balance between the exception for copying by consumers and the compensation of creators;

| 7. | Emphasises that the major disparities between national systems for the collection of levies, especially as regards the types of product subject to the levy and the rates of levy, can distort competition and give rise to ‘forum shopping’ within the internal market; |
| --- | --- |

7.

Emphasises that the major disparities between national systems for the collection of levies, especially as regards the types of product subject to the levy and the rates of levy, can distort competition and give rise to ‘forum shopping’ within the internal market;

| 8. | Invites the Member States and the Commission to conduct a study on the essential elements of private copying, in particular a common definition, the concept of ‘fair compensation’ — which at present is not explicitly regulated by Directive 2001/29/EC — and the concept of ‘harm’ to an author resulting from unauthorised reproduction of a rightholder’s work for private use; calls on the Commission to look for common ground as regards which products should be subject to the levy and to establish common criteria for the negotiating arrangement for the rates applicable to private copying, with a view to enforcing a system that is transparent, equitable and uniform for consumers and creators; |
| --- | --- |

8.

Invites the Member States and the Commission to conduct a study on the essential elements of private copying, in particular a common definition, the concept of ‘fair compensation’ — which at present is not explicitly regulated by Directive 2001/29/EC — and the concept of ‘harm’ to an author resulting from unauthorised reproduction of a rightholder’s work for private use; calls on the Commission to look for common ground as regards which products should be subject to the levy and to establish common criteria for the negotiating arrangement for the rates applicable to private copying, with a view to enforcing a system that is transparent, equitable and uniform for consumers and creators;

Single collection procedure, clearer consumer information and more efficient reimbursement procedures

| 9. | Considers that the private copying levy should apply to all material and media used for private recording and storage capacity where private copying acts cause harm to creators; |
| --- | --- |

9.

Considers that the private copying levy should apply to all material and media used for private recording and storage capacity where private copying acts cause harm to creators;

| 10. | Stresses that the concept of private copies should be clearly defined for all materials and that the user should be able to access copyright content on all media on the basis of a single payment; calls for arrangements already in force in Member States, such as exceptions and levy exemptions, to be respected and for it to be possible for them to apply in parallel on the market; |
| --- | --- |

10.

Stresses that the concept of private copies should be clearly defined for all materials and that the user should be able to access copyright content on all media on the basis of a single payment; calls for arrangements already in force in Member States, such as exceptions and levy exemptions, to be respected and for it to be possible for them to apply in parallel on the market;

| 11. | Considers that private copying levies should be payable by manufacturers or importers; notes that if the levy were transferred to retailers, this would result in an excessive administrative burden for small and medium-sized distribution companies and collective rights management organisations; |
| --- | --- |

11.

Considers that private copying levies should be payable by manufacturers or importers; notes that if the levy were transferred to retailers, this would result in an excessive administrative burden for small and medium-sized distribution companies and collective rights management organisations;

| 12. | Recommends, in the case of cross-border transactions, that private copying levies be collected in the Member State in which the end user having purchased the product resides, in line with the judgment in Case C-462/09 (Opus), cited above; |
| --- | --- |

12.

Recommends, in the case of cross-border transactions, that private copying levies be collected in the Member State in which the end user having purchased the product resides, in line with the judgment in Case C-462/09 (Opus), cited above;

| 13. | Takes the view, therefore, that in order to preclude any double payment in the event of cross-border transactions, private copying levies for the same product should only be able to be collected once by a collective management organisation of a Member State, and that levies unduly paid in a Member State other than that of the end user should be reimbursed; |
| --- | --- |

13.

Takes the view, therefore, that in order to preclude any double payment in the event of cross-border transactions, private copying levies for the same product should only be able to be collected once by a collective management organisation of a Member State, and that levies unduly paid in a Member State other than that of the end user should be reimbursed;

| 14. | Takes the view that Member States in which levies are currently charged or collected should simplify and harmonise their levy rates; |
| --- | --- |

14.

Takes the view that Member States in which levies are currently charged or collected should simplify and harmonise their levy rates;

| 15. | Calls on the Member States, in consultation with all stakeholders, to simplify procedures for setting the levies in such a way as to ensure fairness and objectivity; |
| --- | --- |

15.

Calls on the Member States, in consultation with all stakeholders, to simplify procedures for setting the levies in such a way as to ensure fairness and objectivity;

| 16. | Stresses the need to make clear to consumers the role of the private copying system with regard to remuneration of artists and cultural dissemination; urges the Member States and rightholders to launch ‘positive’ campaigns highlighting the benefits of private copying levies; |
| --- | --- |

16.

Stresses the need to make clear to consumers the role of the private copying system with regard to remuneration of artists and cultural dissemination; urges the Member States and rightholders to launch ‘positive’ campaigns highlighting the benefits of private copying levies;

| 17. | Takes the view that consumers must be informed of the amount, purpose and use of the levy they pay; urges the Commission and the Member States, therefore, in consultation with manufacturers, importers, retailers and consumer associations, to ensure that this information is clearly available to consumers; |
| --- | --- |

17.

Takes the view that consumers must be informed of the amount, purpose and use of the levy they pay; urges the Commission and the Member States, therefore, in consultation with manufacturers, importers, retailers and consumer associations, to ensure that this information is clearly available to consumers;

| 18. | Urges the Member States to adopt transparent exemption rules for professional uses in order to ensure that they are exempt, including in practice, from private copy levies in compliance with the case law of the Court of Justice; |
| --- | --- |

18.

Urges the Member States to adopt transparent exemption rules for professional uses in order to ensure that they are exempt, including in practice, from private copy levies in compliance with the case law of the Court of Justice;

| 19. | Calls on the Member States to ensure that private copy levies never have to be paid where the media in question are used for professional purposes, and that various arrangements for the reimbursement of levies paid for professional users are replaced with systems which guarantee that these users are not liable to pay the levy in the first place; |
| --- | --- |

19.

Calls on the Member States to ensure that private copy levies never have to be paid where the media in question are used for professional purposes, and that various arrangements for the reimbursement of levies paid for professional users are replaced with systems which guarantee that these users are not liable to pay the levy in the first place;

Transparency regarding allocation of revenue

| 20. | Welcomes the directive on collective management of copyright and related rights recently adopted by Parliament and the Council which calls for greater transparency with regard to the flow of remuneration collected, allocated and paid to rightholders by collective management organisations, for example through the publication of an annual transparency report including a special section on the use of amounts deducted for social and cultural purposes; |
| --- | --- |

20.

Welcomes the directive on collective management of copyright and related rights recently adopted by Parliament and the Council which calls for greater transparency with regard to the flow of remuneration collected, allocated and paid to rightholders by collective management organisations, for example through the publication of an annual transparency report including a special section on the use of amounts deducted for social and cultural purposes;

| 21. | Urges the Member States to ensure greater transparency regarding the allocation of proceeds from private copying levies; |
| --- | --- |

21.

Urges the Member States to ensure greater transparency regarding the allocation of proceeds from private copying levies;

| 22. | Calls on the Member States to earmark at least 25 % of revenue from private copying levies to promote the creative and performance arts and their production; |
| --- | --- |

22.

Calls on the Member States to earmark at least 25 % of revenue from private copying levies to promote the creative and performance arts and their production;

| 23. | Calls on the Member States to publish reports on the allocation of proceeds in open source format with interpretable data; |
| --- | --- |

23.

Calls on the Member States to publish reports on the allocation of proceeds in open source format with interpretable data;

| 24. | Urges the organisers of cultural events and performances receiving funding from private copying levies to make their target audience more aware of this by means of additional publicity; |
| --- | --- |

24.

Urges the organisers of cultural events and performances receiving funding from private copying levies to make their target audience more aware of this by means of additional publicity;

Technical protection measures

| 25. | Points out that the private copying exemption gives citizens the right to copy freely their musical and audio-visual material from one medium or type of multimedia material to another without the need to seek the authorisation of rightholders, provided that this is for private use; |
| --- | --- |

25.

Points out that the private copying exemption gives citizens the right to copy freely their musical and audio-visual material from one medium or type of multimedia material to another without the need to seek the authorisation of rightholders, provided that this is for private use;

| 26. | Stresses that, particularly in the digital age, it is necessary to authorise the deployment of technical protection measures in order to restore the balance between freedom to make copies for private use and exclusive copying rights; |
| --- | --- |

26.

Stresses that, particularly in the digital age, it is necessary to authorise the deployment of technical protection measures in order to restore the balance between freedom to make copies for private use and exclusive copying rights;

| 27. | Stresses that technical protection measures should not prevent consumers from making copies or rightholders from being fairly remunerated for private copying; |
| --- | --- |

27.

Stresses that technical protection measures should not prevent consumers from making copies or rightholders from being fairly remunerated for private copying;

Licences

| 28. | Observes that, despite some streaming access to works, downloading, storage and private copying continue; takes the view that a private copying levy system is therefore still relevant in the online environment; stresses, however, that preference should always be given to licensing models benefiting all rightholders if no copies of the copyright work are permitted on media and devices; |
| --- | --- |

28.

Observes that, despite some streaming access to works, downloading, storage and private copying continue; takes the view that a private copying levy system is therefore still relevant in the online environment; stresses, however, that preference should always be given to licensing models benefiting all rightholders if no copies of the copyright work are permitted on media and devices;

| 29. | Stresses that private copying exception arrangements should apply to certain online services, including certain cloud computing services; |
| --- | --- |

29.

Stresses that private copying exception arrangements should apply to certain online services, including certain cloud computing services;

New business models in the digital environment

| 30. | Calls on the Commission to assess the impact on the private copying system of the use of cloud computing technology for the private recording and storage of protected works, so as to determine whether these private copies of protected works should be taken into account by the private copying compensation mechanisms and, if so, how this should be done; |
| --- | --- |

30.

Calls on the Commission to assess the impact on the private copying system of the use of cloud computing technology for the private recording and storage of protected works, so as to determine whether these private copies of protected works should be taken into account by the private copying compensation mechanisms and, if so, how this should be done;

o

o o

| 31. | Instructs its President to forward this resolution to the Council and the Commission, and to the governments and parliaments of the Member States. |
| --- | --- |

31.

Instructs its President to forward this resolution to the Council and the Commission, and to the governments and parliaments of the Member States.

---

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

---

II Information

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Parliament

Tuesday 25 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/161 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/161

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P7_TA(2014)0110

Request for the waiver of the parliamentary immunity of Tadeusz Cymański

European Parliament decision of 25 February 2014 on the request for waiver of the immunity of Tadeusz Cymański (2013/2278(IMM))

(2017/C 285/24)

The European Parliament,

| — | having regard to the request for waiver of the immunity of Tadeusz Cymański, put forward by the Public Prosecutor of the Republic of Poland on 23 October 2013, and announced in plenary on 18 November 2013, |
| --- | --- |

—

having regard to the request for waiver of the immunity of Tadeusz Cymański, put forward by the Public Prosecutor of the Republic of Poland on 23 October 2013, and announced in plenary on 18 November 2013,

| — | having heard Tadeusz Cymański in accordance with Rule 7(5) of its Rules of Procedure, |
| --- | --- |

—

having heard Tadeusz Cymański in accordance with Rule 7(5) of its Rules of Procedure,

| — | having regard to Articles 8 and 9 of Protocol No 7 on the Privileges and Immunities of the European Union, and Article 6(2) of the Act of 20 September 1976 concerning the election of the members of the European Parliament by direct universal suffrage, |
| --- | --- |

—

having regard to Articles 8 and 9 of Protocol No 7 on the Privileges and Immunities of the European Union, and Article 6(2) of the Act of 20 September 1976 concerning the election of the members of the European Parliament by direct universal suffrage,

| — | having regard to the judgments of the Court of Justice of the European Union of 12 May 1964, 10 July 1986, 15 and 21 October 2008, 19 March 2010 and 6 September 2011 (1), |
| --- | --- |

—

having regard to the judgments of the Court of Justice of the European Union of 12 May 1964, 10 July 1986, 15 and 21 October 2008, 19 March 2010 and 6 September 2011 (1),

| — | having regard to Article 105 of the Constitution of the Republic of Poland, |
| --- | --- |

—

having regard to Article 105 of the Constitution of the Republic of Poland,

| — | having regard to Rules 5(2), 6(1) and 7 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 5(2), 6(1) and 7 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs (A7-0099/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs (A7-0099/2014),

| A. | whereas the Public Prosecutor of the Republic of Poland has requested the waiver of the parliamentary immunity of Tadeusz Cymański in connection with a request for authorisation to bring criminal proceedings against a Member of the European Parliament made by the General Inspectorate of Road Traffic with regard to the offence set out in Article 96(3) of the Polish Code of Minor Offences; |
| --- | --- |

A.

whereas the Public Prosecutor of the Republic of Poland has requested the waiver of the parliamentary immunity of Tadeusz Cymański in connection with a request for authorisation to bring criminal proceedings against a Member of the European Parliament made by the General Inspectorate of Road Traffic with regard to the offence set out in Article 96(3) of the Polish Code of Minor Offences;

| B. | whereas, according to Article 8 of the Protocol on the Privileges and Immunities of the European Union, Members of the European Parliament shall not be subject to any form of inquiry, detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties; |
| --- | --- |

B.

whereas, according to Article 8 of the Protocol on the Privileges and Immunities of the European Union, Members of the European Parliament shall not be subject to any form of inquiry, detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties;

| C. | whereas, according to Article 9 of the Protocol on the Privileges and Immunities of the European Union, Members of the European Parliament shall enjoy, in the territory of their own State, the immunities accorded to members of their Parliaments; |
| --- | --- |

C.

whereas, according to Article 9 of the Protocol on the Privileges and Immunities of the European Union, Members of the European Parliament shall enjoy, in the territory of their own State, the immunities accorded to members of their Parliaments;

| D. | whereas, under Article 105 of the Constitution of the Republic of Poland, ‘a Deputy shall not be held accountable for his activity performed within the scope of a Deputy’s mandate during the term thereof nor after its completion. Regarding such activities, a Deputy can only be held accountable before the Sejm and, in a case where he has infringed the rights of third parties, he may only be proceeded against before a court with the consent of the Sejm’; |
| --- | --- |

D.

whereas, under Article 105 of the Constitution of the Republic of Poland, ‘a Deputy shall not be held accountable for his activity performed within the scope of a Deputy’s mandate during the term thereof nor after its completion. Regarding such activities, a Deputy can only be held accountable before the Sejm and, in a case where he has infringed the rights of third parties, he may only be proceeded against before a court with the consent of the Sejm’;

| E. | whereas whether immunity is or is not to be waived in a given case is for Parliament alone to decide; whereas Parliament may reasonably take account of the Member’s position in reaching its decision on whether or not to waive his/her immunity (2); |
| --- | --- |

E.

whereas whether immunity is or is not to be waived in a given case is for Parliament alone to decide; whereas Parliament may reasonably take account of the Member’s position in reaching its decision on whether or not to waive his/her immunity (2);

| F. | whereas the alleged offence does not have a direct or obvious connection with Tadeusz Cymański’s performance of his duties as a Member of the European Parliament, nor does it constitute an opinion expressed or a vote cast in the performance of his duties as a Member of the European Parliament for the purposes of Article 8 of Protocol No 7 on the Privileges and Immunities of the European Union; |
| --- | --- |

F.

whereas the alleged offence does not have a direct or obvious connection with Tadeusz Cymański’s performance of his duties as a Member of the European Parliament, nor does it constitute an opinion expressed or a vote cast in the performance of his duties as a Member of the European Parliament for the purposes of Article 8 of Protocol No 7 on the Privileges and Immunities of the European Union;

| G. | whereas the criminal proceedings to be brought against Tadeusz Cymański are, therefore, not connected in any way with his position as a Member of the European Parliament; |
| --- | --- |

G.

whereas the criminal proceedings to be brought against Tadeusz Cymański are, therefore, not connected in any way with his position as a Member of the European Parliament;

| H. | whereas in this case Parliament has found no evidence of fumus persecutionis, that is to say, a sufficiently serious and precise suspicion that the case has been brought with the intention of causing political damage to the Member concerned; |
| --- | --- |

H.

whereas in this case Parliament has found no evidence of fumus persecutionis, that is to say, a sufficiently serious and precise suspicion that the case has been brought with the intention of causing political damage to the Member concerned;

| I. | whereas the request is brought as a result of a written declaration made by Tadeusz Cymański whereby he refused to comply with the obligation to identify the person to whom he had entrusted the vehicle referred to in the report by the General Inspectorate of Road Traffic and agreed to pay a fine of PLN 500 for the offence set out in Article 96(3) in the Polish Code of Minor Offences; |
| --- | --- |

I.

whereas the request is brought as a result of a written declaration made by Tadeusz Cymański whereby he refused to comply with the obligation to identify the person to whom he had entrusted the vehicle referred to in the report by the General Inspectorate of Road Traffic and agreed to pay a fine of PLN 500 for the offence set out in Article 96(3) in the Polish Code of Minor Offences;

| 1. | Decides to waive the immunity of Tadeusz Cymański; |
| --- | --- |

1.

Decides to waive the immunity of Tadeusz Cymański;

| 2. | Instructs its President to forward this decision and the report of its competent committee immediately to the competent authority of the Republic of Poland and to Tadeusz Cymański. |
| --- | --- |

2.

Instructs its President to forward this decision and the report of its competent committee immediately to the competent authority of the Republic of Poland and to Tadeusz Cymański.

---

(1)  Judgment of 12 May 1964 in Case 101/63, Wagner v Fohrmann and Krier (ECR 1964, p. 195); judgment of 10 July 1986 in Case 149/85, Wybot v Faure and others (ECR 1986, p. 2403); judgment of 15 October 2008 in Case T-345/05, Mote v Parliament (ECR 2008, p. II-2849); judgment of 21 October 2008 in Joined Cases C-200/07 and C-201/07, Marra v De Gregorio and Clemente (ECR 2008, p. I-7929); judgment of 19 March 2010 in Case T-42/06, Gollnisch v Parliament (ECR 2010, p. II-1135); judgment of 6 September 2011 in Case C-163/10, Patriciello (ECR 2011, p. I-7565).

(2)  Case T-345/05 Mote v Parliament, cited above, at paragraph 28.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/163 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/163

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P7_TA(2014)0116

Amendment of Rule 136 of the Rules of Procedure on the attendance of Members at sittings

European Parliament decision of 25 February 2014 on amendment of Rule 136 of Parliament's Rules of Procedure on the attendance of Members at sittings (2013/2033(REG))

(2017/C 285/25)

The European Parliament,

| — | having regard to the proposal for amendment of its Rules of Procedure (B7-0051/2013), |
| --- | --- |

—

having regard to the proposal for amendment of its Rules of Procedure (B7-0051/2013),

| — | having regard to its decision 2005/684/EC, Euratom of 28 September 2005 adopting the Statute for Members of the European Parliament (1), |
| --- | --- |

—

having regard to its decision 2005/684/EC, Euratom of 28 September 2005 adopting the Statute for Members of the European Parliament (1),

| — | having regard to the Bureau decision of 19 May and 9 July 2008 concerning implementing measures for the Statute for Members of the European Parliament (2), |
| --- | --- |

—

having regard to the Bureau decision of 19 May and 9 July 2008 concerning implementing measures for the Statute for Members of the European Parliament (2),

| — | having regard to Rules 211 and 212 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 211 and 212 of its Rules of Procedure,

| — | having regard to the report of the Committee on Constitutional Affairs (A7-0038/2014), |
| --- | --- |

—

having regard to the report of the Committee on Constitutional Affairs (A7-0038/2014),

| 1. | Decides to amend its Rules of Procedure as shown below; |
| --- | --- |

1.

Decides to amend its Rules of Procedure as shown below;

| 2. | Points out that the amendment will enter into force on the first day of the next part-session; |
| --- | --- |

2.

Points out that the amendment will enter into force on the first day of the next part-session;

| 3. | Instructs its President to forward this decision to the Council and the Commission, for information. |
| --- | --- |

3.

Instructs its President to forward this decision to the Council and the Commission, for information.

Amendment 1

Parliament's Rules of Procedure

Rule 136 — paragraph 2

| Present text | Amendment |
| --- | --- |
| 2.   The names of the Members present, as shown in the attendance register, shall be recorded in the minutes of each sitting. | 2.   The names of the Members present, as shown in the attendance register, shall be recorded in the minutes of each sitting
  as ‘present’
  .
  The names of the Members excused by the President shall be recorded in the minutes of each sitting as ‘excused’. |

Present text

Amendment

2.   The names of the Members present, as shown in the attendance register, shall be recorded in the minutes of each sitting.

2.   The names of the Members present, as shown in the attendance register, shall be recorded in the minutes of each sitting
  as ‘present’
  .
  The names of the Members excused by the President shall be recorded in the minutes of each sitting as ‘excused’.

---

(1)  OJ L 262, 7.10.2005, p. 1.

(2)  OJ C 159, 13.7.2009, p. 1.

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Wednesday 26 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/164 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/164

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P7_TA(2014)0145

Recommendation for a decision — Extending Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term

European Parliament decision of 26 February 2014 extending Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term (2014/2585(RSO))

(2017/C 285/26)

The European Parliament,

| — | having regard to Article 342 of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 342 of the Treaty on the Functioning of the European Union,

| — | having regard to Council Regulation No 1 of 15 April 1958 determining the languages to be used by the European Economic Community (1), as last amended by Council Regulation (EU) No 517/2013 (2), |
| --- | --- |

—

having regard to Council Regulation No 1 of 15 April 1958 determining the languages to be used by the European Economic Community (1), as last amended by Council Regulation (EU) No 517/2013 (2),

| — | having regard to the Code of Conduct on Multilingualism adopted by the Bureau on 17 November 2008, |
| --- | --- |

—

having regard to the Code of Conduct on Multilingualism adopted by the Bureau on 17 November 2008,

| — | having regard to its decision of 11 March 2009 extending the applicability of Rule 147 until the end of the current parliamentary term (3) and the subsequent decisions of the Bureau extending the derogation from Rule 146 until the end of this term, |
| --- | --- |

—

having regard to its decision of 11 March 2009 extending the applicability of Rule 147 until the end of the current parliamentary term (3) and the subsequent decisions of the Bureau extending the derogation from Rule 146 until the end of this term,

| — | having regard to Rules 146 and 147 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 146 and 147 of its Rules of Procedure,

| A. | whereas, pursuant to Rule 146, all Parliament’s documents are to be drawn up in the official languages, and all Members have the right to speak in Parliament in the official language of their choice, with interpretation being provided into the other official languages; |
| --- | --- |

A.

whereas, pursuant to Rule 146, all Parliament’s documents are to be drawn up in the official languages, and all Members have the right to speak in Parliament in the official language of their choice, with interpretation being provided into the other official languages;

| B. | whereas, under Rule 147, derogations from Rule 146 are permissible until the end of the seventh parliamentary term if and to the extent that, despite adequate precautions, the linguists required for an official language are not available in sufficient numbers; whereas, with respect to each official language for which a derogation is considered necessary, the Bureau, on a proposal from the Secretary-General, is required to ascertain whether the conditions are fulfilled and to review its decision every six months; |
| --- | --- |

B.

whereas, under Rule 147, derogations from Rule 146 are permissible until the end of the seventh parliamentary term if and to the extent that, despite adequate precautions, the linguists required for an official language are not available in sufficient numbers; whereas, with respect to each official language for which a derogation is considered necessary, the Bureau, on a proposal from the Secretary-General, is required to ascertain whether the conditions are fulfilled and to review its decision every six months;

| C. | whereas Council Regulation (EC) No 920/2005 (4) provides for temporary (renewable) derogation measures for a five-year period in respect of Irish until the beginning of 2017; |
| --- | --- |

C.

whereas Council Regulation (EC) No 920/2005 (4) provides for temporary (renewable) derogation measures for a five-year period in respect of Irish until the beginning of 2017;

| D. | whereas, despite all adequate precautions, capacity in Irish and Maltese is not expected to be such as to allow a full interpretation service in those languages from the beginning of the eighth parliamentary term; whereas, for certain other languages, although there will be sufficient capacity to cover the needs arising from Parliament’s usual activities, the number of interpreters may not be sufficient to allow full coverage of all the extra needs expected during the Council presidencies of the Member States concerned during the eighth parliamentary term; |
| --- | --- |

D.

whereas, despite all adequate precautions, capacity in Irish and Maltese is not expected to be such as to allow a full interpretation service in those languages from the beginning of the eighth parliamentary term; whereas, for certain other languages, although there will be sufficient capacity to cover the needs arising from Parliament’s usual activities, the number of interpreters may not be sufficient to allow full coverage of all the extra needs expected during the Council presidencies of the Member States concerned during the eighth parliamentary term;

| E. | whereas, despite sustained and continuous interinstitutional efforts and considerable progress, the number of qualified translators and lawyer-linguists is still expected to be so limited as regards Irish that, for the foreseeable future, full coverage of that language under Rule 146 cannot be assured; whereas Council Regulation (EC) No 920/2005 does not require EU legislation adopted before 1 January 2007 (the acquis) to be translated into Irish; whereas, as a result of the derogation measures laid down in that regulation, only Commission proposals for regulations of the European Parliament and of the Council are currently being presented in Irish and, as long as this situation persists, it will not be possible for Parliament’s services to prepare Irish versions of other types of legislative acts; |
| --- | --- |

E.

whereas, despite sustained and continuous interinstitutional efforts and considerable progress, the number of qualified translators and lawyer-linguists is still expected to be so limited as regards Irish that, for the foreseeable future, full coverage of that language under Rule 146 cannot be assured; whereas Council Regulation (EC) No 920/2005 does not require EU legislation adopted before 1 January 2007 (the acquis) to be translated into Irish; whereas, as a result of the derogation measures laid down in that regulation, only Commission proposals for regulations of the European Parliament and of the Council are currently being presented in Irish and, as long as this situation persists, it will not be possible for Parliament’s services to prepare Irish versions of other types of legislative acts;

| F. | whereas, although capacity in Croatian is steadily increasing following Croatia’s accession to the Union on 1 July 2013, it may not be possible to ensure full coverage of that language from the beginning of the eighth parliamentary term; |
| --- | --- |

F.

whereas, although capacity in Croatian is steadily increasing following Croatia’s accession to the Union on 1 July 2013, it may not be possible to ensure full coverage of that language from the beginning of the eighth parliamentary term;

| G. | whereas Rule 147(4) provides that, on a reasoned recommendation from the Bureau, Parliament may decide, at the end of the parliamentary term, to extend that Rule; |
| --- | --- |

G.

whereas Rule 147(4) provides that, on a reasoned recommendation from the Bureau, Parliament may decide, at the end of the parliamentary term, to extend that Rule;

| H. | whereas, in the light of the foregoing, the Bureau has recommended that Rule 147 be extended until the end of the eighth parliamentary term; |
| --- | --- |

H.

whereas, in the light of the foregoing, the Bureau has recommended that Rule 147 be extended until the end of the eighth parliamentary term;

| 1. | Decides to extend Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term; |
| --- | --- |

1.

Decides to extend Rule 147 of Parliament’s Rules of Procedure until the end of the eighth parliamentary term;

| 2. | Instructs its President to forward this decision to the Council and the Commission for information. |
| --- | --- |

2.

Instructs its President to forward this decision to the Council and the Commission for information.

---

(1)  OJ 17, 6.10.1958, p. 385.

(2)  OJ L 158, 10.6.2013, p. 1.

(3)  OJ C 87 E, 1.4.2010, p. 186.

(4)  Council Regulation (EC) No 920/2005 of 13 June 2005 amending Regulation No 1 of 15 April 1958 determining the language to be used by the European Economic Community and Regulation No 1 of 15 April 1958 determining the language to be used by the European Atomic Energy Community and introducing temporary derogation measures from those Regulations (OJ L 156, 18.6.2005, p. 3), as extended by Council Regulation (EU) No 1257/2010 (OJ L 343, 29.12.2010, p. 5).

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/166 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/166

---

P7_TA(2014)0146

Amendment of Rules 166 (final vote) and 195(3) (voting in committee) of Parliament's Rules of Procedure

European Parliament decision of 26 February 2014 on amendment of Rule 166 of Parliament's Rules of Procedure concerning the final vote and Rule 195(3) concerning voting in committee (2014/2001(REG))

(2017/C 285/27)

The European Parliament,

| — | having regard to the proposal for amendment of its Rules of Procedure (B7-0252/2013), |
| --- | --- |

—

having regard to the proposal for amendment of its Rules of Procedure (B7-0252/2013),

| — | having regard to Rules 211 and 212 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 211 and 212 of its Rules of Procedure,

| — | having regard to the report of the Committee on Constitutional Affairs (A7-0035/2014), |
| --- | --- |

—

having regard to the report of the Committee on Constitutional Affairs (A7-0035/2014),

| 1. | Decides to amend its Rules of Procedure as shown below; |
| --- | --- |

1.

Decides to amend its Rules of Procedure as shown below;

| 2. | Points out that the amendments will enter into force on the first day of the next part-session; |
| --- | --- |

2.

Points out that the amendments will enter into force on the first day of the next part-session;

| 3. | Instructs its President to forward this decision to the Council and the Commission, for information. |
| --- | --- |

3.

Instructs its President to forward this decision to the Council and the Commission, for information.

Amendment 3

Parliament's Rules of Procedure

Rule 166

| Present text | Amendment |
| --- | --- |
| When
  voting on any proposal for a legislative act, whether by way of a
  single and/or final vote
  , Parliament shall vote
  by roll call
  using the electronic voting system
  . | When
  deciding on the basis of a report, Parliament shall take any
  single and/or final vote by roll call
  in accordance with Rule 167(2)
  .
  The vote on amendments shall be taken by roll call only pursuant to a request made pursuant to Rule 167. |

Present text

Amendment

When
  voting on any proposal for a legislative act, whether by way of a
  single and/or final vote
  , Parliament shall vote
  by roll call
  using the electronic voting system
  .

When
  deciding on the basis of a report, Parliament shall take any
  single and/or final vote by roll call
  in accordance with Rule 167(2)
  .
  The vote on amendments shall be taken by roll call only pursuant to a request made pursuant to Rule 167.

Amendment 4

Parliament's Rules of Procedure

Rule 195 — paragraph 3

| Present text | Amendment |
| --- | --- |
| 3.   
  Voting in committee shall be by show of hands, unless a quarter of the committee's members request a vote by roll call. In this case the vote shall be taken
  in accordance with Rule 167(2). | 3.   
  Any single and/or final vote in committee on a report shall be taken by roll call
  in accordance with Rule 167(2).
  The vote on amendments and other votes shall be taken by a show of hands, unless the Chair decides to proceed to an electronic vote or a quarter of the committee members request a vote by roll call. |

Present text

Amendment

3.   
  Voting in committee shall be by show of hands, unless a quarter of the committee's members request a vote by roll call. In this case the vote shall be taken
  in accordance with Rule 167(2).

3.   
  Any single and/or final vote in committee on a report shall be taken by roll call
  in accordance with Rule 167(2).
  The vote on amendments and other votes shall be taken by a show of hands, unless the Chair decides to proceed to an electronic vote or a quarter of the committee members request a vote by roll call.

---

III Preparatory acts

EUROPEAN PARLIAMENT

Tuesday 25 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/167 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/167

---

P7_TA(2014)0111

Member States experiencing or threatened with serious difficulties with respect to their financial stability ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on amending Council Regulation (EC) No 1198/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability (COM(2013)0428 — C7-0178/2013 — 2013/0200(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/28)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0428), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0428),

| — | having regard to Article 294(2) and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0178/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0178/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 19 September 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 19 September 2013 (1),

| — | having regard to the undertaking given by the Council representative by letter of 3 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 3 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Fisheries (A7-0046/2014), |
| --- | --- |

—

having regard to the report of the Committee on Fisheries (A7-0046/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 341, 21.11.2013, p. 75.

---

P7_TC1-COD(2013)0200

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 1198/2006 on the European Fisheries Fund, as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 335/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/169 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/169

---

P7_TA(2014)0112

Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Articles 290 and 291 TFEU) ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0751 — C7-0386/2013 — 2013/0365(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/29)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0751), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0751),

| — | having regard to Article 294(2) and Articles 43(2), 53(1), 62, 100(2), 114, 168(4), points (a) and (b), 172, 192(1), 207, 214(3) and 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0386/2013), |
| --- | --- |

—

having regard to Article 294(2) and Articles 43(2), 53(1), 62, 100(2), 114, 168(4), points (a) and (b), 172, 192(1), 207, 214(3) and 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0386/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to Regulation (EU) No 182/2011 of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (1), |
| --- | --- |

—

having regard to Regulation (EU) No 182/2011 of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (1),

| — | having regard to the opinion of the European Economic and Social Committee of 21 January 2014 (2), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 21 January 2014 (2),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents, |
| --- | --- |

—

having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents,

| — | having regard to the Framework Agreement on relations between the European Parliament and the European Commission (3), in particular point 15 thereof and Annex 1 thereto, |
| --- | --- |

—

having regard to the Framework Agreement on relations between the European Parliament and the European Commission (3), in particular point 15 thereof and Annex 1 thereto,

| — | having regard to its resolution of 5 May 2010 on the power of legislative delegation (4), |
| --- | --- |

—

having regard to its resolution of 5 May 2010 on the power of legislative delegation (4),

| — | having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (5), |
| --- | --- |

—

having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (5),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Internal Market and Consumer Protection, the Committee on International Trade, the Committee on Industry, Research and Energy, and the Committee on Transport and Tourism (A7-0011/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Internal Market and Consumer Protection, the Committee on International Trade, the Committee on Industry, Research and Energy, and the Committee on Transport and Tourism (A7-0011/2014),

| A. | Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force, in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected; |
| --- | --- |

A.

Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force, in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected;

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ L 55, 28.2.2011, p. 13.

(2)  Not yet published in the Official Journal.

(3)  OJ L 304, 20.11.2010, p. 47.

(4)  OJ C 81 E, 15.3.2011, p. 6.

(5)  Texts adopted, P7_TA(2014)0127.

---

P7_TC1-COD(2013)0365

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 and 291 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 43(2), 53(1), 62, 100(2), 114, 168(4)a, 168(4)b, 172, 192(1), 207, 214(3), 338(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

After consulting the Committee of the Regions,

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The Treaty of Lisbon introduced a distinction between the powers delegated to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act (delegated acts), and the powers conferred upon the Commission to adopt uniform conditions for implementing legally binding Union acts (implementing acts). |
| --- | --- |

(1)

The Treaty of Lisbon introduced a distinction between the powers delegated to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act (delegated acts), and the powers conferred upon the Commission to adopt uniform conditions for implementing legally binding Union acts (implementing acts).

| (2) | The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3). |
| --- | --- |

(2)

The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3).

| (3) | It is necessary to adapt to Article 290 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny and which fulfil the criteria of Article 290(1) TFEU. |
| --- | --- |

(3)

It is necessary to adapt to Article 290 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny and which fulfil the criteria of Article 290(1) TFEU.

| (4) | When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. |
| --- | --- |

(4)

When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council.

| (5) | It is necessary to adapt to Article 291 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny and which fulfil the criteria of Article 291(2) of the TFEU. |
| --- | --- |

(5)

It is necessary to adapt to Article 291 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny and which fulfil the criteria of Article 291(2) of the TFEU.

| (6) | When implementing powers are conferred on the Commission, those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (4). |
| --- | --- |

(6)

When implementing powers are conferred on the Commission, those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (4).

| (7) | As a consequence of the entry into force of the Treaty of Lisbon, it is also necessary to amend a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny by deleting certain measures covered by that procedure. |
| --- | --- |

(7)

As a consequence of the entry into force of the Treaty of Lisbon, it is also necessary to amend a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny by deleting certain measures covered by that procedure.

| (8) | This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation. |
| --- | --- |

(8)

This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation.

| (9) | Since the adaptations and amendments to be made by this Regulation concern only procedures, they do not, in the case of directives, need to be transposed by the Member States, |
| --- | --- |

(9)

Since the adaptations and amendments to be made by this Regulation concern only procedures, they do not, in the case of directives, need to be transposed by the Member States,

HAVE ADOPTED THIS REGULATION:

Article 1

1.   Where provisions listed in Annex I to this Regulation provide for the use of the regulatory procedure with scrutiny referred to in Article 5a(1) to (5) of Decision 1999/468/EC, the Commission shall be empowered to adopt delegated acts in accordance with Article 2 of this Regulation.

2.   Where provisions listed in Annex I provide for the use of the urgency procedure referred to in Article 5a(6) of Decision 1999/468/EC, the Commission shall be empowered to adopt delegated acts in accordance with the urgency procedure provided in Article 3 of this Regulation.

Article 2

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts shall be conferred on the Commission for an indeterminate

  a
  period of time

  five years from the date of entry into force of this Regulation. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 1]

3.   The delegation of power may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   An adopted delegated act shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

By way of derogation from the first subparagraph, the period for objections shall be three months, which shall be extended by three months at the initiative of the European Parliament or of the Council, with regard to delegated acts adopted pursuant to the regulations listed in points 12

   (5)

  , 13

   (6)

  , 14

   (7)

  , 16

   (8)

  and 18

   (9)

  of Section F, and point 21

   (10)

  of Section G, of Annex I. [Am. 2]

6.   Where provisions listed in Annex I to this Regulation provide that the time-limit laid down in point (c) of Article 5a(3) of Decision 1999/468/EC is curtailed pursuant to point (b) of Article 5a(5) of that Decision, the periods laid down in paragraph 5 of this Article shall be set at one month.

Article 3

1.   Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.

2.   Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 2(5). In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or by the Council.

Article 4

1.   Where provisions listed in Annex II provide for the use of the regulatory procedure with scrutiny referred to in Article 5a(1) to (5) of Decision 1999/468/EC, the Commission shall be empowered to adopt implementing acts in accordance with the examination procedure of Article 5 of Regulation (EU) No 182/2011.

2.   Where provisions listed in Annex II provide for the use of the urgency procedure referred to in Article 5a(6) of Decision 1999/468/EC, the Commission shall be empowered to adopt immediately applicable implementing acts in accordance with Article 8 in conjunction with Article 5 of Regulation (EU) No 182/2011.

Article 5

Regulation (EC) No 66/2010 of the European Parliament and of the Council, Regulation (EC) No 1221/2009 of the European Parliament and of the Council, Council Directive 97/70/EC (11), Regulation (EC) No 1333/2008 of the European Parliament and the Council, , Directive 2002/46/EC of the European Parliament and the Council
  [Ams. 61, 62 and 63] and Council Regulation (EC) No 1257/96 (12) are amended as set out in Annex III to this Regulation.

Article 6

This Regulation shall not affect pending procedures in which a committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC.

Article 7

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

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  Opinion of 21 January 2014 (not yet published in the Official Journal).

1

(2)  Position of the European Parliament of 25 February 2014.

2

(3)  Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (OJ L 184, 17.7.1999, p. 23).

3

(4)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

4

(5)  
  Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93 (OJ L 61, 5.3.2008, p. 6).

5

Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93 (OJ L 61, 5.3.2008, p. 6).

(6)  
  Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates (OJ L 171, 29.6.2007, p. 17).

6

Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates (OJ L 171, 29.6.2007, p. 17).

(7)  
  Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination (OJ L 336, 20.12.2007, p. 1).

7

Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination (OJ L 336, 20.12.2007, p. 1).

(8)  
  Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment (OJ L 35, 8.2.2005, p. 23).

8

Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment (OJ L 35, 8.2.2005, p. 23).

(9)  
  Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index (OJ L 69, 13.3.2003, p. 1).

9

Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index (OJ L 69, 13.3.2003, p. 1).

(10)  
  Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7).

10

Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7).

(11)  Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 metres in length and over (OJ L 34, 9.2.1998, p. 1).

11

(12)  Council Regulation (EC) No 1257/96 of 20 June 1996 concerning humanitarian aid (OJ L 163, 2.7.1996, p. 1).

12

ANNEX I

Provisions of legal acts making reference to the regulatory procedure with scrutiny referred to in Article 5a of Decision 1999/468/EC which are adapted to the regime of delegated acts (1)

| A. | COMMUNICATIONS NETWORKS, CONTENT AND TECHNOLOGY








  -1. | Decision No 626/2008/EC of the European Parliament and of the Council of 30 June 2008 on the selection and authorisation of systems providing mobile satellite services (MSS)



  Article 9(3)* [Am. 4] |
| --- | --- | --- |

A.

COMMUNICATIONS NETWORKS, CONTENT AND TECHNOLOGY

-1.

Decision No 626/2008/EC of the European Parliament and of the Council of 30 June 2008 on the selection and authorisation of systems providing mobile satellite services (MSS)

| 1. | Regulation (EC) No 733/2002 of the European Parliament and of the Council of 22 April 2002 on the implementation of the .eu Top Level Domain
  Article 3(1), point (a)**
  Article 5(1)
  Article 5(2) |
| --- | --- |

1.

Regulation (EC) No 733/2002 of the European Parliament and of the Council of 22 April 2002 on the implementation of the .eu Top Level Domain

Article 3(1), point (a)**

Article 5(1)

Article 5(2)

| 2. | Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive)

  Article 26(7)


  Article 27a(5) [Am. 5]
  Article 35 |
| --- | --- |

2.

Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive)

Article 35

| 3. | Directive No 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)

  Article 9b(3)


  Article 10(4)

  Article 13a(4)

  Article 15(4)


  Article 17(6a)


  Article 19(4) [Am. 6] |
| --- | --- |

3.

Directive No 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)

Article 13a(4)

| B. | CLIMATE ACTION






  4. | Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020

  Article 3(2) [Am. 7]
  Article 3(6)
  Article 11(3) |
| --- | --- | --- |

B.

CLIMATE ACTION

4.

Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020

Article 3(6)

Article 11(3)

| 5. | Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC
  Article 3d(3)
  Article 3f(9)
  Article 10(4)
  Article 10a(1)
  Article 10a(7)
  Article 10a(8)
  Article 10a(13)

  Article 11a(8)

  Article 11a(9)
  Article 11b(7)
  Article 14(1)
  Article 15, fifth paragraph

  Article 16(12) [Am. 8]
  Article 19(3)
  Article 22
  Article 24(1), point (b)
  Article 24(3)
  Article 24a(1)
  Article 24a(2)
  Article 25(2)
  Article 25a(1)
  Annex IV, Part A |
| --- | --- |

5.

Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC

Article 3d(3)

Article 3f(9)

Article 10(4)

Article 10a(1)

Article 10a(7)

Article 10a(8)

Article 10a(13)

Article 11a(9)

Article 11b(7)

Article 14(1)

Article 15, fifth paragraph

Article 19(3)

Article 22

Article 24(1), point (b)

Article 24(3)

Article 24a(1)

Article 24a(2)

Article 25(2)

Article 25a(1)

Annex IV, Part A

| C. | ENERGY






  6. | Directive 2008/92/EC of the European Parliament and of the Council of 22 October 2008 concerning a Community procedure to improve the transparency of gas and electricity prices charged to industrial end-users (recast)
  Article 6 |
| --- | --- | --- |

C.

ENERGY

6.

Directive 2008/92/EC of the European Parliament and of the Council of 22 October 2008 concerning a Community procedure to improve the transparency of gas and electricity prices charged to industrial end-users (recast)

Article 6

| D. | ENTERPRISE AND INDUSTRY






  7. | Regulation (EC) No 715/2007 of the European Parliament and of the Council of 20 June 2007 on type approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information
  Article 5(3)
  Article 8
  Article 14(2)
  Article 14(3) |
| --- | --- | --- |

D.

ENTERPRISE AND INDUSTRY

7.

Regulation (EC) No 715/2007 of the European Parliament and of the Council of 20 June 2007 on type approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information

Article 5(3)

Article 8

Article 14(2)

Article 14(3)

| 8. | Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (recast)
  Article 8(1)a

  , point (a)



  Article 8(1), point (b), in conjunction with Article 9(3) [Am. 9] |
| --- | --- |

8.

Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (recast)

Article 8(1)a

  , point (a)

| E. | ENVIRONMENT






  9. | Regulation (EC) No 66/2010 of the European Parliament and of the Council of 25 November 2009 on the EU Ecolabel

  Article 6(5), second subparagraph [Am. 10]
  Article 6(7)
  Article 8(2)
  Article 15 |
| --- | --- | --- |

E.

ENVIRONMENT

9.

Regulation (EC) No 66/2010 of the European Parliament and of the Council of 25 November 2009 on the EU Ecolabel

Article 6(7)

Article 8(2)

Article 15

| 10. | Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 and Commission Decisions 2001/681/EC and 2006/193/EC

  Article 16(4)

  Article 17(3)

  Article 30(6)


  Article 46(6) [Am. 11]
  Article 48(2) |
| --- | --- |

10.

Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 and Commission Decisions 2001/681/EC and 2006/193/EC

Article 17(3)

Article 48(2)

| F. | STATISTICS






  11. | Regulation (EC) No 453/2008 of the European Parliament and of the Council of 23 April 2008 on quarterly statistics on Community job vacancies
  Article 2(1)
  Article 3(1)

  Article 5(1) [Am. 12]
  Article 7(1)
  Article 7(3) |
| --- | --- | --- |

F.

STATISTICS

11.

Regulation (EC) No 453/2008 of the European Parliament and of the Council of 23 April 2008 on quarterly statistics on Community job vacancies

Article 2(1)

Article 3(1)

Article 7(1)

Article 7(3)

| 12. | Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93
  **** [Am. 13]

  Article 3(6)
  Article 5(2)
  Article 6(3) as to the adoption of ‘measures relating to common quality standards’ in conjunction with Article 15(1)(c) as to the adoption of ‘common quality standards’
  Article 8(3)
  Article 15(1) |
| --- | --- |

12.

Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93
  **** [Am. 13]

Article 3(6)

Article 5(2)

Article 6(3) as to the adoption of ‘measures relating to common quality standards’ in conjunction with Article 15(1)(c) as to the adoption of ‘common quality standards’

Article 8(3)

Article 15(1)

| 13. | Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates
  **** [Am. 14]

  Article 5(4)
  Article 6(3) as to the adoption of ‘common quality standards’ in conjunction with Article 9(2), point (a)
  Article 9(2), point (b)
  Article 9(2), point (c) as to the definition of ‘proper common quality standards’ |
| --- | --- |

13.

Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates
  **** [Am. 14]

Article 5(4)

Article 6(3) as to the adoption of ‘common quality standards’ in conjunction with Article 9(2), point (a)

Article 9(2), point (b)

Article 9(2), point (c) as to the definition of ‘proper common quality standards’

| 14. | Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination
  **** [Am. 15]

  Article 7(4) as to the adoption of ‘the common quality control criteria’ in conjunction with Article 12(3), point (c) as to the definition of ‘quality criteria’
  Article 12(3) |
| --- | --- |

14.

Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination
  **** [Am. 15]

Article 7(4) as to the adoption of ‘the common quality control criteria’ in conjunction with Article 12(3), point (c) as to the definition of ‘quality criteria’

Article 12(3)

| 15. | Regulation (EC) No 1552/2005 of the European Parliament and of the Council of 7 September 2005 on statistics relating to vocational training in enterprises
  Article 5(2)
  Article 7(3)
  Article 8(2)
  Article 9(4) as to the adoption of ‘quality requirements and any measures necessary for assessing or improving the quality’

  Article 9(4) as to the determination of the ‘structure of the quality reports’ [Am. 16]
  Article 10(2)
  Article 13 |
| --- | --- |

15.

Regulation (EC) No 1552/2005 of the European Parliament and of the Council of 7 September 2005 on statistics relating to vocational training in enterprises

Article 5(2)

Article 7(3)

Article 8(2)

Article 9(4) as to the adoption of ‘quality requirements and any measures necessary for assessing or improving the quality’

Article 10(2)

Article 13

| 16. | Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment
  **** [Am. 17]

  Article 4(3) as to the adoption of ‘common quality standards’
  Article 10 |
| --- | --- |

16.

Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment
  **** [Am. 17]

Article 4(3) as to the adoption of ‘common quality standards’

Article 10

| 17. | Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC)
  Article 6(2)

  Article 8(3)

  Article 15(5) in conjunction with
  point (a) of
  Article 15(2)(a) as to ‘the definition of the list of target primary variables to be included in each area for the cross-sectional component and the list of target variables included in the longitudinal component, including the specification of variable codes’

  Article 15(5) in conjunction with point (a) of Article 15(2) as to the definition of the ‘technical format of transmission to Eurostat’


  Article 15(5) in conjunction with point (b) of Article 15(2)

  Article 15(5) in conjunction with
  point (c) of
  Article 15(2)(c)


  Article 15(5) in conjunction with point (d) of Article 15(2)

  Article 15(5) in conjonction

  conjunction
  with
  point (e) of
  Article
  15(2)

  (e)

  Article 15(5) in conjonction

  conjunction
  with
  point (f) of
  Article
  15(2)

  (f)
  [Am. 18] |
| --- | --- |

17.

Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC)

Article 6(2)

Article 15(5) in conjunction with
  point (a) of
  Article 15(2)(a) as to ‘the definition of the list of target primary variables to be included in each area for the cross-sectional component and the list of target variables included in the longitudinal component, including the specification of variable codes’

Article 15(5) in conjunction with
  point (c) of
  Article 15(2)(c)

Article 15(5) in conjonction

  conjunction
  with
  point (e) of
  Article
  15(2)

  (e)

Article 15(5) in conjonction

  conjunction
  with
  point (f) of
  Article
  15(2)

  (f)
  [Am. 18]

| 18. | Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index
  **** [Am. 19]

  Article 2(4)
  Article 3(2)
  Article 4(1)
  Article 4(2)
  Article 8(1)
  Article 11, point (a)
  Article 11, point (b)
  Article 11, point (d)
  Article 11, point (e)
  Article 11, point (f) as to the adoption of ‘the separate quality criteria for current and back data transmitted’
  Article 11, point (i)
  Annex, point 3 |
| --- | --- |

18.

Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index
  **** [Am. 19]

Article 2(4)

Article 3(2)

Article 4(1)

Article 4(2)

Article 8(1)

Article 11, point (a)

Article 11, point (b)

Article 11, point (d)

Article 11, point (e)

Article 11, point (f) as to the adoption of ‘the separate quality criteria for current and back data transmitted’

Article 11, point (i)

Annex, point 3

| 19. | Regulation (EC) No 437/2003 of the European Parliament and of the Council of 27 February 2003 on statistical returns in respect of the carriage of passengers, freight and mail by air
  Article 5
  Article 7(2)
  Article 10(2) |
| --- | --- |

19.

Regulation (EC) No 437/2003 of the European Parliament and of the Council of 27 February 2003 on statistical returns in respect of the carriage of passengers, freight and mail by air

Article 5

Article 7(2)

Article 10(2)

| 20. | Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on waste statistics
  Article 1(5)
  Article 3(1)
  Article 4(3)
  Article 5(4)
  Article 6(2)
  , point
  (a)
  Article 6(2)
  , point
  (b)
  Article 6(2)
  , point
  (c) as to the ‘definition of the proper quality evaluation criteria’

  Article 6(2), point (c) as to the definition of the ‘contents of the quality reports’ [Am. 20]
  Article 6(2), point (d)
  Article 8(3)
  Annex I, section 7, point 1
  Annex II, section 7, point 1 |
| --- | --- |

20.

Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on waste statistics

Article 1(5)

Article 3(1)

Article 4(3)

Article 5(4)

Article 6(2)
  , point
  (a)

Article 6(2)
  , point
  (b)

Article 6(2)
  , point
  (c) as to the ‘definition of the proper quality evaluation criteria’

Article 6(2), point (d)

Article 8(3)

Annex I, section 7, point 1

Annex II, section 7, point 1

| G. | INTERNAL MARKET AND SERVICES






  21. | Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC****

  Article 14(1)

  Article 14(2) [Am. 21] |
| --- | --- | --- |

G.

INTERNAL MARKET AND SERVICES

21.

Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC****

Article 14(1)

| 22. | Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC
  Article 68(1)***
  Article 69(2)*** |
| --- | --- |

22.

Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC

Article 68(1)***

Article 69(2)***

| H. | MOBILITY AND TRANSPORT






  23. | Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations
  Article 13
  Article 14(1)
  Article 14(2) |
| --- | --- | --- |

H.

MOBILITY AND TRANSPORT

23.

Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations

Article 13

Article 14(1)

Article 14(2)

| 24. | Directive 2009/45/EC of the European Parliament and of the Council of 6 May 2009 on safety rules and standards for passenger ships (Recast)
  Article 10(3) |
| --- | --- |

24.

Directive 2009/45/EC of the European Parliament and of the Council of 6 May 2009 on safety rules and standards for passenger ships (Recast)

Article 10(3)

| 25. | Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security
  Article 10(2)**

  Article 10(3)** [Am. 22] |
| --- | --- |

25.

Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security

Article 10(2)**

| 26. | Directive 2000/59/EC of the European Parliament and of the Council of 27 November 2000 on port reception facilities for ship-generated waste and cargo residues
  Article 15 |
| --- | --- |

26.

Directive 2000/59/EC of the European Parliament and of the Council of 27 November 2000 on port reception facilities for ship-generated waste and cargo residues

Article 15

| 27. | Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 metres in length and over

  Article 8, point (a), first indent

  Article 8
  , point
  (b) [Am. 23] |
| --- | --- |

27.

Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 metres in length and over

Article 8
  , point
  (b) [Am. 23]

| I. | HEALTH AND CONSUMERS






  28. | Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products
  Article 2(3)
  Article 13(8)
  Article 14(2)
  Article 15(1)
  Article 15(2)**
  Article 16(8)
  Article 16(9)**

  Article 18(2) [Am. 24]
  Article 20(2)
  Article 31(1) **
  Article 31(2)
  Article 31(3) |
| --- | --- | --- |

I.

HEALTH AND CONSUMERS

28.

Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products

Article 2(3)

Article 13(8)

Article 14(2)

Article 15(1)

Article 15(2)**

Article 16(8)

Article 16(9)**

Article 20(2)

Article 31(1) **

Article 31(2)

Article 31(3)

| 29. | Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market and repealing Council Directive 79/117/EEC and 91/414/EEC
  Article 8(4) the, last sentence, in conjunction with
  point (b) of
  Article
  78(1)

  (b)


  Article 17, second subparagraph, in conjunction with point (d) of Article 78(1)

  Article 25(3) in conjunction with
  point (e) of
  Article
  78(1)

  (e)

  Article 26 in conjunction with
  point (f) of
  Article
  78(1)

  (f)

  Article 27(2) in conjunction with
  point (h) of
  Article
  78(1)

  (h)


  Article 29(4) in conjunction with point (g) of Article 78(1)

  Article 29(6), first subparagraph, second sentence, in conjunction with
  point (c) of
  Article
  78(1)

  (c)

  Article 30(3) in conjunction with
  point (i) of
  Article
  78(1)

  (i)

  Article 52(4), last subparagraph, in conjunction with
  point (j) of
  Article
  78(1)

  (j)

  Article 54(5) in conjunction with
  point (k) of
  Article
  78(1)

  (k)

  Article 58(2) in conjunction with
  point (l) of
  Article
  78(1)

  (l)

  Article 65(1) in conjunction with
  point (m) of
  Article
  78(1)

  (m)

  Article 68, third subparagraph, in conjunction with
  point (n) of
  Article
  78(1)

  (n)

  Article 78(1)
  , point
  (a)
  Annex II, point 3.6.5 [Am. 25] |
| --- | --- |

29.

Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market and repealing Council Directive 79/117/EEC and 91/414/EEC

Article 8(4) the, last sentence, in conjunction with
  point (b) of
  Article
  78(1)

  (b)

Article 25(3) in conjunction with
  point (e) of
  Article
  78(1)

  (e)

Article 26 in conjunction with
  point (f) of
  Article
  78(1)

  (f)

Article 27(2) in conjunction with
  point (h) of
  Article
  78(1)

  (h)

Article 29(6), first subparagraph, second sentence, in conjunction with
  point (c) of
  Article
  78(1)

  (c)

Article 30(3) in conjunction with
  point (i) of
  Article
  78(1)

  (i)

Article 52(4), last subparagraph, in conjunction with
  point (j) of
  Article
  78(1)

  (j)

Article 54(5) in conjunction with
  point (k) of
  Article
  78(1)

  (k)

Article 58(2) in conjunction with
  point (l) of
  Article
  78(1)

  (l)

Article 65(1) in conjunction with
  point (m) of
  Article
  78(1)

  (m)

Article 68, third subparagraph, in conjunction with
  point (n) of
  Article
  78(1)

  (n)

Article 78(1)
  , point
  (a)

Annex II, point 3.6.5 [Am. 25]

| 30. | Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002
  Article 5(1)**
  Article 5(2)*
  Article 6(1)
  Article 6(2)*
  Article 7(4)
  Article 11(2)
  Article 15(1)
  Article 17(2)
  Article 18(3)
  Article 19(4)
  Article 20(11)
  Article 21(6)
  Article 27
  Article 31(2)
  Article 32(3)
  Article 40
  , point
  (a)
  Article 40
  , point
  (b)

  Article 40, point (c)


  Article 40, point (d)


  Article 40, point (e)

  Article 40
  , point
  (f)

  Article 41(1)


  Article 41(3)

  Article 42(2)
  , point
  (a)
  Article 42(2)
  , point
  (b)
  Article 42(2)
  , point
  (c)

  Article 42(2), point (d)

  Article 43(3)

  Article 45(4)

  Article 48(7)
  , point
  (a)
  Article 48(7)
  , point
  (b)

  Article 48(7), point (c)

  Article 48(7)
  , point
  (d) [Am. 26]

  Article 48(8) |
| --- | --- |

30.

Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002

Article 5(1)**

Article 5(2)*

Article 6(1)

Article 6(2)*

Article 7(4)

Article 11(2)

Article 15(1)

Article 17(2)

Article 18(3)

Article 19(4)

Article 20(11)

Article 21(6)

Article 27

Article 31(2)

Article 32(3)

Article 40
  , point
  (a)

Article 40
  , point
  (b)

Article 40
  , point
  (f)

Article 42(2)
  , point
  (a)

Article 42(2)
  , point
  (b)

Article 42(2)
  , point
  (c)

Article 43(3)

Article 48(7)
  , point
  (a)

Article 48(7)
  , point
  (b)

Article 48(7)
  , point
  (d) [Am. 26]

Article 48(8)

| 31. | Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation (EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC, 93/113/EC and 96/25/EC and Commission Decision 2004/217/EC
  Article 6(2)**

  Article 7(2)


  Article 10(5)*

  Article 17(4)
  Article 20(2)

  Article 26(3) [Am. 27]
  Article 27(1)
  Article 32(4) |
| --- | --- |

31.

Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation (EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC, 93/113/EC and 96/25/EC and Commission Decision 2004/217/EC

Article 6(2)**

Article 17(4)

Article 20(2)

Article 27(1)

Article 32(4)

| 32. | Regulation (EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council
  Articles 13(2)

  Article 18** [Am. 28]
  Article 19(3)
  Article 24(4) |
| --- | --- |

32.

Regulation (EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council

Articles 13(2)

Article 19(3)

Article 24(4)

| 33. | Regulation (EC) No 1334/2008 of the European Parliament and of the Council of 16 December 2008 on flavourings and certain food ingredients with flavouring properties for use in and on foods and amending Council Regulation (EEC) No 1601/91, Regulations (EC) No 2232/96 and (EC) No 110/2008 and Directive 2000/13/EC
  Article 8(2)**
  Article 22**
  Article 25(3) |
| --- | --- |

33.

Regulation (EC) No 1334/2008 of the European Parliament and of the Council of 16 December 2008 on flavourings and certain food ingredients with flavouring properties for use in and on foods and amending Council Regulation (EEC) No 1601/91, Regulations (EC) No 2232/96 and (EC) No 110/2008 and Directive 2000/13/EC

Article 8(2)**

Article 22**

Article 25(3)

| 34. | Regulation (EC) No 1333/2008 of the European Parliament and of the Council of 16 December 2008 on food additives
  Article 9(2)

  Article 23(4), second sentence [Am. 29]
  Article 24(3)*
  Article 30(1)*
  Article 30(2)*
  Article 30(3)*
  Article 30(5)
  Article 31* |
| --- | --- |

34.

Regulation (EC) No 1333/2008 of the European Parliament and of the Council of 16 December 2008 on food additives

Article 9(2)

Article 24(3)*

Article 30(1)*

Article 30(2)*

Article 30(3)*

Article 30(5)

Article 31*

| 35. | Regulation (EC) No 1332/2008 of the European Parliament and of the Council of 16 December 2008 on food enzymes and amending Council Directive 83/417/EEC, Council Regulation (EC) No 1493/1999, Directive 2000/13/EC, Council Directive 2001/112/EC and Regulation (EC) No 258/97
  Article 17(5) |
| --- | --- |

35.

Regulation (EC) No 1332/2008 of the European Parliament and of the Council of 16 December 2008 on food enzymes and amending Council Directive 83/417/EEC, Council Regulation (EC) No 1493/1999, Directive 2000/13/EC, Council Directive 2001/112/EC and Regulation (EC) No 258/97

Article 17(5)

| 36. | Regulation (EC) No 1331/2008 of the European Parliament and of the Council of 16 December 2008 establishing a common authorisation procedure for food additives, food enzymes and food flavourings
  Article 7(4)
  Article 7(5)*
  Article 7(6)** |
| --- | --- |

36.

Regulation (EC) No 1331/2008 of the European Parliament and of the Council of 16 December 2008 establishing a common authorisation procedure for food additives, food enzymes and food flavourings

Article 7(4)

Article 7(5)*

Article 7(6)**

| 37. | Regulation (EC) No 1925/2006 of the European Parliament and of the Council of 20 December 2006 on the addition of vitamins and minerals and of certain other substances to foods
  Article 3(3)**
  Article 4, second subparagraph
  Article 5(1)

  Article 6(1)


  Article 6(2) [Am. 30]
  Article 6(6)
  Article 7(1)
  Article 8(2)
  Article 8(5)** |
| --- | --- |

37.

Regulation (EC) No 1925/2006 of the European Parliament and of the Council of 20 December 2006 on the addition of vitamins and minerals and of certain other substances to foods

Article 3(3)**

Article 4, second subparagraph

Article 5(1)

Article 6(6)

Article 7(1)

Article 8(2)

Article 8(5)**

| 38. | Regulation (EC) No 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods
  Article 1(2)
  Article 1(4)
  Article 3, point (d)
  Article 4(1), first subparagraph
  Article 4(1), sixth subparagraph
  Article 4(5)
  Article 8(2)

  Article 13(3)


  Article 13(4)


  Article 17(3), first subparagraph


  Article 17(3), second subparagraph, point (b)


  Article 18(5), first subparagraph


  Article 18(5), second subparagraph, point (b)

  Article 28(4)
  , point
  (b)

  Article 28(6), point (a), point (ii) [Am. 31] |
| --- | --- |

38.

Regulation (EC) No 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods

Article 1(2)

Article 1(4)

Article 3, point (d)

Article 4(1), first subparagraph

Article 4(1), sixth subparagraph

Article 4(5)

Article 8(2)

Article 28(4)
  , point
  (b)

| 39. | Directive 2004/23/EC of the European Parliament and of the Council of 31 March 2004 on setting standards of quality and safety for the donation, procurement, testing, processing, preservation, storage and distribution of human tissues and cells
  Article 8(5)

  Article 8(6)


  Article 9(4) [Am. 32]
  Article 28** |
| --- | --- |

39.

Directive 2004/23/EC of the European Parliament and of the Council of 31 March 2004 on setting standards of quality and safety for the donation, procurement, testing, processing, preservation, storage and distribution of human tissues and cells

Article 8(5)

Article 28**

| 40. | Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed

  Article 3(2)

  Article 12(4)

  Article 14(1), first indent


  Article 14(1), second indent

  Article 14(1), third indent

  Article 15(2)

  Article 24(4)

  Article 26(1)

  Article 32, sixth subparagraph

  paragraph [Am. 33]

  Article 47(3) |
| --- | --- |

40.

Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed

Article 12(4)

Article 14(1), third indent

Article 24(4)

Article 32, sixth subparagraph

  paragraph [Am. 33]

Article 47(3)

| 41. | Directive 2002/98/EC of the European Parliament and of the Council of 27 January 2003 setting standards of quality and safety for the collection, testing, processing, storage and distribution of human blood and blood components and amending Directive 2001/83/EC
  Article 29, first subparagraph

  paragraph
  **
  Article 29, second subparagraph

  paragraph, point
  (a)
  Article 29, second subparagraph

  paragraph, point
  (b)**
  Article 29, second subparagraph

  paragraph, point
  (c)**
  Article 29, second subparagraph

  paragraph, point
  (d)**
  Article 29, second subparagraph

  paragraph, point
  (e)**
  Article 29, second subparagraph

  paragraph, point
  (f)**
  Article 29, second subparagraph

  paragraph, point
  (g)**
  Article 29, second subparagraph

  paragraph, point
  (h)

  Article 29, second paragraph, point (i) [Am. 34] |
| --- | --- |

41.

Directive 2002/98/EC of the European Parliament and of the Council of 27 January 2003 setting standards of quality and safety for the collection, testing, processing, storage and distribution of human blood and blood components and amending Directive 2001/83/EC

Article 29, first subparagraph

  paragraph
  **

Article 29, second subparagraph

  paragraph, point
  (a)

Article 29, second subparagraph

  paragraph, point
  (b)**

Article 29, second subparagraph

  paragraph, point
  (c)**

Article 29, second subparagraph

  paragraph, point
  (d)**

Article 29, second subparagraph

  paragraph, point
  (e)**

Article 29, second subparagraph

  paragraph, point
  (f)**

Article 29, second subparagraph

  paragraph, point
  (g)**

Article 29, second subparagraph

  paragraph, point
  (h)

| 42. | Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements
  Article 4(2)
  Article 4(5)**
  Article 5(4) as to the adoption of ‘minimum amounts of vitamins and minerals’

  Article 5(4) as to the adoption of ‘maximum amounts of vitamins and minerals’


  Article 12(3) [Am. 35] |
| --- | --- |

42.

Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements

Article 4(2)

Article 4(5)**

Article 5(4) as to the adoption of ‘minimum amounts of vitamins and minerals’

| 43. | Directive 2002/32/EC of the European Parliament and of the Council of 7 May 2002 on undesirable substances in animal feed
  Article 7(2)**
  Article 8(1)**
  Article 8(2), second indent |
| --- | --- |

43.

Directive 2002/32/EC of the European Parliament and of the Council of 7 May 2002 on undesirable substances in animal feed

Article 7(2)**

Article 8(1)**

Article 8(2), second indent

---

(1)  For information purposes, provisions referring to the curtailed time limit pursuant to Article 2(6) are indicated in this Annex with *, provisions referring to the urgency procedure pursuant to Article 3 are indicated in this Annex with ** and provision

  , provisions
  referring to the urgency procedure pursuant to Article 3 and to the curtailed time limit pursuant to Article 2(6) are indicated in this Annex with ***
  and provisions referred to in the second subparagraph of Article 2(5) are indicated in this Annex with ****

  . [Am. 3]

ANNEX II

Provisions of legal acts making reference to the regulatory procedure with scrutiny referred to in Article 5a of Decision 1999/468/EC which are adapted to the regime of implementing acts (1).

| A. | COMMUNICATIONS NETWORKS, CONTENT AND TECHNOLOGY








  1. | Decision No 626/2008/EC of the European Parliament and of the Council of 30 June 2008 on the selection and authorisation of systems providing mobile satellite services (MSS)

  Article 9(3)*
  [Am. 36] |
| --- | --- | --- |

A.

COMMUNICATIONS NETWORKS, CONTENT AND TECHNOLOGY

1.

Decision No 626/2008/EC of the European Parliament and of the Council of 30 June 2008 on the selection and authorisation of systems providing mobile satellite services (MSS)

| 2. | Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive)

  Article 26(7)
  Article 27a(5)
  [Am. 37] |
| --- | --- |

2.

Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive)

| 3. | Directive No 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)

  Article 9b(3)
  Article 10(4)
  Article 15(4)
  Article 17(6)a
  Article 19(4)
  [Am. 38] |
| --- | --- |

3.

Directive No 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive)

| B. | CLIMATE ACTION








  4. | Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020

  Article 3(2)
  [Am. 39] |
| --- | --- | --- |

B.

CLIMATE ACTION

4.

Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community’s greenhouse gas emission reduction commitments up to 2020

| 5. | Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC

  Article 11a(8)
  Article 16(12)
  [Am. 40] |
| --- | --- |

5.

Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC

| C. | ENTERPRISE AND INDUSTRY








  6. | Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (recast)

  Article 8(1)b in conjunction with Article 9(3)
  [Am. 41] |
| --- | --- | --- |

C.

ENTERPRISE AND INDUSTRY

6.

Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (recast)

| D. | ENVIRONMENT








  7. | Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 and Commission Decisions 2001/681/EC and 2006/193/EC

  Article 46(6)
  [Am. 42] |
| --- | --- | --- |

D.

ENVIRONMENT

7.

Regulation (EC) No 1221/2009 of the European Parliament and of the Council of 25 November 2009 on the voluntary participation by organisations in a Community eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 and Commission Decisions 2001/681/EC and 2006/193/EC

| E. | STATISTICS







  8. | Regulation (EC) No 453/2008 of the European Parliament and of the Council of 23 April 2008 on quarterly statistics on Community job vacancies

  Article 5(1)
  [Am. 43] |
| --- | --- | --- |

E.

STATISTICS

8.

Regulation (EC) No 453/2008 of the European Parliament and of the Council of 23 April 2008 on quarterly statistics on Community job vacancies

| 9. | Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93
  Article 6(3) as to the adoption of ‘the content and periodicity of the quality reports’ in conjunction with Article 15(1), point (c) as to the adoption of ‘the content and periodicity of the quality reports’ |
| --- | --- |

9.

Regulation (EC) No 177/2008 of the European Parliament and of the Council of 20 February 2008 establishing a common framework for business registers for statistical purposes and repealing Council Regulation (EEC) No 2186/93

Article 6(3) as to the adoption of ‘the content and periodicity of the quality reports’ in conjunction with Article 15(1), point (c) as to the adoption of ‘the content and periodicity of the quality reports’

| 10. | Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates
  Article 6(3) as to the adoption of ‘the content and periodicity of the quality reports’ in conjunction with Article 9(2), point (c) as to the definition of ‘the content and periodicity of the quality reports’ |
| --- | --- |

10.

Regulation (EC) No 716/2007 of the European Parliament and of the Council of 20 June 2007 on Community statistics on the structure and activity of foreign affiliates

Article 6(3) as to the adoption of ‘the content and periodicity of the quality reports’ in conjunction with Article 9(2), point (c) as to the definition of ‘the content and periodicity of the quality reports’

| 11. | Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination
  Article 7 (4) as to the adoption of ‘structure of the quality reports’ in conjunction with Article 12 (3), point (c) as to the definition of the ‘structure of the quality reports’ |
| --- | --- |

11.

Regulation (EC) No 1445/2007 of the European Parliament and of the Council of 11 December 2007 establishing common rules for the provision of basic information on Purchasing Power Parities and for their calculation and dissemination

Article 7 (4) as to the adoption of ‘structure of the quality reports’ in conjunction with Article 12 (3), point (c) as to the definition of the ‘structure of the quality reports’

| 12. | Regulation (EC) No 1552/2005 of the European Parliament and of the Council of 7 September 2005 on statistics relating to vocational training in enterprises

  Article 9(4) as to the adoption of ‘structure of the quality reports’
  [Am. 44] |
| --- | --- |

12.

Regulation (EC) No 1552/2005 of the European Parliament and of the Council of 7 September 2005 on statistics relating to vocational training in enterprises

| 13. | Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment.
  Article 4(3) as to the adoption of ‘content and periodicity of the quality reports’ |
| --- | --- |

13.

Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment.

Article 4(3) as to the adoption of ‘content and periodicity of the quality reports’

| 14. | Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC)

  Article 8(3)
  Article 15(5) in conjunction with Article 15(2)(a) as to the definition of ‘technical format of transmission to Eurostat’,
  Article 15(5) in conjunction with Article 15(2)(b)
  Article 15(5) in conjunction with Article 15(2)(d)
  [Am. 45] |
| --- | --- |

14.

Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC)

| 15. | Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index
  Article 8(2) in conjunction with Article 11, point (f) as to the adoption of ‘content of quality reports’ |
| --- | --- |

15.

Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003 concerning the labour cost index

Article 8(2) in conjunction with Article 11, point (f) as to the adoption of ‘content of quality reports’

| 16. | Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on waste statistics

  Article 6(2)(c) as to the adoption of ‘content of quality reports’
  [Am. 46] |
| --- | --- |

16.

Regulation (EC) No 2150/2002 of the European Parliament and of the Council of 25 November 2002 on waste statistics

| F. | INTERNAL MARKET AND SERVICES








  17. | Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC

  Article 14(2)
  [Am. 47] |
| --- | --- | --- |

F.

INTERNAL MARKET AND SERVICES

17.

Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC

| G. | MOBILITY AND TRANSPORT








  18. | Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security

  Article 10(3)**
  [Am. 48] |
| --- | --- | --- |

G.

MOBILITY AND TRANSPORT

18.

Regulation (EC) No 725/2004 of the European Parliament and of the Council of 31 March 2004 on enhancing ship and port facility security

| 19. | Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 metres in length and over

  Article 8(a) First indent
  [Am. 49] |
| --- | --- |

19.

Council Directive 97/70/EC of 11 December 1997 setting up a harmonised safety regime for fishing vessels of 24 metres in length and over

| H. | HEALTH AND CONSUMERS








  20. | Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products

  Article 18(2)
  [Am. 50] |
| --- | --- | --- |

H.

HEALTH AND CONSUMERS

20.

Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products

| 21. | Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market and repealing Council Directive 79/117/EEC and 91/414/EEC

  Article 17 second subparagraph in conjunction with Article 78(1)(d)
  Article 29(4) in conjunction with Article 78(1)(g)
  [Am. 51] |
| --- | --- |

21.

Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market and repealing Council Directive 79/117/EEC and 91/414/EEC

| 22. | Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002

  Article 40 (c)
  Article 40 (d)
  Article 40 (e)
  Article 41(1)
  Article 41(3)
  Article 42(2) (d)
  Article 45(4)
  Article 48(7) (c)
  [Am. 52] |
| --- | --- |

22.

Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 laying down health rules as regards animal by-products and derived products not intended for human consumption and repealing Regulation (EC) No 1774/2002

| 23. | Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation (EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC, 93/113/EC and 96/25/EC and Commission Decision 2004/217/EC

  Article 7(2)
  Article 10(5)*
  Article 26(3)
  [Am. 53] |
| --- | --- |

23.

Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation (EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC, 93/113/EC and 96/25/EC and Commission Decision 2004/217/EC

| 24. | Regulation (EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council

  Article 18**
  [Am. 54] |
| --- | --- |

24.

Regulation (EC) No 470/2009 of the European Parliament and of the Council of 6 May 2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin, repealing Council Regulation (EEC) No 2377/90 and amending Directive 2001/82/EC of the European Parliament and of the Council and Regulation (EC) No 726/2004 of the European Parliament and of the Council

| 25. | Regulation (EC) No 1925/2006 of the European Parliament and of the Council of 20 December 2006 on the addition of vitamins and minerals and of certain other substances to foods

  Article 6(1)
  Article 6(2)
  [Am. 55] |
| --- | --- |

25.

Regulation (EC) No 1925/2006 of the European Parliament and of the Council of 20 December 2006 on the addition of vitamins and minerals and of certain other substances to foods

| 26. | Regulation (EC) No 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods

  Article 13(3)
  Article 13(4)
  Article 17(3) first subparagraph
  Article 17(3) second subparagraph (b)
  Article 18(5) first subparagraph
  Article 18(5) second subparagraph (b)
  Article 28(6)(a)(ii)
  [Am. 56] |
| --- | --- |

26.

Regulation (EC) No 1924/2006 of the European Parliament and of the Council of 20 December 2006 on nutrition and health claims made on foods

| 27. | Directive 2004/23/EC of the European Parliament and of the Council of 31 March 2004 on setting standards of quality and safety for the donation, procurement, testing, processing, preservation, storage and distribution of human tissues and cells

  Article 8(6)
  Article 9(4)
  [Am. 57] |
| --- | --- |

27.

Directive 2004/23/EC of the European Parliament and of the Council of 31 March 2004 on setting standards of quality and safety for the donation, procurement, testing, processing, preservation, storage and distribution of human tissues and cells

| 28. | Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed

  Article 3(2)
  Article 14(1) first indent
  Article 14(1) second indent
  Article 15(2)
  Article 26(1)
  [Am. 58] |
| --- | --- |

28.

Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed

| 29. | Directive 2002/98/EC of the European Parliament and of the Council of 27 January 2003 setting standards of quality and safety for the collection, testing, processing, storage and distribution of human blood and blood components and amending Directive 2001/83/EC

  Article 29 second subparagraph i)
  [Am. 59] |
| --- | --- |

29.

Directive 2002/98/EC of the European Parliament and of the Council of 27 January 2003 setting standards of quality and safety for the collection, testing, processing, storage and distribution of human blood and blood components and amending Directive 2001/83/EC

| 30. | Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements

  Article 5(4) as to the adoption of ‘maximum amounts of vitamins and minerals’
  [Am. 60] |
| --- | --- |

30.

Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002 on the approximation of the laws of the Member States relating to food supplements

---

(1)  For information purposes, provisions referring to the urgency procedure pursuant to Article 8 of Regulation (EU) No 182/2011 are indicated in this Annex with **

ANNEX III

Amendments to Regulation (EC) No 66/2010 of the European Parliament and of the Council, Regulation (EC) No 1221/2009 of the European Parliament and of the Council, Council Directive 97/70/EC, Regulation (EC) No 1333/2008 of the European Parliament and the Council, Directive 2002/46/EC of the European Parliament and the Council and to Council Regulation (EC) No 1257/96 [Am. 61]

| A. | ENVIRONMENT








  (1) | In paragraph 5 of Article 6 of Regulation (EC) No 66/2010, the second subparagraph is deleted. |
| --- | --- | --- |

A.

ENVIRONMENT

(1)

In paragraph 5 of Article 6 of Regulation (EC) No 66/2010, the second subparagraph is deleted.

| (2) | Regulation (EC) No 1221/2009 is amended as follows:








  (a) | in Article 16, paragraph 4 is deleted; |
| --- | --- | --- |

(2)

Regulation (EC) No 1221/2009 is amended as follows:

(a)

in Article 16, paragraph 4 is deleted;

| (b) | in Article 30, paragraph 6 is deleted.
  [Am. 62] |
| --- | --- |

(b)

in Article 30, paragraph 6 is deleted.
  [Am. 62]

| B. | MOBILITY AND TRANSPORT






  (3) | In point (a) of Article 8 of Directive 97/70/EC, the second indent is deleted. |
| --- | --- | --- |

B.

MOBILITY AND TRANSPORT

(3)

In point (a) of Article 8 of Directive 97/70/EC, the second indent is deleted.

| C. | HEALTH AND CONSUMERS








  (4) | In Article 23 of Regulation (EC) No 1333/2008, paragraph 4, second sentence is deleted. |
| --- | --- | --- |

C.

HEALTH AND CONSUMERS

(4)

In Article 23 of Regulation (EC) No 1333/2008, paragraph 4, second sentence is deleted.

| (5) | In Article 12 of Directive 2002/46/EC, paragraph 3 is deleted.
  [Am. 63] |
| --- | --- |

(5)

In Article 12 of Directive 2002/46/EC, paragraph 3 is deleted.
  [Am. 63]

| D. | HUMANITARIAN AID






  (6) | In Article 15 of Regulation (EC) No 1257/96, paragraph 1 is deleted. |
| --- | --- | --- |

D.

HUMANITARIAN AID

(6)

In Article 15 of Regulation (EC) No 1257/96, paragraph 1 is deleted.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/190 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/190

---

P7_TA(2014)0113

Adapting legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU)***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny (COM(2013)0452 — C7-0197/2013 — 2013/0220(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/30)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0452), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0452),

| — | having regard to Article 294(2) and Article 81(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0197/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 81(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0197/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 16 October 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 16 October 2013 (1),

| — | having regard to the letter from the President of the Committee of the Regions to the President of Parliament of 11 October 2013, |
| --- | --- |

—

having regard to the letter from the President of the Committee of the Regions to the President of Parliament of 11 October 2013,

| — | having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents, |
| --- | --- |

—

having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents,

| — | having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto, |
| --- | --- |

—

having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto,

| — | having regard to its resolution of 5 May 2010 on the power of legislative delegation (3), |
| --- | --- |

—

having regard to its resolution of 5 May 2010 on the power of legislative delegation (3),

| — | having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (4), |
| --- | --- |

—

having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (4),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs (A7-0480/2013), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs (A7-0480/2013),

| A. | Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force, in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected; |
| --- | --- |

A.

Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force, in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected;

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  Not yet published in the Official Journal.

(2)  OJ L 304, 20.11.2010, p. 47.

(3)  OJ C 81 E, 15.3.2011, p. 6.

(4)  Texts adopted, P7_TA(2014)0127.

---

P7_TC1-COD(2013)0220

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts in the area of Justice providing for the use of the regulatory procedure with scrutiny

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 81(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The Treaty of Lisbon introduced the possibility for the legislator to delegate power to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act. |
| --- | --- |

(1)

The Treaty of Lisbon introduced the possibility for the legislator to delegate power to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act.

| (2) | The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3). |
| --- | --- |

(2)

The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3).

| (3) | It is necessary to adapt to Article 290 of the TFEU legal acts already in force which make use of the regulatory procedure with scrutiny. |
| --- | --- |

(3)

It is necessary to adapt to Article 290 of the TFEU legal acts already in force which make use of the regulatory procedure with scrutiny.

| (4) | This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation. |
| --- | --- |

(4)

This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation.

| (5) | When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. |
| --- | --- |

(5)

When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council.

| (6) | The United Kingdom and Ireland are bound by the legal acts referred to in the annex and therefore take part in the adoption and application of this Regulation. |
| --- | --- |

(6)

The United Kingdom and Ireland are bound by the legal acts referred to in the annex and therefore take part in the adoption and application of this Regulation.

| (7) | In accordance with Articles 1 and 2 of the Protocol No 22 on the position of Denmark annexed to the Treaty on the Functioning of the European Union, Denmark does not take part in the adoption of this Regulation, and is not bound by it or subject to its application, |
| --- | --- |

(7)

In accordance with Articles 1 and 2 of the Protocol No 22 on the position of Denmark annexed to the Treaty on the Functioning of the European Union, Denmark does not take part in the adoption of this Regulation, and is not bound by it or subject to its application,

HAVE ADOPTED THIS REGULATION:

Article 1

Where the legal acts listed in the Annex to this Regulation provide for the use of the regulatory procedure with scrutiny referred to in Article 5a(1) to (4) of Decision 1999/468/EC, the Commission shall be empowered to adopt delegated acts in accordance with Article 2 of this Regulation.

Article 2

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts shall be conferred on the Commission for an indeterminate period of time.

3.   The delegation of power may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   An adopted delegated act shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 3

This Regulation shall not affect pending procedures in which a committee has already delivered its opinion in accordance with Article 5a of the Decision 1999/468/EC.

Article 4

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

This Regulation shall be binding in its entirety and directly applicable in Member States in accordance with the Treaties.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 67, 6.3.2014, p. 104.

1

(2)  Position of the European Parliament of 25 February 2014.

2

(3)  Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (OJ L 184, 17.7.1999, p. 23).

3

ANNEX

Legal acts making reference to the regulatory procedure with scrutiny referred to in Article 5a of the Decision 1999/468/EC which are adapted to the regime of delegated acts

| 1. | Council Regulation (EC) No 1206/2001 of 28 May 2001 on cooperation between the courts of the Member States in the taking of evidence in civil or commercial matters (1) |
| --- | --- |

1.

Council Regulation (EC) No 1206/2001 of 28 May 2001 on cooperation between the courts of the Member States in the taking of evidence in civil or commercial matters (1)

| 2. | Regulation (EC) No 805/2004 of the European Parliament and of the Council of 21 April 2004 creating a European Enforcement Order for uncontested claims (2) |
| --- | --- |

2.

Regulation (EC) No 805/2004 of the European Parliament and of the Council of 21 April 2004 creating a European Enforcement Order for uncontested claims (2)

| 3. | Regulation (EC) No 1896/2006 of the European Parliament and of the Council of 12 December 2006 creating a European order for payment procedure (3) |
| --- | --- |

3.

Regulation (EC) No 1896/2006 of the European Parliament and of the Council of 12 December 2006 creating a European order for payment procedure (3)

| 4. | Regulation (EC) No 861/2007 of the European Parliament and of the Council of 11 July 2007 establishing a European Small Claims Procedure (4) |
| --- | --- |

4.

Regulation (EC) No 861/2007 of the European Parliament and of the Council of 11 July 2007 establishing a European Small Claims Procedure (4)

| 5. | Regulation (EC) No 1393/2007 of the European Parliament and of the Council of 13 November 2007 on the service in the Member States of judicial and extrajudicial documents in civil or commercial matters (service of documents), and repealing Council Regulation (EC) No 1348/2000 (5). |
| --- | --- |

5.

Regulation (EC) No 1393/2007 of the European Parliament and of the Council of 13 November 2007 on the service in the Member States of judicial and extrajudicial documents in civil or commercial matters (service of documents), and repealing Council Regulation (EC) No 1348/2000 (5).

---

(1)  

  OJ L 174, 27.6.2001, p. 1.

(2)  

  OJ L 143, 30.4.2004, p. 15.

(3)  

  OJ L 399, 30.12.2006, p. 1.

(4)  

  OJ L 199, 31.7.2007, p. 1.

(5)  

  OJ L 324, 10.12.2007, p. 79.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/194 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/194

---

P7_TA(2014)0114

Adapting legal acts providing for the use of the regulatory procedure with scrutiny (Article 290 TFEU) ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny (COM(2013)0451 — C7-0198/2013 — 2013/0218(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/31)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0451), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0451),

| — | having regard to Article 294(2) and Articles 33, 43(2), 53(1), 62, 64(2), 91, 100(2), 114, 153(2)(b), 168(4)(b), 172, 192(1), 207 and 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0198/2013), |
| --- | --- |

—

having regard to Article 294(2) and Articles 33, 43(2), 53(1), 62, 64(2), 91, 100(2), 114, 153(2)(b), 168(4)(b), 172, 192(1), 207 and 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0198/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 16 October 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 16 October 2013 (1),

| — | having regard to the letter from the President of the Committee of the Regions to the President of Parliament of 11 October 2013, |
| --- | --- |

—

having regard to the letter from the President of the Committee of the Regions to the President of Parliament of 11 October 2013,

| — | having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents, |
| --- | --- |

—

having regard to the Common Understanding on Delegated Acts, as approved on 3 March 2011 by the Conference of Presidents,

| — | having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto, |
| --- | --- |

—

having regard to the Framework Agreement on relations between the European Parliament and the European Commission (2), in particular point 15 thereof and Annex 1 thereto,

| — | having regard to its resolution of 5 May 2010 on the power of legislative delegation (3), |
| --- | --- |

—

having regard to its resolution of 5 May 2010 on the power of legislative delegation (3),

| — | having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (4), |
| --- | --- |

—

having regard to its resolution of 25 February 2014 on follow-up on the delegation of legislative powers and control by Member States of the Commission's exercise of implementing powers (4),

| — | having regard to Rules 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade, the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy, the Committee on the Internal Market and Consumer Protection, and the Committee on Transport and Tourism (A7-0010/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade, the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy, the Committee on the Internal Market and Consumer Protection, and the Committee on Transport and Tourism (A7-0010/2014),

| A. | Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected; |
| --- | --- |

A.

Whereas the Commission committed itself to assessing by the end of 2012 how many legislative acts containing references to the regulatory procedure with scrutiny remained in force in order to prepare the appropriate legislative initiatives and thus complete the adaptation to the new legal framework; whereas the announced objective was that, by the end of the seventh term of Parliament, all provisions referring to the regulatory procedure with scrutiny would have been removed from all legislative instruments; whereas the Commission has put forward the proposals fulfilling this commitment, albeit much later than expected;

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  Not yet published in the Official Journal.

(2)  OJ L 304, 20.11.2010, p. 47.

(3)  OJ C 81 E, 15.3.2011, p. 6.

(4)  Texts adopted, P7_TA(2014)0127.

---

P7_TC1-COD(2013)0218

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council adapting to Article 290 of the Treaty on the Functioning of the European Union a number of legal acts providing for the use of the regulatory procedure with scrutiny

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 33, 43(2), 53(1), 62, 64(2), 91, 100(2), 114, 153(2)(b), 168(4)(b), 172, 192(1), 207 and 338(1), thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The Treaty of Lisbon introduced the possibility for the legislator to delegate power to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act. |
| --- | --- |

(1)

The Treaty of Lisbon introduced the possibility for the legislator to delegate power to the Commission to adopt non-legislative acts of general application to supplement or amend certain non-essential elements of a legislative act.

| (2) | The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3). |
| --- | --- |

(2)

The measures which can be covered by delegations of powers, as referred to in Article 290(1) of the Treaty on the Functioning of the European Union (TFEU), correspond in principle to those covered by the regulatory procedure with scrutiny established by Article 5a of Council Decision 1999/468/EC (3).

| (3) | It is necessary to adapt to Article 290 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny. |
| --- | --- |

(3)

It is necessary to adapt to Article 290 of the TFEU a number of legal acts already in force which provide for the use of the regulatory procedure with scrutiny.

| (4) | This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation. |
| --- | --- |

(4)

This Regulation should not affect pending procedures in which the committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC before the entry into force of this Regulation.

| (5) | Since the adaptations to be made by this Regulation concern only procedures, they do not, in the case of directives, need to be transposed by the Member States. |
| --- | --- |

(5)

Since the adaptations to be made by this Regulation concern only procedures, they do not, in the case of directives, need to be transposed by the Member States.

| (6) | When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council, |
| --- | --- |

(6)

When the Commission prepares delegated acts on the basis of the legal acts adapted by this Regulation, it is of particular importance that it carry out appropriate consultations, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council,

HAVE ADOPTED THIS REGULATION:

Article 1

1.   Where the legal acts listed in the Annex to this Regulation provide for the use of the regulatory procedure with scrutiny referred to in Article 5a(1) to (5) of Decision 1999/468/EC, the Commission shall be empowered to adopt delegated acts in accordance with Article 2 of this Regulation.

2.   Where the legal acts listed in the Annex provide for the use of the urgency procedure referred to in Article 5a(6) of Decision 1999/468/EC, the Commission shall be empowered to adopt delegated acts in accordance with the urgency procedure provided in Article 3 of this Regulation.

Article 2

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts shall be conferred on the Commission for an indeterminate

  a
  period of time

  five years from the date of entry into force of this Regulation. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period
  . [Am. 1]

3.   The delegation of power may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   An adopted delegated act shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

By way of derogation from the first subparagraph, the period for objections shall be three months, which shall be extended by three months at the initiative of the European Parliament or of the Council, with regard to delegated acts adopted pursuant to the regulations listed in points 81

   (4)

  , 82

   (5)

  , 85

   (6)

  , 86

   (7)

  , 90 to 93

   (8)

  of Section G, and point 95

   (9)

  of Section H, of the Annex. [Am. 2]

6.   Where the legal acts listed in the Annex to this Regulation provide that the time-limit laid down in point (c) of Article 5a(3) of Decision 1999/468/EC is curtailed pursuant to point (b) of Article 5a(5) of that Decision, the periods laid down in paragraph 5 of this Article shall be set at one month.

Article 3

1.   Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.

2.   Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 2(5). In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or by the Council.

Article 4

This Regulation shall not affect pending procedures in which a committee has already delivered its opinion in accordance with Article 5a of Decision 1999/468/EC.

Article 5

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

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  Opinion of 16 October 2013 (not yet published in the Official Journal).

1

(2)  Position of the European Parliament of 25 February 2014.

2

(3)  Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (OJ L 184, 17.7.1999, p. 23).

3

(4)  
  Regulation (EC) No 451/2008 of the European Parliament and of the Council of 23 April 2008 establishing a new statistical classification of products by activity (CPA) and repealing Council Regulation (EEC) No 3696/93 (OJ L 145, 4.6.2008, p. 65).

4

Regulation (EC) No 451/2008 of the European Parliament and of the Council of 23 April 2008 establishing a new statistical classification of products by activity (CPA) and repealing Council Regulation (EEC) No 3696/93 (OJ L 145, 4.6.2008, p. 65).

(5)  
  Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008 concerning structural business statistics (OJ L 97, 9.4.2008, p. 13).

5

Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008 concerning structural business statistics (OJ L 97, 9.4.2008, p. 13).

(6)  
  Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).

6

Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains (OJ L 393, 30.12.2006, p. 1).

(7)  
  Regulation (EC) No 1161/2005 of the European Parliament and of the Council of 6 July 2005 on the compilation of quarterly non-financial accounts by institutional sector (OJ L 191, 22.7.2005, p. 22).

7

Regulation (EC) No 1161/2005 of the European Parliament and of the Council of 6 July 2005 on the compilation of quarterly non-financial accounts by institutional sector (OJ L 191, 22.7.2005, p. 22).

(8)  
  Council Regulation (EC) No 1165/98 of 19 May 1998 concerning short-term statistics (OJ L 162, 5.6.1998, p. 1); Council Regulation (EC) No 2494/95 of 23 October 1995 concerning harmonized indices of consumer prices (OJ L 257, 27.10.1995, p. 1); Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community (OJ L 76, 30.3.1993, p. 1); Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production (OJ L 374, 31.12.1991, p. 1).

8

Council Regulation (EC) No 1165/98 of 19 May 1998 concerning short-term statistics (OJ L 162, 5.6.1998, p. 1); Council Regulation (EC) No 2494/95 of 23 October 1995 concerning harmonized indices of consumer prices (OJ L 257, 27.10.1995, p. 1); Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community (OJ L 76, 30.3.1993, p. 1); Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production (OJ L 374, 31.12.1991, p. 1).

(9)  
  Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards (OJ L 243, 11.9.2002, p. 1).

9

Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards (OJ L 243, 11.9.2002, p. 1).

ANNEX

Legal acts making reference to the regulatory procedure with scrutiny referred to in Article 5a of Decision 1999/468/EC which are adapted to the regime of delegated acts (1)

A.   Communications Networks, Content and Technology

| 1. | Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) |
| --- | --- |

1.

Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)

| 2. | Directive 2002/19/EC of the European Parliament and of the Council of 7 March 2002 on access to, and interconnection of, electronic communications networks and associated facilities (Access Directive) |
| --- | --- |

2.

Directive 2002/19/EC of the European Parliament and of the Council of 7 March 2002 on access to, and interconnection of, electronic communications networks and associated facilities (Access Directive)

B.   Employment, Social Affairs and Inclusion

| 3. | Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work ** |
| --- | --- |

3.

Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work **

| 4. | Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

4.

Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 5. | Directive 2006/25/EC of the European Parliament and of the Council of 5 April 2006 on the minimum health and safety requirements regarding the exposure of workers to risks arising from physical agents (artificial optical radiation) (19th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

5.

Directive 2006/25/EC of the European Parliament and of the Council of 5 April 2006 on the minimum health and safety requirements regarding the exposure of workers to risks arising from physical agents (artificial optical radiation) (19th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 6. | Directive 2004/37/EC of the European Parliament and of the Council of 29 April 2004 on the protection of workers from the risks related to exposure to carcinogens or mutagens at work (sixth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

6.

Directive 2004/37/EC of the European Parliament and of the Council of 29 April 2004 on the protection of workers from the risks related to exposure to carcinogens or mutagens at work (sixth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 7. | Directive 2003/10/EC of the European Parliament and of the Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (noise) (Seventeenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

7.

Directive 2003/10/EC of the European Parliament and of the Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (noise) (Seventeenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 8. | Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC ** |
| --- | --- |

8.

Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC **

| 9. | Directive 2000/54/EC of the European Parliament and of the Council of 18 September 2000 on the protection of workers from risks related to exposure to biological agents at work (seventh individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

9.

Directive 2000/54/EC of the European Parliament and of the Council of 18 September 2000 on the protection of workers from risks related to exposure to biological agents at work (seventh individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 10. | Directive 1999/92/EC of the European Parliament and of the Council of 16 December 1999 on minimum requirements for improving the safety and health protection of workers potentially at risk from explosive atmospheres (15th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

10.

Directive 1999/92/EC of the European Parliament and of the Council of 16 December 1999 on minimum requirements for improving the safety and health protection of workers potentially at risk from explosive atmospheres (15th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 11. | Council Directive 98/24/EC of 7 April 1998 on the protection of the health and safety of workers from the risks related to chemical agents at work (fourteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

11.

Council Directive 98/24/EC of 7 April 1998 on the protection of the health and safety of workers from the risks related to chemical agents at work (fourteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 12. | Council Directive 93/103/EC of 23 November 1993 concerning the minimum safety and health requirements for work on board fishing vessels (thirteenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)** |
| --- | --- |

12.

Council Directive 93/103/EC of 23 November 1993 concerning the minimum safety and health requirements for work on board fishing vessels (thirteenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)**

| 13. | Council Directive 92/104/EEC of 3 December 1992 on the minimum requirements for improving the safety and health protection of workers in surface and underground mineral-extracting industries (twelfth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)** |
| --- | --- |

13.

Council Directive 92/104/EEC of 3 December 1992 on the minimum requirements for improving the safety and health protection of workers in surface and underground mineral-extracting industries (twelfth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)**

| 14. | Council Directive 92/91/EEC of 3 November 1992 concerning the minimum requirements for improving the safety and health protection of workers in the mineral- extracting industries through drilling (eleventh individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)** |
| --- | --- |

14.

Council Directive 92/91/EEC of 3 November 1992 concerning the minimum requirements for improving the safety and health protection of workers in the mineral- extracting industries through drilling (eleventh individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)**

| 15. | Council Directive 92/58/EEC of 24 June 1992 on the minimum requirements for the provision of safety and/or health signs at work (ninth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

15.

Council Directive 92/58/EEC of 24 June 1992 on the minimum requirements for the provision of safety and/or health signs at work (ninth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 16. | Council Directive 92/57/EEC of 24 June 1992 on the implementation of minimum safety and health requirements at temporary or mobile construction sites (eighth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)** |
| --- | --- |

16.

Council Directive 92/57/EEC of 24 June 1992 on the implementation of minimum safety and health requirements at temporary or mobile construction sites (eighth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC)**

| 17. | Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels ** |
| --- | --- |

17.

Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels **

| 18. | Council Directive 90/270/EEC of 29 May 1990 on the minimum safety and health requirements for work with display screen equipment (fifth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

18.

Council Directive 90/270/EEC of 29 May 1990 on the minimum safety and health requirements for work with display screen equipment (fifth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 19. | Council Directive 90/269/EEC of 29 May 1990 on the minimum health and safety requirements for the manual handling of loads where there is a risk particularly of back injury to workers (fourth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

19.

Council Directive 90/269/EEC of 29 May 1990 on the minimum health and safety requirements for the manual handling of loads where there is a risk particularly of back injury to workers (fourth individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 20. | Council Directive 89/656/EEC of 30 November 1989 on the minimum health and safety requirements for the use by workers of personal protective equipment at the workplace (third individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

20.

Council Directive 89/656/EEC of 30 November 1989 on the minimum health and safety requirements for the use by workers of personal protective equipment at the workplace (third individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 21. | Council Directive 89/654/EEC of 30 November 1989 concerning the minimum safety and health requirements for the workplace (first individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)** |
| --- | --- |

21.

Council Directive 89/654/EEC of 30 November 1989 concerning the minimum safety and health requirements for the workplace (first individual directive within the meaning of Article 16(1) of Directive 89/391/EEC)**

| 22. | Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work ** |
| --- | --- |

22.

Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work **

C.   Climate action

| 23. | Regulation (EC) No 1005/2009 of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer |
| --- | --- |

23.

Regulation (EC) No 1005/2009 of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer

| 24. | Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide and amending Council Directive 85/337/EEC, European Parliament and Council Directives 2000/60/EC, 2001/80/EC, 2004/35/EC, 2006/12/EC, 2008/1/EC and Regulation (EC) No 1013/2006 |
| --- | --- |

24.

Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide and amending Council Directive 85/337/EEC, European Parliament and Council Directives 2000/60/EC, 2001/80/EC, 2004/35/EC, 2006/12/EC, 2008/1/EC and Regulation (EC) No 1013/2006

D.   Energy

| 25. | Regulation (EC) No 1222/2009 of the European Parliament and of the Council of 25 November 2009 on the labelling of tyres with respect to fuel efficiency and other essential parameters. |
| --- | --- |

25.

Regulation (EC) No 1222/2009 of the European Parliament and of the Council of 25 November 2009 on the labelling of tyres with respect to fuel efficiency and other essential parameters.

| 26. | Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 |
| --- | --- |

26.

Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005

| 27. | Regulation (EC) No 714/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the network for cross-border exchanges in electricity and repealing Regulation (EC) No 1228/2003 |
| --- | --- |

27.

Regulation (EC) No 714/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the network for cross-border exchanges in electricity and repealing Regulation (EC) No 1228/2003

| 28. | Regulation (EC) No 713/2009 of the European Parliament and of the Council of 13 July 2009 establishing an Agency for the Cooperation of Energy Regulators |
| --- | --- |

28.

Regulation (EC) No 713/2009 of the European Parliament and of the Council of 13 July 2009 establishing an Agency for the Cooperation of Energy Regulators

| 29. | Directive 2009/72/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in electricity and repealing Directive 2003/54/EC |
| --- | --- |

29.

Directive 2009/72/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in electricity and repealing Directive 2003/54/EC

| 30. | Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC |
| --- | --- |

30.

Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC

E.   Enterprise and Industry

| 31. | Regulation (EC) No 661/2009 of the European Parliament and of the Council of 13 July 2009 concerning type-approval requirements for the general safety of motor vehicles, their trailers and systems, components and separate technical units intended therefor |
| --- | --- |

31.

Regulation (EC) No 661/2009 of the European Parliament and of the Council of 13 July 2009 concerning type-approval requirements for the general safety of motor vehicles, their trailers and systems, components and separate technical units intended therefor

| 32. | Regulation (EC) No 595/2009 of the European Parliament and of the Council of 18 June 2009 on type-approval of motor vehicles and engines with respect to emissions from heavy duty vehicles (Euro VI) and on access to vehicle repair and maintenance information and amending Regulation (EC) No 715/2007 and Directive 2007/46/EC and repealing Directives 80/1269/EEC, 2005/55/EC and 2005/78/EC |
| --- | --- |

32.

Regulation (EC) No 595/2009 of the European Parliament and of the Council of 18 June 2009 on type-approval of motor vehicles and engines with respect to emissions from heavy duty vehicles (Euro VI) and on access to vehicle repair and maintenance information and amending Regulation (EC) No 715/2007 and Directive 2007/46/EC and repealing Directives 80/1269/EEC, 2005/55/EC and 2005/78/EC

| 33. | Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for the setting of eco-design requirements for energy-related products |
| --- | --- |

33.

Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for the setting of eco-design requirements for energy-related products

| 34. | Regulation (EC) No 79/2009 of the European Parliament and of the Council of 14 January 2009 on type-approval of hydrogen-powered motor vehicles, and amending Directive 2007/46/EC |
| --- | --- |

34.

Regulation (EC) No 79/2009 of the European Parliament and of the Council of 14 January 2009 on type-approval of hydrogen-powered motor vehicles, and amending Directive 2007/46/EC

| 35. | Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys |
| --- | --- |

35.

Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys

| 36. | Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community |
| --- | --- |

36.

Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community

| 37. | Directive 2009/34/EC of the European Parliament and of the Council of 23 April 2009 relating to common provisions for both measuring instruments and methods of metrological control (recast) |
| --- | --- |

37.

Directive 2009/34/EC of the European Parliament and of the Council of 23 April 2009 relating to common provisions for both measuring instruments and methods of metrological control (recast)

| 38. | Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive) |
| --- | --- |

38.

Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive)

| 39. | Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC. |
| --- | --- |

39.

Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC.

| 40. | Directive 2004/10/EC of the European Parliament and of the Council of 11 February 2004 on the harmonisation of laws, regulations and administrative provisions relating to the application of the principles of good laboratory practice and the verification of their applications for tests on chemical substances |
| --- | --- |

40.

Directive 2004/10/EC of the European Parliament and of the Council of 11 February 2004 on the harmonisation of laws, regulations and administrative provisions relating to the application of the principles of good laboratory practice and the verification of their applications for tests on chemical substances

| 41. | Directive 2004/9/EC of the European Parliament and of the Council of 11 February 2004 on the inspection and verification of good laboratory practice (GLP) |
| --- | --- |

41.

Directive 2004/9/EC of the European Parliament and of the Council of 11 February 2004 on the inspection and verification of good laboratory practice (GLP)

| 42. | Regulation (EC) No 2003/2003 of the European Parliament and of the Council of 13 October 2003 relating to fertilisers |
| --- | --- |

42.

Regulation (EC) No 2003/2003 of the European Parliament and of the Council of 13 October 2003 relating to fertilisers

| 43. | Directive 2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors |
| --- | --- |

43.

Directive 2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors

| 44. | Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery |
| --- | --- |

44.

Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery

| 45. | Council Directive 75/324/EEC of 20 May 1975 on the approximation of the laws of the Member States relating to aerosol dispensers |
| --- | --- |

45.

Council Directive 75/324/EEC of 20 May 1975 on the approximation of the laws of the Member States relating to aerosol dispensers

F.   Environment

| 46. | Regulation (EC) No 1007/2009 of the European Parliament and of the Council of 16 September 2009 on trade in seal products |
| --- | --- |

46.

Regulation (EC) No 1007/2009 of the European Parliament and of the Council of 16 September 2009 on trade in seal products

| 47. | Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds |
| --- | --- |

47.

Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds

| 48. | Directive 2009/126/EC of the European Parliament and of the Council of 21 October 2009 on Stage II petrol vapour recovery during refuelling of motor vehicles at service stations |
| --- | --- |

48.

Directive 2009/126/EC of the European Parliament and of the Council of 21 October 2009 on Stage II petrol vapour recovery during refuelling of motor vehicles at service stations

| 49. | Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006** |
| --- | --- |

49.

Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006**

| 50. | Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives (Waste Framework Directive) |
| --- | --- |

50.

Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives (Waste Framework Directive)

| 51. | Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008 establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive) |
| --- | --- |

51.

Directive 2008/56/EC of the European Parliament and of the Council of 17 June 2008 establishing a framework for community action in the field of marine environmental policy (Marine Strategy Framework Directive)

| 52. | Directive 2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe |
| --- | --- |

52.

Directive 2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe

| 53. | Directive 2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks |
| --- | --- |

53.

Directive 2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks

| 54. | Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007 establishing an Infrastructure for Spatial Information in the European Community (INSPIRE) |
| --- | --- |

54.

Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007 establishing an Infrastructure for Spatial Information in the European Community (INSPIRE)

| 55. | Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on shipments of waste
  [Am. 4] |
| --- | --- |

55.

Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on shipments of waste
  [Am. 4]

| 56. | Regulation (EC) No 166/2006 of the European Parliament and of the Council of 18 January 2006 concerning the establishment of a European Pollutant Release and Transfer Register and amending Council Directives 91/689/EEC and 96/61/EC |
| --- | --- |

56.

Regulation (EC) No 166/2006 of the European Parliament and of the Council of 18 January 2006 concerning the establishment of a European Pollutant Release and Transfer Register and amending Council Directives 91/689/EEC and 96/61/EC

| 57. | Directive 2006/118/EC of the European Parliament and of the Council of 12 December 2006 on the protection of groundwater against pollution and deterioration |
| --- | --- |

57.

Directive 2006/118/EC of the European Parliament and of the Council of 12 December 2006 on the protection of groundwater against pollution and deterioration

| 58. | Directive 2006/21/EC of the European Parliament and of the Council of 15 March 2006 on the management of waste from extractive industries and amending Directive 2004/35/EC |
| --- | --- |

58.

Directive 2006/21/EC of the European Parliament and of the Council of 15 March 2006 on the management of waste from extractive industries and amending Directive 2004/35/EC

| 59. | Directive 2006/7/EC of the European Parliament and of the Council of 15 February 2006 concerning the management of bathing water quality and repealing Directive 76/160/EEC |
| --- | --- |

59.

Directive 2006/7/EC of the European Parliament and of the Council of 15 February 2006 concerning the management of bathing water quality and repealing Directive 76/160/EEC

| 60. | Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on persistent organic pollutants and amending Directive 79/117/EEC |
| --- | --- |

60.

Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on persistent organic pollutants and amending Directive 79/117/EEC

| 61. | Directive 2004/107/EC of the European Parliament and of the Council of 15 December 2004 relating to arsenic, cadmium, mercury, nickel and polycyclic aromatic hydrocarbons in ambient air |
| --- | --- |

61.

Directive 2004/107/EC of the European Parliament and of the Council of 15 December 2004 relating to arsenic, cadmium, mercury, nickel and polycyclic aromatic hydrocarbons in ambient air

| 62. | Directive 2004/42/CE of the European Parliament and of the Council of 21 April 2004 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain paints and varnishes and vehicle refinishing products and amending Directive 1999/13/EC |
| --- | --- |

62.

Directive 2004/42/CE of the European Parliament and of the Council of 21 April 2004 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain paints and varnishes and vehicle refinishing products and amending Directive 1999/13/EC

| 63. | Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise |
| --- | --- |

63.

Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise

| 64. | Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants |
| --- | --- |

64.

Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants

| 65. | Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy |
| --- | --- |

65.

Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy

| 66. | Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end-of life vehicles |
| --- | --- |

66.

Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end-of life vehicles

| 67. | Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste |
| --- | --- |

67.

Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste

| 68. | Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption |
| --- | --- |

68.

Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption

| 69. | Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) |
| --- | --- |

69.

Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT)

| 70. | European Parliament and Council Directive 94/63/EC of 20 December 1994 on the control of volatile organic compound (VOC) emissions resulting from the storage of petrol and its distribution from terminals to service stations |
| --- | --- |

70.

European Parliament and Council Directive 94/63/EC of 20 December 1994 on the control of volatile organic compound (VOC) emissions resulting from the storage of petrol and its distribution from terminals to service stations

| 71. | European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste |
| --- | --- |

71.

European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste

| 72. | Council Directive 91/676/EEC of 12 December 1991 concerning the protection of waters against pollution caused by nitrates from agricultural sources |
| --- | --- |

72.

Council Directive 91/676/EEC of 12 December 1991 concerning the protection of waters against pollution caused by nitrates from agricultural sources

| 73. | Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment |
| --- | --- |

73.

Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment

| 74. | Council Directive 86/278/EEC of 12 June 1986 on the protection of the environment, and in particular of the soil, when sewage sludge is used in agriculture |
| --- | --- |

74.

Council Directive 86/278/EEC of 12 June 1986 on the protection of the environment, and in particular of the soil, when sewage sludge is used in agriculture

G.   Statistics

| 75. | Regulation (EC) No 1185/2009 of the European Parliament and of the Council of 25 November 2009 concerning statistics on pesticides |
| --- | --- |

75.

Regulation (EC) No 1185/2009 of the European Parliament and of the Council of 25 November 2009 concerning statistics on pesticides

| 76. | Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work |
| --- | --- |

76.

Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work

| 77. | Regulation (EC) No 1166/2008 of the European Parliament and of the Council of 19 November 2008 on farm structure surveys and the survey on agricultural production methods and repealing Council Regulation (EEC) No 571/88 |
| --- | --- |

77.

Regulation (EC) No 1166/2008 of the European Parliament and of the Council of 19 November 2008 on farm structure surveys and the survey on agricultural production methods and repealing Council Regulation (EEC) No 571/88

| 78. | Regulation (EC) No 1099/2008 of the European Parliament and of the Council of 22 October 2008 on energy statistics) |
| --- | --- |

78.

Regulation (EC) No 1099/2008 of the European Parliament and of the Council of 22 October 2008 on energy statistics)

| 79. | Regulation (EC) No 763/2008 of the European Parliament and of the Council of 9 July 2008 on population and housing censuses |
| --- | --- |

79.

Regulation (EC) No 763/2008 of the European Parliament and of the Council of 9 July 2008 on population and housing censuses

| 80. | Regulation (EC) No 452/2008 of the European Parliament and of the Council of 23 April 2008 concerning the production and development of statistics on education and lifelong learning |
| --- | --- |

80.

Regulation (EC) No 452/2008 of the European Parliament and of the Council of 23 April 2008 concerning the production and development of statistics on education and lifelong learning

| 81. | Regulation (EC) No 451/2008 of the European Parliament and of the Council of 23 April 2008 establishing a new statistical classification of products by activity (CPA) and repealing Council Regulation (EEC) No 3696/93
  **** [Am. 5] |
| --- | --- |

81.

Regulation (EC) No 451/2008 of the European Parliament and of the Council of 23 April 2008 establishing a new statistical classification of products by activity (CPA) and repealing Council Regulation (EEC) No 3696/93
  **** [Am. 5]

| 82. | Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008 concerning structural business statistics (recast)
  **** [Am. 6] |
| --- | --- |

82.

Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008 concerning structural business statistics (recast)
  **** [Am. 6]

| 83. | Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers. |
| --- | --- |

83.

Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers.

| 84. | Regulation (EC) No 458/2007 of the European Parliament and of the Council of 25 April 2007 on the European system of integrated social protection statistics (ESSPROS) |
| --- | --- |

84.

Regulation (EC) No 458/2007 of the European Parliament and of the Council of 25 April 2007 on the European system of integrated social protection statistics (ESSPROS)

| 85. | Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains
  **** [Am. 7] |
| --- | --- |

85.

Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 establishing the statistical classification of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on specific statistical domains
  **** [Am. 7]

| 86. | Regulation (EC) No 1161/2005 of the European Parliament and of the Council of 6 July 2005 on the compilation of quarterly non-financial accounts by institutional sector.
  **** [Am. 8] |
| --- | --- |

86.

Regulation (EC) No 1161/2005 of the European Parliament and of the Council of 6 July 2005 on the compilation of quarterly non-financial accounts by institutional sector.
  **** [Am. 8]

| 87. | Regulation (EC) No 808/2004 of the European Parliament and of the Council of 21 April 2004 concerning Community statistics on the information society |
| --- | --- |

87.

Regulation (EC) No 808/2004 of the European Parliament and of the Council of 21 April 2004 concerning Community statistics on the information society

| 88. | Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May 2003 on the establishment of a common classification of territorial units for statistics (NUTS). |
| --- | --- |

88.

Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May 2003 on the establishment of a common classification of territorial units for statistics (NUTS).

| 89. | Council Regulation (EC) No 530/1999 of 9 March 1999 concerning structural statistics on earnings and on labour costs. |
| --- | --- |

89.

Council Regulation (EC) No 530/1999 of 9 March 1999 concerning structural statistics on earnings and on labour costs.

| 90. | Council Regulation (EC) No 1165/98 of 19 May 1998 concerning short-term statistics.
  **** [Am. 9] |
| --- | --- |

90.

Council Regulation (EC) No 1165/98 of 19 May 1998 concerning short-term statistics.
  **** [Am. 9]

| 91. | Council Regulation (EC) No 2494/95 of 23 October 1995 concerning harmonized indices of consumer prices.
  **** [Am. 10] |
| --- | --- |

91.

Council Regulation (EC) No 2494/95 of 23 October 1995 concerning harmonized indices of consumer prices.
  **** [Am. 10]

| 92. | Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community.
  **** [Am. 11] |
| --- | --- |

92.

Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community.
  **** [Am. 11]

| 93. | Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production
  **** [Am. 12] |
| --- | --- |

93.

Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production
  **** [Am. 12]

H.   Internal Market and Services

| 94. | Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market |
| --- | --- |

94.

Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market

| 95. | Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards
  **** [Am. 13] |
| --- | --- |

95.

Regulation (EC) No 1606/2002 of the European Parliament and of the Council of 19 July 2002 on the application of international accounting standards
  **** [Am. 13]

| 96. | Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service |
| --- | --- |

96.

Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service

I.   Mobility and Transport

| 97. | Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 |
| --- | --- |

97.

Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006

| 98. | Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC |
| --- | --- |

98.

Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC

| 99. | Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents |
| --- | --- |

99.

Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents

| 100. | Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market |
| --- | --- |

100.

Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market

| 101. | Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of clean and energy-efficient road transport vehicles |
| --- | --- |

101.

Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of clean and energy-efficient road transport vehicles

| 102. | Directive 2009/18/EC of the European Parliament and of the Council of 23 April 2009 establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 2002/59/EC of the European Parliament and of the Council |
| --- | --- |

102.

Directive 2009/18/EC of the European Parliament and of the Council of 23 April 2009 establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 2002/59/EC of the European Parliament and of the Council

| 103. | Directive 2009/15/EC of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations |
| --- | --- |

103.

Directive 2009/15/EC of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations

| 104. | Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 ** |
| --- | --- |

104.

Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 **

| 105. | Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management |
| --- | --- |

105.

Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management

| 106. | Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods * |
| --- | --- |

106.

Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods *

| 107. | Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations |
| --- | --- |

107.

Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations

| 108. | Directive 2007/59/CE of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community** |
| --- | --- |

108.

Directive 2007/59/CE of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community**

| 109. | Directive 2006/126/EC of the European Parliament and of the Council of 20 December 2006 on driving licences (recast) |
| --- | --- |

109.

Directive 2006/126/EC of the European Parliament and of the Council of 20 December 2006 on driving licences (recast)

| 110. | Regulation (EC) No 336/2006 of the European Parliament and of the Council of 15 February 2006 on the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No 3051/95 |
| --- | --- |

110.

Regulation (EC) No 336/2006 of the European Parliament and of the Council of 15 February 2006 on the implementation of the International Safety Management Code within the Community and repealing Council Regulation (EC) No 3051/95

| 111. | Directive 2006/87/EC of the European Parliament and of the Council of 12 December 2006 laying down technical requirements for inland waterway vessels and repealing Council Directive 82/714/EEC *** |
| --- | --- |

111.

Directive 2006/87/EC of the European Parliament and of the Council of 12 December 2006 laying down technical requirements for inland waterway vessels and repealing Council Directive 82/714/EEC ***

| 112. | Regulation (EC) No 2111/2005 of the European Parliament and of the Council of 14 December 2005 on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC |
| --- | --- |

112.

Regulation (EC) No 2111/2005 of the European Parliament and of the Council of 14 December 2005 on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC

| 113. | Directive 2005/65/EC of the European Parliament and of the Council of 26 October 2005 on enhancing port security** |
| --- | --- |

113.

Directive 2005/65/EC of the European Parliament and of the Council of 26 October 2005 on enhancing port security**

| 114. | Directive 2005/44/EC of the European Parliament and of the Council of 7 September 2005 on harmonised river information services (RIS) on inland waterways in the Community |
| --- | --- |

114.

Directive 2005/44/EC of the European Parliament and of the Council of 7 September 2005 on harmonised river information services (RIS) on inland waterways in the Community

| 115. | Regulation (EC) No 868/2004 of the European Parliament and of the Council of 21 April 2004 concerning protection against subsidisation and unfair pricing practices causing injury to Community air carriers in the supply of air services from countries not members of the European Community |
| --- | --- |

115.

Regulation (EC) No 868/2004 of the European Parliament and of the Council of 21 April 2004 concerning protection against subsidisation and unfair pricing practices causing injury to Community air carriers in the supply of air services from countries not members of the European Community

| 116. | Regulation (EC) No 789/2004 of the European Parliament and of the Council of 21 April 2004 on the transfer of cargo and passenger ships between registers within the Community and repealing Council Regulation (EEC) No 613/91 |
| --- | --- |

116.

Regulation (EC) No 789/2004 of the European Parliament and of the Council of 21 April 2004 on the transfer of cargo and passenger ships between registers within the Community and repealing Council Regulation (EEC) No 613/91

| 117. | Regulation (EC) No 785/2004 of the European Parliament and of the Council of 21 April 2004 on insurance requirements for air carriers and aircraft operators |
| --- | --- |

117.

Regulation (EC) No 785/2004 of the European Parliament and of the Council of 21 April 2004 on insurance requirements for air carriers and aircraft operators

| 118. | Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety requirements for tunnels in the Trans-European Road Network |
| --- | --- |

118.

Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety requirements for tunnels in the Trans-European Road Network

| 119. | Directive 2004/52/EC of the European Parliament and of the Council of 29 April 2004 on the interoperability of electronic road toll systems in the Community |
| --- | --- |

119.

Directive 2004/52/EC of the European Parliament and of the Council of 29 April 2004 on the interoperability of electronic road toll systems in the Community

| 120. | Regulation (EC) No 782/2003 of the European Parliament and of the Council of 14 April 2003 on the prohibition of organotin compounds on ships |
| --- | --- |

120.

Regulation (EC) No 782/2003 of the European Parliament and of the Council of 14 April 2003 on the prohibition of organotin compounds on ships

| 121. | Directive 2003/59/EC of the European Parliament and of the Council of 15 July 2003 on the initial qualification and periodic training of drivers of certain road vehicles for the carriage of goods or passengers, amending Council Regulation (EEC) No 3820/85 and Council Directive 91/439/EEC and repealing Council Directive 76/914/EEC |
| --- | --- |

121.

Directive 2003/59/EC of the European Parliament and of the Council of 15 July 2003 on the initial qualification and periodic training of drivers of certain road vehicles for the carriage of goods or passengers, amending Council Regulation (EEC) No 3820/85 and Council Directive 91/439/EEC and repealing Council Directive 76/914/EEC

| 122. | Directive 2003/25/EC of the European Parliament and of the Council of 14 April 2003 on specific stability requirements for ro-ro passenger ships |
| --- | --- |

122.

Directive 2003/25/EC of the European Parliament and of the Council of 14 April 2003 on specific stability requirements for ro-ro passenger ships

| 123. | Regulation (EC) No 2099/2002 of the European Parliament and of the Council of 5 November 2002 establishing a Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) and amending the Regulations on maritime safety and the prevention of pollution from ships |
| --- | --- |

123.

Regulation (EC) No 2099/2002 of the European Parliament and of the Council of 5 November 2002 establishing a Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) and amending the Regulations on maritime safety and the prevention of pollution from ships

| 124. | Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic Monitoring and information system and repealing Council Directive 93/75/EEC |
| --- | --- |

124.

Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic Monitoring and information system and repealing Council Directive 93/75/EEC

| 125. | Directive 2002/30/EC of the European Parliament and of the Council of 26 March 2002 on the establishment of rules and procedures with regard to the introduction of noise-related operating restrictions at Community airports |
| --- | --- |

125.

Directive 2002/30/EC of the European Parliament and of the Council of 26 March 2002 on the establishment of rules and procedures with regard to the introduction of noise-related operating restrictions at Community airports

| 126. | Directive 2001/96/EC of the European Parliament and of the Council of 4 December 2001 establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers |
| --- | --- |

126.

Directive 2001/96/EC of the European Parliament and of the Council of 4 December 2001 establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers

| 127. | Council Directive 1999/35/EC of 29 April 1999 on a system of mandatory surveys for the safe operation of regular ro-ro ferry and high-speed passenger craft services |
| --- | --- |

127.

Council Directive 1999/35/EC of 29 April 1999 on a system of mandatory surveys for the safe operation of regular ro-ro ferry and high-speed passenger craft services

| 128. | Council Directive 98/41/EC of 18 June 1998 on the registration of persons sailing on board passenger ships operating to or from ports of the Member States of the Community |
| --- | --- |

128.

Council Directive 98/41/EC of 18 June 1998 on the registration of persons sailing on board passenger ships operating to or from ports of the Member States of the Community

| 129. | Council Directive 96/50/EC of 23 July 1996 on the harmonization of the conditions for obtaining national boatmasters' certificates for the carriage of goods and passengers by inland waterway in the Community |
| --- | --- |

129.

Council Directive 96/50/EC of 23 July 1996 on the harmonization of the conditions for obtaining national boatmasters' certificates for the carriage of goods and passengers by inland waterway in the Community

| 130. | Council Directive 95/50/EC of 6 October 1995 on uniform procedures for checks on the transport of dangerous goods by road |
| --- | --- |

130.

Council Directive 95/50/EC of 6 October 1995 on uniform procedures for checks on the transport of dangerous goods by road

| 131. | Council Regulation (EEC) No 3922/91 of 16 December 1991 on the harmonization of technical requirements and administrative procedures in the field of civil aviation |
| --- | --- |

131.

Council Regulation (EEC) No 3922/91 of 16 December 1991 on the harmonization of technical requirements and administrative procedures in the field of civil aviation

| 132. | Council Directive 91/672/EEC of 16 December 1991 on the reciprocal recognition of national Boatmasters' certificates for the carriage of goods and passengers by inland waterway |
| --- | --- |

132.

Council Directive 91/672/EEC of 16 December 1991 on the reciprocal recognition of national Boatmasters' certificates for the carriage of goods and passengers by inland waterway

J.   Health and Consumers

| 133. | Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for Community action to achieve the sustainable use of pesticides |
| --- | --- |

133.

Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for Community action to achieve the sustainable use of pesticides

| 134. | Directive 2009/54/EC of the European Parliament and of the Council of 18 June 2009 on the exploitation and marketing of natural mineral waters ** |
| --- | --- |

134.

Directive 2009/54/EC of the European Parliament and of the Council of 18 June 2009 on the exploitation and marketing of natural mineral waters **

| 135. | Directive 2009/41/EC of the European Parliament and of the Council of 6 May 2009 on the contained use of genetically modified micro-organisms (recast) |
| --- | --- |

135.

Directive 2009/41/EC of the European Parliament and of the Council of 6 May 2009 on the contained use of genetically modified micro-organisms (recast)

| 136. | Directive 2009/32/EC of the European Parliament and of the Council of 23 April 2009 on the approximation of the laws of the Member States on extraction solvents used in the production of foodstuffs and food ingredients |
| --- | --- |

136.

Directive 2009/32/EC of the European Parliament and of the Council of 23 April 2009 on the approximation of the laws of the Member States on extraction solvents used in the production of foodstuffs and food ingredients

| 137. | Directive 2008/48/EC of the European Parliament and of the Council of 23 April 2008 on credit agreements for consumers and repealing Council Directive 87/102/EEC |
| --- | --- |

137.

Directive 2008/48/EC of the European Parliament and of the Council of 23 April 2008 on credit agreements for consumers and repealing Council Directive 87/102/EEC

| 138. | Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004 |
| --- | --- |

138.

Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004

| 139. | Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004 |
| --- | --- |

139.

Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004

| 140. | Regulation (EC) No 183/2005 of the European Parliament and of the Council of 12 January 2005 laying down requirements for feed hygiene |
| --- | --- |

140.

Regulation (EC) No 183/2005 of the European Parliament and of the Council of 12 January 2005 laying down requirements for feed hygiene

| 141. | Regulation (EC) No 1935/2004 of the European Parliament and of the Council of 27 October 2004 on materials and articles intended to come into contact with food and repealing Directives 80/590/EEC and 89/109/EEC *** |
| --- | --- |

141.

Regulation (EC) No 1935/2004 of the European Parliament and of the Council of 27 October 2004 on materials and articles intended to come into contact with food and repealing Directives 80/590/EEC and 89/109/EEC ***

| 142. | Regulation (EC) No 854/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption |
| --- | --- |

142.

Regulation (EC) No 854/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption

| 143. | Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin |
| --- | --- |

143.

Regulation (EC) No 853/2004 of the European Parliament and of the Council of 29 April 2004 laying down specific hygiene rules for food of animal origin

| 144. | Regulation (EC) no 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs |
| --- | --- |

144.

Regulation (EC) no 852/2004 of the European Parliament and of the Council of 29 April 2004 on the hygiene of foodstuffs

| 145. | Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency |
| --- | --- |

145.

Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency

| 146. | Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents |
| --- | --- |

146.

Regulation (EC) No 2160/2003 of the European Parliament and of the Council of 17 November 2003 on the control of salmonella and other specified food-borne zoonotic agents

| 147. | Regulation (EC) No 2065/2003 of the European Parliament and of the Council of 10 November 2003 on smoke flavourings used or intended for use in or on foods |
| --- | --- |

147.

Regulation (EC) No 2065/2003 of the European Parliament and of the Council of 10 November 2003 on smoke flavourings used or intended for use in or on foods

| 148. | Regulation (EC) No 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition |
| --- | --- |

148.

Regulation (EC) No 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition

| 149. | Regulation (EC) No 1830/2003 of the European Parliament and of the Council of 22 September 2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organism and amending Directive 2001/18/EC |
| --- | --- |

149.

Regulation (EC) No 1830/2003 of the European Parliament and of the Council of 22 September 2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organism and amending Directive 2001/18/EC

| 150. | Directive 2003/99/EC of the European Parliament and of the Council of 17 November 2003 on the monitoring of zoonoses and zoonotic agents, amending Council Decision 90/424/EEC and repealing Council Directive 92/117/EEC ** |
| --- | --- |

150.

Directive 2003/99/EC of the European Parliament and of the Council of 17 November 2003 on the monitoring of zoonoses and zoonotic agents, amending Council Decision 90/424/EEC and repealing Council Directive 92/117/EEC **

| 151. | Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety |
| --- | --- |

151.

Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety

| 152. | Regulation (EC) No 999/2001 of the European Parliament and of the Council of 22 May 2001 laying down rules for the prevention, control and eradication of certain transmissible spongiform encephalopathies |
| --- | --- |

152.

Regulation (EC) No 999/2001 of the European Parliament and of the Council of 22 May 2001 laying down rules for the prevention, control and eradication of certain transmissible spongiform encephalopathies

| 153. | Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use |
| --- | --- |

153.

Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use

| 154. | Directive 2001/18/EC of the European Parliament and of the Council of 12 March 2001 on the deliberate release into the environment of genetically modified organisms and repealing Council Directive 90/220/EEC |
| --- | --- |

154.

Directive 2001/18/EC of the European Parliament and of the Council of 12 March 2001 on the deliberate release into the environment of genetically modified organisms and repealing Council Directive 90/220/EEC

| 155. | Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products |
| --- | --- |

155.

Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products

| 156. | Directive 1999/2/EC of the European Parliament and of the Council of 22 February 1999 on the approximation of the laws of the Member States concerning foods and food ingredients treated with ionising radiation *** |
| --- | --- |

156.

Directive 1999/2/EC of the European Parliament and of the Council of 22 February 1999 on the approximation of the laws of the Member States concerning foods and food ingredients treated with ionising radiation ***

| 157. | Regulation (EC) No 258/97 of the European Parliament and of the Council of 27 January 1997 concerning novel foods and novel food ingredients |
| --- | --- |

157.

Regulation (EC) No 258/97 of the European Parliament and of the Council of 27 January 1997 concerning novel foods and novel food ingredients

| 158. | Council Regulation (EEC) No 315/93 of 8 February 1993 laying down Community procedures for contaminants in food ** |
| --- | --- |

158.

Council Regulation (EEC) No 315/93 of 8 February 1993 laying down Community procedures for contaminants in food **

| 159. | Council Directive 89/108/EEC of 21 December 1988 on the approximation of the laws of the Member States relating to quick-frozen foodstuffs for human consumption |
| --- | --- |

159.

Council Directive 89/108/EEC of 21 December 1988 on the approximation of the laws of the Member States relating to quick-frozen foodstuffs for human consumption

K.   Taxation and Customs Union

| 160. | Decision No 70/2008/EC of the European Parliament and of the Council of 15 January 2008 on a paperless environment for customs and trade |
| --- | --- |

160.

Decision No 70/2008/EC of the European Parliament and of the Council of 15 January 2008 on a paperless environment for customs and trade

---

(1)  For information purposes, legal acts referring to the curtailed time limit pursuant to Article 2(6) are indicated in this Annex with *, legal acts referring to the urgency procedure pursuant to Article 3 are indicated in this Annex with **, legal acts referring to the urgency procedure pursuant to Article 3 and to the curtailed time limit pursuant to Article 2(6) are indicated in this Annex with ***
  and legal acts referred to in the second subparagraph of Article 2(5) are indicated in this Annex with ****

  . [Am. 3]

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/207 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/207

---

P7_TA(2014)0115

Appointment of a member of the Court of Auditors — Oskar HERICS (AT)

European Parliament decision of 25 February 2014 on the nomination of Oskar Herics as a Member of the Court of Auditors (C7-0009/2014 — 2014/0802(NLE))

(Consultation)

(2017/C 285/32)

The European Parliament,

| — | having regard to Article 286(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0009/2014), |
| --- | --- |

—

having regard to Article 286(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0009/2014),

| — | having regard to Rule 108 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 108 of its Rules of Procedure,

| — | having regard to the report of the Committee on Budgetary Control (A7-0128/2014), |
| --- | --- |

—

having regard to the report of the Committee on Budgetary Control (A7-0128/2014),

| A. | whereas Parliament’s Committee on Budgetary Control proceeded to evaluate the credentials of the nominee, in particular in view of the requirements laid down in Article 286(1) of the Treaty on the Functioning of the European Union; |
| --- | --- |

A.

whereas Parliament’s Committee on Budgetary Control proceeded to evaluate the credentials of the nominee, in particular in view of the requirements laid down in Article 286(1) of the Treaty on the Functioning of the European Union;

| B. | whereas at its meeting of 17 February 2014 the Committee on Budgetary Control heard the Council’s nominee for membership of the Court of Auditors; |
| --- | --- |

B.

whereas at its meeting of 17 February 2014 the Committee on Budgetary Control heard the Council’s nominee for membership of the Court of Auditors;

| 1. | Delivers a favourable opinion on the Council’s nomination of Oskar Herics as a Member of the Court of Auditors; |
| --- | --- |

1.

Delivers a favourable opinion on the Council’s nomination of Oskar Herics as a Member of the Court of Auditors;

| 2. | Instructs its President to forward this decision to the Council and, for information, the Court of Auditors, the other institutions of the European Union and the audit institutions of the Member States. |
| --- | --- |

2.

Instructs its President to forward this decision to the Council and, for information, the Court of Auditors, the other institutions of the European Union and the audit institutions of the Member States.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/208 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/208

---

P7_TA(2014)0117

2020 target to reduce CO2 emissions from new passenger cars ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars (COM(2012)0393 — C7-0184/2012 — 2012/0190(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/33)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2012)0393), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2012)0393),

| — | having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0184/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 192(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0184/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 12 December 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 12 December 2012 (1),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to the undertaking given by the Council representative by letter of 29 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 29 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0151/2013), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0151/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 44, 15.2.2013, p. 109.

---

P7_TC1-COD(2012)0190

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 443/2009 to define the modalities for reaching the 2020 target to reduce CO2 emissions from new passenger cars

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 333/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/209 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/209

---

P7_TA(2014)0118

Community trade mark ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark (COM(2013)0161 — C7-0087/2013 — 2013/0088(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/34)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0161), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0161),

| — | having regard to Article 294(2) and Article 118(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0087/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 118(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0087/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the Committee on Legal Affairs on the use of delegated acts of 14 October 2013, |
| --- | --- |

—

having regard to the opinion of the Committee on Legal Affairs on the use of delegated acts of 14 October 2013,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade and the Committee on the Internal Market and Consumer Protection (A7-0031/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade and the Committee on the Internal Market and Consumer Protection (A7-0031/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

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

| 3. | Calls on the Commission to take measures to codify the Regulation once the legislative procedure has come to an end; |
| --- | --- |

3.

Calls on the Commission to take measures to codify the Regulation once the legislative procedure has come to an end;

| 4. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

4.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2013)0088

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 207/2009 on the Community trade mark

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 118(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Acting in accordance with the ordinary legislative procedure (1),

Whereas:

| (1) | Council Regulation (EC) No 40/94 (2), in 2009 codified as Council Regulation (EC) No 207/2009 (3), created a system of trade mark protection specific for the European Union which provided for the protection of trade marks at the level of the European Union, in parallel to the protection of trade marks available at the level of the Member States according to the national trade mark systems harmonized by Council Directive 89/104/EEC (4), codified as Directive 2008/95/EC of the European Parliament and of the Council (5). |
| --- | --- |

(1)

Council Regulation (EC) No 40/94 (2), in 2009 codified as Council Regulation (EC) No 207/2009 (3), created a system of trade mark protection specific for the European Union which provided for the protection of trade marks at the level of the European Union, in parallel to the protection of trade marks available at the level of the Member States according to the national trade mark systems harmonized by Council Directive 89/104/EEC (4), codified as Directive 2008/95/EC of the European Parliament and of the Council (5).

| (2) | As a consequence of the entry into force of the Lisbon Treaty, the terminology of Regulation (EC) No 207/2009 should be updated. This implies

  involves
  the replacement of ‘Community trade mark’ by ‘European
  Union
  trade mark’. In line with the Common approach on decentralised Agencies, agreed in July 2012 by the European Parliament, the Council and the Commission, the name ‘Office for Harmonisation in the Internal Market (trade marks and designs)’should be replaced by ‘European Union Trade Marks and Designs

  Intellectual Property
  Agency’ (hereinafter ‘the Agency’). [Am. 1] |
| --- | --- |

(2)

As a consequence of the entry into force of the Lisbon Treaty, the terminology of Regulation (EC) No 207/2009 should be updated. This implies

  involves
  the replacement of ‘Community trade mark’ by ‘European
  Union
  trade mark’. In line with the Common approach on decentralised Agencies, agreed in July 2012 by the European Parliament, the Council and the Commission, the name ‘Office for Harmonisation in the Internal Market (trade marks and designs)’should be replaced by ‘European Union Trade Marks and Designs

  Intellectual Property
  Agency’ (hereinafter ‘the Agency’). [Am. 1]

| (3) | Further to the Commission’s Communication of 16 July 2008 on an Industrial Property Rights Strategy for Europe (6), the Commission carried out a comprehensive evaluation of the overall functioning of the trade mark system in Europe as a whole, covering Union and national levels and the interrelation between each other. |
| --- | --- |

(3)

Further to the Commission’s Communication of 16 July 2008 on an Industrial Property Rights Strategy for Europe (6), the Commission carried out a comprehensive evaluation of the overall functioning of the trade mark system in Europe as a whole, covering Union and national levels and the interrelation between each other.

| (4) | In its conclusions of 25 May 2010 on the future revision of the Trade Mark system in the European Union (7), the Council called on the Commission to present proposals for the revision of Regulation (EC) No 207/2009 and Directive 2008/95/EC. |
| --- | --- |

(4)

In its conclusions of 25 May 2010 on the future revision of the Trade Mark system in the European Union (7), the Council called on the Commission to present proposals for the revision of Regulation (EC) No 207/2009 and Directive 2008/95/EC.

| (5) | The experience acquired since the establishment of the Community trade mark system has shown that undertakings from within the Union and from third countries have accepted the system, which has become a successful and viable
  complement and
  alternative to the protection of trade marks at the level of the Member States. [Am. 2] |
| --- | --- |

(5)

The experience acquired since the establishment of the Community trade mark system has shown that undertakings from within the Union and from third countries have accepted the system, which has become a successful and viable
  complement and
  alternative to the protection of trade marks at the level of the Member States. [Am. 2]

| (6) | National trade marks continue nevertheless to be necessary for those undertakings which do not want protection of their trade marks at Union level or which are unable to obtain Union-wide protection while national protection does not face any obstacles. It should be left to the decision of each person seeking trade mark protection whether the protection is sought only as a national mark in one or more Member States, or only as a European
  Union
  trade mark, or both. |
| --- | --- |

(6)

National trade marks continue nevertheless to be necessary for those undertakings which do not want protection of their trade marks at Union level or which are unable to obtain Union-wide protection while national protection does not face any obstacles. It should be left to the decision of each person seeking trade mark protection whether the protection is sought only as a national mark in one or more Member States, or only as a European
  Union
  trade mark, or both.

| (7) | While the evaluation of the overall functioning of the Community trade mark system confirmed that many aspects of that system, including the fundamental principles on which it is based, have stood the test of time and continue meeting business needs and expectations, the Commission concluded in its Communication ‘A Single Market for Intellectual Property Rights’ of 24 May 2011 (8) that there is a necessity to modernise the trade mark system in the Union by making it more effective, efficient and consistent as a whole and adapting it to the Internet era. |
| --- | --- |

(7)

While the evaluation of the overall functioning of the Community trade mark system confirmed that many aspects of that system, including the fundamental principles on which it is based, have stood the test of time and continue meeting business needs and expectations, the Commission concluded in its Communication ‘A Single Market for Intellectual Property Rights’ of 24 May 2011 (8) that there is a necessity to modernise the trade mark system in the Union by making it more effective, efficient and consistent as a whole and adapting it to the Internet era.

| (8) | In parallel to the improvements and amendments of the Community trade mark system, national trade mark laws and practices should be further harmonised and brought in line with the Union trade mark system to the extent appropriate in order to create as far as possible equal conditions for the registration and protection of trade marks throughout the Union. |
| --- | --- |

(8)

In parallel to the improvements and amendments of the Community trade mark system, national trade mark laws and practices should be further harmonised and brought in line with the Union trade mark system to the extent appropriate in order to create as far as possible equal conditions for the registration and protection of trade marks throughout the Union.

| (9) | In order to allow for more flexibility while ensuring greater legal certainty with regard to the means of representation of trade marks, the requirement of graphic representability should be deleted from the definition of a European
  Union
  trade mark. A sign should be permitted to be represented in
  the Register of European Union trade marks in
  any appropriate form, and thus not necessarily by graphic means, as long as the representation

  sign is capable of being represented in a manner which is clear, precise, self-contained, easily accessible, durable and objective. A sign should therefore be permitted in any appropriate form, taking account of generally available technology which
  enables the competent authorities and the public to determine with precision and clarity the precise subject matter of protection. [Am. 3] |
| --- | --- |

(9)

In order to allow for more flexibility while ensuring greater legal certainty with regard to the means of representation of trade marks, the requirement of graphic representability should be deleted from the definition of a European
  Union
  trade mark. A sign should be permitted to be represented in
  the Register of European Union trade marks in
  any appropriate form, and thus not necessarily by graphic means, as long as the representation

  sign is capable of being represented in a manner which is clear, precise, self-contained, easily accessible, durable and objective. A sign should therefore be permitted in any appropriate form, taking account of generally available technology which
  enables the competent authorities and the public to determine with precision and clarity the precise subject matter of protection. [Am. 3]

| (10) | The current provisions of Regulation (EC) No 207/2009 fall short of offering the same degree of protection to designations of origin and geographical indications as other instruments of Union law. It is therefore necessary to clarify the absolute grounds for refusal concerning designations of origin and geographical indications and to ensure full consistency with relevant Union legislation providing for protection of those intellectual property titles. For reasons of coherence with other Union legislation, the scope of those absolute grounds should be extended to cover also protected traditional terms for wine and traditional specialities guaranteed. |
| --- | --- |

(10)

The current provisions of Regulation (EC) No 207/2009 fall short of offering the same degree of protection to designations of origin and geographical indications as other instruments of Union law. It is therefore necessary to clarify the absolute grounds for refusal concerning designations of origin and geographical indications and to ensure full consistency with relevant Union legislation providing for protection of those intellectual property titles. For reasons of coherence with other Union legislation, the scope of those absolute grounds should be extended to cover also protected traditional terms for wine and traditional specialities guaranteed.

| (11) | Trade marks applied for in a script or language not intelligible in the Union should not deserve protection if their registration would have to be refused on absolute grounds when translated or transcribed in any official language of the Member States. |
| --- | --- |

(11)

Trade marks applied for in a script or language not intelligible in the Union should not deserve protection if their registration would have to be refused on absolute grounds when translated or transcribed in any official language of the Member States.

| (12) | It is appropriate to make the dishonest appropriation of trade marks more difficult by extending the possibilities to oppose European
  Union
  trade mark applications filed in bad faith. |
| --- | --- |

(12)

It is appropriate to make the dishonest appropriation of trade marks more difficult by extending the possibilities to oppose European
  Union
  trade mark applications filed in bad faith.

| (13) | With the aim of maintaining strong protection of rights in designations of origin and geographical indications protected at Union level, it is necessary to clarify that those rights entitle to bring an opposition against the registration of a later European
  Union
  trade mark, regardless of whether or not they are also grounds for refusal to be taken into account ex officio by the examiner. |
| --- | --- |

(13)

With the aim of maintaining strong protection of rights in designations of origin and geographical indications protected at Union level, it is necessary to clarify that those rights entitle to bring an opposition against the registration of a later European
  Union
  trade mark, regardless of whether or not they are also grounds for refusal to be taken into account ex officio by the examiner.

| (14) | In order to ensure legal certainty and full consistency with the principle of priority, under which an earlier registered trade mark takes precedence over later registered trade marks, it is necessary to lay down that the enforcement of rights conferred by a European
  Union
  trade mark should be without prejudice to the rights of proprietors acquired prior to the filing or priority date of the European
  Union
  trade mark. This is in conformity with Article 16(1) of the Agreement on trade related aspects of intellectual property rights of 15 April 1994 (9). |
| --- | --- |

(14)

In order to ensure legal certainty and full consistency with the principle of priority, under which an earlier registered trade mark takes precedence over later registered trade marks, it is necessary to lay down that the enforcement of rights conferred by a European
  Union
  trade mark should be without prejudice to the rights of proprietors acquired prior to the filing or priority date of the European
  Union
  trade mark. This is in conformity with Article 16(1) of the Agreement on trade related aspects of intellectual property rights of 15 April 1994 (9).

| (15) | In order to ensure legal certainty and clarity, it is necessary to clarify that not only in the case of similarity but also in case of an identical sign being used for identical goods or services, protection should be granted to a European trade mark only if and to the extent that the main function of the European trade mark, which is to guarantee the commercial origin of the goods or services, is adversely affected.
  [Am. 4] |
| --- | --- |

(15)

In order to ensure legal certainty and clarity, it is necessary to clarify that not only in the case of similarity but also in case of an identical sign being used for identical goods or services, protection should be granted to a European trade mark only if and to the extent that the main function of the European trade mark, which is to guarantee the commercial origin of the goods or services, is adversely affected.
  [Am. 4]

| (16) | Confusion as to the commercial source from which the goods or services emanate may occur when a company uses the same or a similar sign as a trade name in a way that a link is established between the company bearing the name and the goods or services coming from that company. Infringement of a European
  Union
  trade mark should therefore also comprise the use of the sign as a trade name or similar designation as long as the use is made for the purposes of distinguishing goods or services as to their commercial origin. |
| --- | --- |

(16)

Confusion as to the commercial source from which the goods or services emanate may occur when a company uses the same or a similar sign as a trade name in a way that a link is established between the company bearing the name and the goods or services coming from that company. Infringement of a European
  Union
  trade mark should therefore also comprise the use of the sign as a trade name or similar designation as long as the use is made for the purposes of distinguishing goods or services as to their commercial origin.

| (17) | In order to ensure legal certainty and full consistency with specific Union legislation, it is appropriate to provide that the proprietor of a European
  Union
  trade mark should be entitled to prohibit a third party from using a sign in a comparative advertising where such comparative advertising is contrary to Directive 2006/114/EC of the European Parliament and of the Council (10). |
| --- | --- |

(17)

In order to ensure legal certainty and full consistency with specific Union legislation, it is appropriate to provide that the proprietor of a European
  Union
  trade mark should be entitled to prohibit a third party from using a sign in a comparative advertising where such comparative advertising is contrary to Directive 2006/114/EC of the European Parliament and of the Council (10).

| (18) | With the aim of strengthening trade mark protection and combatting counterfeiting more effectively,
  and without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a European
  Union
  trade mark should be entitled to prevent third parties from bringing goods into the customs territory of the Union without being released for free circulation there, where such goods come from third countries and bear without authorization

  authorisation
  a trade mark which is essentially identical to the European
  Union
  trade mark registered in respect of such goods.
  This should be without prejudice to the smooth transit of generic medicines, in compliance with the international obligations of the European Union, in particular as reflected in the ‘Declaration on the TRIPS agreement and public health’ adopted by the Doha WTO Ministerial Conference on 14 November 2001. [Am. 115] |
| --- | --- |

(18)

With the aim of strengthening trade mark protection and combatting counterfeiting more effectively,
  and without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a European
  Union
  trade mark should be entitled to prevent third parties from bringing goods into the customs territory of the Union without being released for free circulation there, where such goods come from third countries and bear without authorization

  authorisation
  a trade mark which is essentially identical to the European
  Union
  trade mark registered in respect of such goods.
  This should be without prejudice to the smooth transit of generic medicines, in compliance with the international obligations of the European Union, in particular as reflected in the ‘Declaration on the TRIPS agreement and public health’ adopted by the Doha WTO Ministerial Conference on 14 November 2001. [Am. 115]

| (18a) | The proprietor of a European Union trade mark should have the right to take relevant legal actions, including inter alia the right to request national customs authorities to take action in respect of goods which allegedly infringe the proprietor's rights, such as detention and destruction in accordance with Regulation (EU) No 608/2013 of the European Parliament and of the Council

   (11)
  . [Am. 6] |
| --- | --- |

(18a)

The proprietor of a European Union trade mark should have the right to take relevant legal actions, including inter alia the right to request national customs authorities to take action in respect of goods which allegedly infringe the proprietor's rights, such as detention and destruction in accordance with Regulation (EU) No 608/2013 of the European Parliament and of the Council

   (11)
  . [Am. 6]

| (18b) | Article 28 of Regulation (EU) No 608/2013 provides that a right holder is to be liable in damages towards the holder of the goods where, inter alia, the goods in question are subsequently found not to infringe an intellectual property right. [Am. 7] |
| --- | --- |

(18b)

Article 28 of Regulation (EU) No 608/2013 provides that a right holder is to be liable in damages towards the holder of the goods where, inter alia, the goods in question are subsequently found not to infringe an intellectual property right. [Am. 7]

| (18c) | Member States should take appropriate measures with a view to ensuring the smooth transit of generic medicines. A proprietor of a European Union trade mark should not have the right to prevent any third party from bringing goods, in the context of commercial activity, into the customs territory of a Member State based upon similarities, perceived or actual, between the international non-proprietary name (INN) for the active ingredient in the medicines and a registered trade mark. [Am. 8] |
| --- | --- |

(18c)

Member States should take appropriate measures with a view to ensuring the smooth transit of generic medicines. A proprietor of a European Union trade mark should not have the right to prevent any third party from bringing goods, in the context of commercial activity, into the customs territory of a Member State based upon similarities, perceived or actual, between the international non-proprietary name (INN) for the active ingredient in the medicines and a registered trade mark. [Am. 8]

| (19) | In order to more effectively prevent the entry of infringing

  counterfeit
  goods, particularly in the context of sales over the Internet

  internet delivered in small consignments as defined by Regulation (EU) No 608/2013
  , the proprietor
  of a validly registered European Union trade mark
  should be entitled to prohibit the importing of such goods into the Union, where it is only the consignor of the
  counterfeit
  goods who acts for commercial purposes

  in the course of trade
  .
  In cases where such measures are taken, Member States should ensure that the individuals or entities that had ordered the goods are informed of the reason for the measures as well as of their legal rights vis-a-vis the consignor
  . [Am. 9] |
| --- | --- |

(19)

In order to more effectively prevent the entry of infringing

  counterfeit
  goods, particularly in the context of sales over the Internet

  internet delivered in small consignments as defined by Regulation (EU) No 608/2013
  , the proprietor
  of a validly registered European Union trade mark
  should be entitled to prohibit the importing of such goods into the Union, where it is only the consignor of the
  counterfeit
  goods who acts for commercial purposes

  in the course of trade
  .
  In cases where such measures are taken, Member States should ensure that the individuals or entities that had ordered the goods are informed of the reason for the measures as well as of their legal rights vis-a-vis the consignor
  . [Am. 9]

| (20) | In order to enable proprietors of European
  Union
  trade marks to fight counterfeiting more effectively, they should be entitled to prohibit the affixing of an infringing mark to goods and preparatory acts prior to the affixing. |
| --- | --- |

(20)

In order to enable proprietors of European
  Union
  trade marks to fight counterfeiting more effectively, they should be entitled to prohibit the affixing of an infringing mark to goods and preparatory acts prior to the affixing.

| (21) | The exclusive rights conferred by a European
  Union
  trade mark should not entitle the proprietor to prohibit the use of signs or indications which are used fairly and in accordance with honest practices in industrial and commercial matters. In order to create equal conditions for trade names and trade marks in case of conflicts against the background that trade names are regularly granted unrestricted protection against later trade marks, such use should be considered to include the use of one’s own personal name only. It should further include the use of descriptive or non-distinctive signs or indications in general. Moreover, the proprietor should not be entitled to prevent the general fair and honest use of the European
  Union
  trade mark for identifying or referring to the goods or services as those of the proprietor. |
| --- | --- |

(21)

The exclusive rights conferred by a European
  Union
  trade mark should not entitle the proprietor to prohibit the use of signs or indications which are used fairly and in accordance with honest practices in industrial and commercial matters. In order to create equal conditions for trade names and trade marks in case of conflicts against the background that trade names are regularly granted unrestricted protection against later trade marks, such use should be considered to include the use of one’s own personal name only. It should further include the use of descriptive or non-distinctive signs or indications in general. Moreover, the proprietor should not be entitled to prevent the general fair and honest use of the European
  Union
  trade mark for identifying or referring to the goods or services as those of the proprietor.

| (22) | In order to ensure legal certainty and safeguard trade mark rights legitimately acquired, it is appropriate and necessary to lay down, without affecting the principle that the later trade mark cannot be enforced against the earlier trade mark, that proprietors of European
  Union
  trade marks should not be entitled to oppose the use of a later trade mark when the later trade mark was acquired at a time when the earlier trade mark could not be enforced against the later trade mark.
  When carrying out checks, customs authorities should make use of the powers and procedures laid down in Union legislation regarding customs enforcement of intellectual property rights. [Am. 10] |
| --- | --- |

(22)

In order to ensure legal certainty and safeguard trade mark rights legitimately acquired, it is appropriate and necessary to lay down, without affecting the principle that the later trade mark cannot be enforced against the earlier trade mark, that proprietors of European
  Union
  trade marks should not be entitled to oppose the use of a later trade mark when the later trade mark was acquired at a time when the earlier trade mark could not be enforced against the later trade mark.
  When carrying out checks, customs authorities should make use of the powers and procedures laid down in Union legislation regarding customs enforcement of intellectual property rights. [Am. 10]

| (23) | For reasons of equity and legal certainty the use of a European
  Union
  trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it is registered should be sufficient to preserve the rights conferred regardless of whether the trade mark in the form as used is also registered. |
| --- | --- |

(23)

For reasons of equity and legal certainty the use of a European
  Union
  trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it is registered should be sufficient to preserve the rights conferred regardless of whether the trade mark in the form as used is also registered.

| (24) | Regulation (EC) No 207/2009 confers powers on the Commission in order to adopt rules implementing that Regulation. As a consequence of the entry into force of the Lisbon Treaty, the powers conferred upon the Commission under Regulation (EC) No 207/2009 need to be aligned to Article 290 of the Treaty on the Functioning of the European Union. |
| --- | --- |

(24)

Regulation (EC) No 207/2009 confers powers on the Commission in order to adopt rules implementing that Regulation. As a consequence of the entry into force of the Lisbon Treaty, the powers conferred upon the Commission under Regulation (EC) No 207/2009 need to be aligned to Article 290 of the Treaty on the Functioning of the European Union.

| (25) | It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council. |
| --- | --- |

(25)

It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council.

| (26) | In order to ensure the efficient registration of legal acts concerning the European
  Union
  trade mark as object of property and ensure full transparency of the register of European
  Union
  trade marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying certain obligations of the applicant regarding specific trade marks, the details on the procedures for entering the transfer of European
  Union
  trade marks, the creation and transfer of a right in rem, the levy of execution, the involvement in an insolvency procedure and the grant or transfer of a licence in the Register and for cancelling or modifying relevant entries. |
| --- | --- |

(26)

In order to ensure the efficient registration of legal acts concerning the European
  Union
  trade mark as object of property and ensure full transparency of the register of European
  Union
  trade marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying certain obligations of the applicant regarding specific trade marks, the details on the procedures for entering the transfer of European
  Union
  trade marks, the creation and transfer of a right in rem, the levy of execution, the involvement in an insolvency procedure and the grant or transfer of a licence in the Register and for cancelling or modifying relevant entries.

| (27) | In view of the gradual decline and insignificant number of Community trade mark applications filed at the central intellectual property offices of the Member States (‘the offices of the Member States’), it should be only allowed to file a European
  Union
  trade mark application at the Agency. |
| --- | --- |

(27)

In view of the gradual decline and insignificant number of Community trade mark applications filed at the central intellectual property offices of the Member States (‘the offices of the Member States’), it should be only allowed to file a European
  Union
  trade mark application at the Agency.

| (28) | European
  Union
  trade mark protection is granted in relation to specific goods or services whose nature and number determine the extent of protection afforded to the trade mark owner. It is therefore essential to establish rules for the designation and classification of goods and services in Regulation (EC) No 207/2009 and to ensure legal certainty and sound administration by requiring that the goods and services for which trade mark protection is sought are identified by the applicant with sufficient clarity and precision to enable the competent authorities and economic operators, on the basis of the application alone, to determine the extent of the protection applied for. The use of general terms should be interpreted as including only all goods and services clearly covered by the literal meaning of the term. Proprietors of European
  Union
  trade marks, which because of the previous practice of the Agency are registered in respect of the entire heading of a class of the Nice Classification, should be given the possibility to adapt their specifications of goods and services in order to ensure that the content of the register meets the requisite standard of clarity and precision in accordance with the case law of the Court of Justice of the European Union. |
| --- | --- |

(28)

European
  Union
  trade mark protection is granted in relation to specific goods or services whose nature and number determine the extent of protection afforded to the trade mark owner. It is therefore essential to establish rules for the designation and classification of goods and services in Regulation (EC) No 207/2009 and to ensure legal certainty and sound administration by requiring that the goods and services for which trade mark protection is sought are identified by the applicant with sufficient clarity and precision to enable the competent authorities and economic operators, on the basis of the application alone, to determine the extent of the protection applied for. The use of general terms should be interpreted as including only all goods and services clearly covered by the literal meaning of the term. Proprietors of European
  Union
  trade marks, which because of the previous practice of the Agency are registered in respect of the entire heading of a class of the Nice Classification, should be given the possibility to adapt their specifications of goods and services in order to ensure that the content of the register meets the requisite standard of clarity and precision in accordance with the case law of the Court of Justice of the European Union.

| (29) | In order to provide for an effective and efficient regime for the filing of European
  Union
  trade mark applications including priority and seniority claims, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the means and modalities of filing a European
  Union
  trade mark application, the details regarding the formal conditions of a European
  Union
  trade mark application, the content of that application, the type of application fee, as well as the details on the procedures for ascertaining reciprocity, claiming the priority of a previous application, an exhibition priority and the seniority of a national trade mark. [Am. 11] |
| --- | --- |

(29)

In order to provide for an effective and efficient regime for the filing of European
  Union
  trade mark applications including priority and seniority claims, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the means and modalities of filing a European
  Union
  trade mark application, the details regarding the formal conditions of a European
  Union
  trade mark application, the content of that application, the type of application fee, as well as the details on the procedures for ascertaining reciprocity, claiming the priority of a previous application, an exhibition priority and the seniority of a national trade mark. [Am. 11]

| (30) | The current regime of European
  Union
  trade mark and national searches is neither reliable nor efficient. It should therefore be replaced by the making available of all-encompassing, fast and powerful search engines for the free use of the public within the context of cooperation between the Agency and the offices of the Member States. |
| --- | --- |

(30)

The current regime of European
  Union
  trade mark and national searches is neither reliable nor efficient. It should therefore be replaced by the making available of all-encompassing, fast and powerful search engines for the free use of the public within the context of cooperation between the Agency and the offices of the Member States.

| (31) | In order to ensure an effective, efficient and expeditious examination and registration of European
  Union
  trade mark applications by the Agency using procedures which are transparent, thorough, fair and equitable, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the procedures related to the examination of compliance with the requirements on the filing date and with the formal conditions of an application, the procedures for verifying payment of class fees and the examination of absolute grounds for refusal, the details concerning the publication of the application, the procedures for correcting mistakes and errors in publications of applications, the details on the procedures related to third party observations, the details on the opposition procedure, the details on the procedures for filing and examining an opposition and those governing the amendment and division of the application, the particulars to be recorded in the Register when registering a European
  Union
  trade mark, the modalities of publication of the registration and the content and modalities of issue of a certificate of registration. |
| --- | --- |

(31)

In order to ensure an effective, efficient and expeditious examination and registration of European
  Union
  trade mark applications by the Agency using procedures which are transparent, thorough, fair and equitable, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the procedures related to the examination of compliance with the requirements on the filing date and with the formal conditions of an application, the procedures for verifying payment of class fees and the examination of absolute grounds for refusal, the details concerning the publication of the application, the procedures for correcting mistakes and errors in publications of applications, the details on the procedures related to third party observations, the details on the opposition procedure, the details on the procedures for filing and examining an opposition and those governing the amendment and division of the application, the particulars to be recorded in the Register when registering a European
  Union
  trade mark, the modalities of publication of the registration and the content and modalities of issue of a certificate of registration.

| (32) | In order to allow European
  Union
  trade marks to be renewed in an effective and efficient manner and to safely apply the provisions on the alteration and the division of a European
  Union
  trade mark in practice without compromising legal certainty, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the modalities

  procedure
  for the renewal of a European
  Union
  trade mark and procedures governing the alteration and division of a European
  Union
  trade mark. [Am. 12] |
| --- | --- |

(32)

In order to allow European
  Union
  trade marks to be renewed in an effective and efficient manner and to safely apply the provisions on the alteration and the division of a European
  Union
  trade mark in practice without compromising legal certainty, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the modalities

  procedure
  for the renewal of a European
  Union
  trade mark and procedures governing the alteration and division of a European
  Union
  trade mark. [Am. 12]

| (33) | In order to permit the proprietor of a European
  Union
  trade mark to easily surrender a European
  Union
  trade mark, while respecting the rights of third parties entered in the register in relation to that mark, and to ensure that a European
  Union
  trade mark can be revoked or declared invalid in an effective and efficient way by means of transparent, thorough, fair and equitable procedures, and to take into account the principles laid down in this Regulation, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the procedure governing the surrender of a European
  Union
  trade mark as well as the procedures for revocation and invalidity. |
| --- | --- |

(33)

In order to permit the proprietor of a European
  Union
  trade mark to easily surrender a European
  Union
  trade mark, while respecting the rights of third parties entered in the register in relation to that mark, and to ensure that a European
  Union
  trade mark can be revoked or declared invalid in an effective and efficient way by means of transparent, thorough, fair and equitable procedures, and to take into account the principles laid down in this Regulation, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the procedure governing the surrender of a European
  Union
  trade mark as well as the procedures for revocation and invalidity.

| (34) | In order to allow for an effective, efficient and complete review of decisions of the Agency by the Boards of Appeal by means of a transparent, thorough, fair and equitable procedure which takes into account the principles laid down in Regulation (EC) No 207/2009, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the content of the notice of appeal, the procedure for the filing and examination of an appeal, the content and form of the Board of Appeal's decisions and the reimbursement of the appeal fees. |
| --- | --- |

(34)

In order to allow for an effective, efficient and complete review of decisions of the Agency by the Boards of Appeal by means of a transparent, thorough, fair and equitable procedure which takes into account the principles laid down in Regulation (EC) No 207/2009, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the content of the notice of appeal, the procedure for the filing and examination of an appeal, the content and form of the Board of Appeal's decisions and the reimbursement of the appeal fees.

| (35) | As a complement to the existing provisions on Community collective marks and to remedy the current imbalance between national systems and the European
  Union
  trade mark system, it is necessary to add a set of specific provisions for the purpose of providing protection to European certification marks which allow a certifying institution or organisation to permit adherents to the certification system to use the mark as a sign for goods or services complying with the certification requirements. |
| --- | --- |

(35)

As a complement to the existing provisions on Community collective marks and to remedy the current imbalance between national systems and the European
  Union
  trade mark system, it is necessary to add a set of specific provisions for the purpose of providing protection to European certification marks which allow a certifying institution or organisation to permit adherents to the certification system to use the mark as a sign for goods or services complying with the certification requirements.

| (35a) | In order to contribute to improving the performance of the entire registration system and to ensure that trade marks are not registered where there are absolute grounds for refusal, including, in particular, where the trade mark is descriptive or non-distinctive, or of such a nature as to deceive the public, for instance as to the nature, quality or geographical origin of the goods or service, third parties should be able to submit to the central industrial property offices of the Member States written observations explaining which of the absolute grounds constitute an obstacle to registration. [Am. 13] |
| --- | --- |

(35a)

In order to contribute to improving the performance of the entire registration system and to ensure that trade marks are not registered where there are absolute grounds for refusal, including, in particular, where the trade mark is descriptive or non-distinctive, or of such a nature as to deceive the public, for instance as to the nature, quality or geographical origin of the goods or service, third parties should be able to submit to the central industrial property offices of the Member States written observations explaining which of the absolute grounds constitute an obstacle to registration. [Am. 13]

| (36) | In order to allow for an effective and efficient use of European collective and certification marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the periods for submitting

  formal content of
  the regulations governing the use of those marks and the content thereof. [Am. 14] |
| --- | --- |

(36)

In order to allow for an effective and efficient use of European collective and certification marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the periods for submitting

  formal content of
  the regulations governing the use of those marks and the content thereof. [Am. 14]

| (37) | The experience gained in the application of the current system of Community trade marks revealed the potential for improvement of certain aspects of procedure. Consequently, certain measures should be taken to simplify and speed up procedures where appropriate and to enhance legal certainty and predictability where required. |
| --- | --- |

(37)

The experience gained in the application of the current system of Community trade marks revealed the potential for improvement of certain aspects of procedure. Consequently, certain measures should be taken to simplify and speed up procedures where appropriate and to enhance legal certainty and predictability where required.

| (38) | In order to ensure a smooth, effective and efficient operation of the European
  Union
  trade mark system, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the requirements as to the form of decisions, the details on oral proceedings and the modalities of taking of evidence, the modalities of notification, the procedure for the noting of loss of rights, the means of communication and the forms to be used by the parties to proceedings, the rules governing the calculation and duration of time limits, the procedures for the revocation of a decision or for cancellation of an entry in the Register and for the correction of obvious errors in decisions and errors attributable to the Agency, the modalities of the interruption of proceedings and the procedures concerning the apportionment and fixing of costs, the particulars to be entered in the Register, the details concerning the inspection and keeping of files, the modalities of publications in the European
  Union
  Trade Marks Bulletin and in the Official Journal of the Agency, the modalities of administrative cooperation between the Agency and the authorities of Member States, and the details on representation before the Agency. [Am. 15] |
| --- | --- |

(38)

In order to ensure a smooth, effective and efficient operation of the European
  Union
  trade mark system, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the requirements as to the form of decisions, the details on oral proceedings and the modalities of taking of evidence, the modalities of notification, the procedure for the noting of loss of rights, the means of communication and the forms to be used by the parties to proceedings, the rules governing the calculation and duration of time limits, the procedures for the revocation of a decision or for cancellation of an entry in the Register and for the correction of obvious errors in decisions and errors attributable to the Agency, the modalities of the interruption of proceedings and the procedures concerning the apportionment and fixing of costs, the particulars to be entered in the Register, the details concerning the inspection and keeping of files, the modalities of publications in the European
  Union
  Trade Marks Bulletin and in the Official Journal of the Agency, the modalities of administrative cooperation between the Agency and the authorities of Member States, and the details on representation before the Agency. [Am. 15]

| (39) | For reasons of legal certainty and greater transparency, it is appropriate to clearly define all the tasks of the Agency including those which are not related to the management of the Union trade mark system. |
| --- | --- |

(39)

For reasons of legal certainty and greater transparency, it is appropriate to clearly define all the tasks of the Agency including those which are not related to the management of the Union trade mark system.

| (40) | With the aim of promoting convergence of practices and of developing common tools, it is necessary to establish an appropriate framework for cooperation between the Agency and the offices of the Member States, clearly defining the

  key
  areas of cooperation and enabling the Agency to coordinate relevant common projects of Union interest and to finance, up to a maximum amount, those common projects by means of grants. Those cooperation activities should be beneficial for undertakings using trade mark systems in Europe

  the Union
  . For users of the Union regime laid down in this Regulation

  Regulation (EC) No 207/2009
  , the common projects, particularly the databases for search and consultation purposes, should provide
  , free of charge,
  additional, inclusive,
  and
  efficient and free of charge tools to comply with the specific requirements flowing from the unitary character of the European
  Union
  trade mark.
  However, it should not be mandatory for Member States to implement the results of such common projects. While it is important that all parties contribute to the success of common projects, not least by sharing best practices and experiences, a strict obligation requiring all Member States to implement the results of common projects, even where, for example, a Member State believes that it already has a better IT or similar tool in place, would be neither proportional nor in the best interests of users. [Am. 16] |
| --- | --- |

(40)

With the aim of promoting convergence of practices and of developing common tools, it is necessary to establish an appropriate framework for cooperation between the Agency and the offices of the Member States, clearly defining the

  key
  areas of cooperation and enabling the Agency to coordinate relevant common projects of Union interest and to finance, up to a maximum amount, those common projects by means of grants. Those cooperation activities should be beneficial for undertakings using trade mark systems in Europe

  the Union
  . For users of the Union regime laid down in this Regulation

  Regulation (EC) No 207/2009
  , the common projects, particularly the databases for search and consultation purposes, should provide
  , free of charge,
  additional, inclusive,
  and
  efficient and free of charge tools to comply with the specific requirements flowing from the unitary character of the European
  Union
  trade mark.
  However, it should not be mandatory for Member States to implement the results of such common projects. While it is important that all parties contribute to the success of common projects, not least by sharing best practices and experiences, a strict obligation requiring all Member States to implement the results of common projects, even where, for example, a Member State believes that it already has a better IT or similar tool in place, would be neither proportional nor in the best interests of users. [Am. 16]

| (41) | Certain principles regarding the governance of the Agency should be adapted to the Common Approach on EU decentralised agencies adopted by the European Parliament, the Council and the Commission in July 2012. |
| --- | --- |

(41)

Certain principles regarding the governance of the Agency should be adapted to the Common Approach on EU decentralised agencies adopted by the European Parliament, the Council and the Commission in July 2012.

| (42) | In the interest of greater legal certainty and transparency, it is necessary to update some provisions concerning the organization and functioning of the Agency. |
| --- | --- |

(42)

In the interest of greater legal certainty and transparency, it is necessary to update some provisions concerning the organization and functioning of the Agency.

| (43) | In the interest of sound financial management, the accumulation of significant budgetary surpluses should be avoided. This should be without prejudice to the Agency maintaining a financial reserve covering one year of its operational expenditure to ensure the continuity of its operations and the execution of its tasks. |
| --- | --- |

(43)

In the interest of sound financial management, the accumulation of significant budgetary surpluses should be avoided. This should be without prejudice to the Agency maintaining a financial reserve covering one year of its operational expenditure to ensure the continuity of its operations and the execution of its tasks.

| (44) | In order to allow for an effective and efficient conversion of an application or registration of a European
  Union
  trade mark into a national trade mark application while ensuring a thorough examination of the relevant requirements, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the formal conditions with which a request for conversion must comply and the details of its examination and publication. |
| --- | --- |

(44)

In order to allow for an effective and efficient conversion of an application or registration of a European
  Union
  trade mark into a national trade mark application while ensuring a thorough examination of the relevant requirements, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the formal conditions with which a request for conversion must comply and the details of its examination and publication.

| (44a) | The fees structure has been laid down by Commission Regulation (EC) No 2869/95

   (12)

  . However, the fees structure is a central aspect of the functioning of the Union trade mark system, and has only been revised twice since its establishment, and only after significant political debate. The fees structure should therefore be directly regulated in Regulation (EC) No 207/2009. Regulation (EC) No 2869/95 should therefore be repealed and the provisions concerning the fees structure contained in Commission Regulation (EC) No 2868/95

   (13)

  should be deleted. [Am. 17] |
| --- | --- |

(44a)

The fees structure has been laid down by Commission Regulation (EC) No 2869/95

   (12)

  . However, the fees structure is a central aspect of the functioning of the Union trade mark system, and has only been revised twice since its establishment, and only after significant political debate. The fees structure should therefore be directly regulated in Regulation (EC) No 207/2009. Regulation (EC) No 2869/95 should therefore be repealed and the provisions concerning the fees structure contained in Commission Regulation (EC) No 2868/95

   (13)

  should be deleted. [Am. 17]

| (45) | In order to ensure an effective and efficient method to resolve

  of resolving
  disputes, to ensure consistency with the language regime laid down in Regulation (EC) No 207/2009, the expeditious delivery of decisions on

  in cases having
  a simple subject matter, and the effective and efficient organisation of the Boards of Appeal, and to guarantee an appropriate and realistic level of fees to be charged by the Agency, while complying with the budgetary principles set out in Regulation (EC) No 207/2009, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on

  concerning
  the languages to be used before the Agency, the cases where

  in which
  opposition and cancellation decisions should be taken by a single member, the details on

  concerning
  the organisation of the Boards of Appeal, the amounts of the fees to be paid to the Agency and details related

  relating
  to their

  the
  payment
  of fees
  . [Am. 18] |
| --- | --- |

(45)

In order to ensure an effective and efficient method to resolve

  of resolving
  disputes, to ensure consistency with the language regime laid down in Regulation (EC) No 207/2009, the expeditious delivery of decisions on

  in cases having
  a simple subject matter, and the effective and efficient organisation of the Boards of Appeal, and to guarantee an appropriate and realistic level of fees to be charged by the Agency, while complying with the budgetary principles set out in Regulation (EC) No 207/2009, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on

  concerning
  the languages to be used before the Agency, the cases where

  in which
  opposition and cancellation decisions should be taken by a single member, the details on

  concerning
  the organisation of the Boards of Appeal, the amounts of the fees to be paid to the Agency and details related

  relating
  to their

  the
  payment
  of fees
  . [Am. 18]

| (46) | In order to ensure the effective and efficient registration of international trade marks in full consistency with the rules of the Protocol relating to the Madrid Agreement concerning the international registration of marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the procedures concerning the international registration of trade marks. |
| --- | --- |

(46)

In order to ensure the effective and efficient registration of international trade marks in full consistency with the rules of the Protocol relating to the Madrid Agreement concerning the international registration of marks, the power to adopt delegated acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of specifying the details on the procedures concerning the international registration of trade marks.

| (46a) | The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001 of the European Parliament and of the Council

   (14)

  and delivered an opinion on 11 July 2013

   (15)
  . [Am. 19] |
| --- | --- |

(46a)

The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001 of the European Parliament and of the Council

   (14)

  and delivered an opinion on 11 July 2013

   (15)
  . [Am. 19]

| (47) | Regulation (EC) No 207/2009 should therefore be amended accordingly. |
| --- | --- |

(47)

Regulation (EC) No 207/2009 should therefore be amended accordingly.

HAVE ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 207/2009 is amended as follows:

| (1) | In the title, ‘Community trade mark’ is replaced by ‘European
  Union
  trade mark’; |
| --- | --- |

(1)

In the title, ‘Community trade mark’ is replaced by ‘European
  Union
  trade mark’;

| (2) | Throughout the Regulation, the words ‘Community trade mark’ are replaced by ‘European
  Union
  trade mark’ and any necessary grammatical changes are made; [Am. 20 This amendment applies throughout the text] |
| --- | --- |

(2)

Throughout the Regulation, the words ‘Community trade mark’ are replaced by ‘European
  Union
  trade mark’ and any necessary grammatical changes are made; [Am. 20 This amendment applies throughout the text]

| (3) | Throughout the Regulation, the words ‘Community trade mark court’ are replaced by ‘European
  Union
  trade mark court’ and any necessary grammatical changes are made; [Am. 21 This amendment applies throughout the text] |
| --- | --- |

(3)

Throughout the Regulation, the words ‘Community trade mark court’ are replaced by ‘European
  Union
  trade mark court’ and any necessary grammatical changes are made; [Am. 21 This amendment applies throughout the text]

| (4) | Throughout the Regulation, the words ‘Community collective mark’ are replaced by ‘European
  Union
  collective mark’ and any necessary grammatical changes are made; [Am. 22 This amendment applies throughout the text] |
| --- | --- |

(4)

Throughout the Regulation, the words ‘Community collective mark’ are replaced by ‘European
  Union
  collective mark’ and any necessary grammatical changes are made; [Am. 22 This amendment applies throughout the text]

| (5) | Throughout the Regulation, except in the cases referred to in points (2), (3) and (4), the words ‘Community’, ‘European Community’ and ‘European Communities’ are replaced by ‘Union’ and any necessary grammatical changes are made; |
| --- | --- |

(5)

Throughout the Regulation, except in the cases referred to in points (2), (3) and (4), the words ‘Community’, ‘European Community’ and ‘European Communities’ are replaced by ‘Union’ and any necessary grammatical changes are made;

| (6) | Throughout the Regulation, the word ‘Office’, insofar as it refers to the Office for Harmonisation in the Internal Market (trade marks and designs) provided for in Article 2 of the Regulation, is replaced by ‘Agency’ and any necessary grammatical changes are made; |
| --- | --- |

(6)

Throughout the Regulation, the word ‘Office’, insofar as it refers to the Office for Harmonisation in the Internal Market (trade marks and designs) provided for in Article 2 of the Regulation, is replaced by ‘Agency’ and any necessary grammatical changes are made;

| (7) | Throughout the Regulation, the word ‘President’ is replaced by ‘Executive Director’ and any necessary grammatical changes are made; |
| --- | --- |

(7)

Throughout the Regulation, the word ‘President’ is replaced by ‘Executive Director’ and any necessary grammatical changes are made;

| (8) | Article 2 is replaced by the following:
  ‘Article 2
  Agency
  1.   A European Union Trade Marks and Designs

  Intellectual Property
  Agency, hereinafter referred to as “the Agency”, is hereby established. [Am. 23 This amendment applies throughout the text]

  2.   All references in Union law to the Office for Harmonisation in the Internal Market (trade marks and designs) shall be read as references to the Agency.’; |
| --- | --- |

(8)

Article 2 is replaced by the following:

‘Article 2

Agency

1.   A European Union Trade Marks and Designs

  Intellectual Property
  Agency, hereinafter referred to as “the Agency”, is hereby established. [Am. 23 This amendment applies throughout the text]

2.   All references in Union law to the Office for Harmonisation in the Internal Market (trade marks and designs) shall be read as references to the Agency.’;

| (9) | Article 4 is replaced by the following:
  ‘Article 4
  Signs of which a European
  Union
  trade mark may consist
  A European
  Union
  trade mark may consist of any signs, in particular words, including personal names, designs, letters, numerals, colours as such, the shape of goods or of their packaging, or sounds, provided that
  generally available technology is used and
  such signs are capable of






  (a) | distinguishing the goods or services of one undertaking from those of other undertakings;
  and |
| --- | --- | --- |

(9)

Article 4 is replaced by the following:

‘Article 4

Signs of which a European
  Union
  trade mark may consist

A European
  Union
  trade mark may consist of any signs, in particular words, including personal names, designs, letters, numerals, colours as such, the shape of goods or of their packaging, or sounds, provided that
  generally available technology is used and
  such signs are capable of

(a)

distinguishing the goods or services of one undertaking from those of other undertakings;
  and

| (b) | being represented
  in the Register of European Union trade marks
  in a manner which enables the competent authorities and the public to determine the
  clear and
  precise subject
  matter
  of the protection afforded to its proprietor.’; [Am. 24] |
| --- | --- |

(b)

being represented
  in the Register of European Union trade marks
  in a manner which enables the competent authorities and the public to determine the
  clear and
  precise subject
  matter
  of the protection afforded to its proprietor.’; [Am. 24]

| (10) | Article 7 is amended as follows:






  (a) | In paragraph 1, points (j) and (k) are replaced by the following:






  ‘(j) | trade marks which are excluded from registration and shall not continue to be used pursuant to Union legislation or international agreements to which the Union is party, providing for protection of designations of origin and geographical indications; |
| --- | --- | --- | --- |

(10)

Article 7 is amended as follows:

(a)

In paragraph 1, points (j) and (k) are replaced by the following:

‘(j)

trade marks which are excluded from registration and shall not continue to be used pursuant to Union legislation or international agreements to which the Union is party, providing for protection of designations of origin and geographical indications;

| (k) | trade marks which are excluded from registration pursuant to Union legislation or international agreements to which the Union is party, providing for protection of
  spirit drinks,
  traditional terms for wine and traditional specialities guaranteed; |
| --- | --- |

(k)

trade marks which are excluded from registration pursuant to Union legislation or international agreements to which the Union is party, providing for protection of
  spirit drinks,
  traditional terms for wine and traditional specialities guaranteed;

| (l) | trade marks which contain or consist of an earlier variety denomination registered in accordance with Council Regulation (EC) No 2100/94 (*1).; [Am. 25] |
| --- | --- |

(l)

trade marks which contain or consist of an earlier variety denomination registered in accordance with Council Regulation (EC) No 2100/94 (*1).; [Am. 25]

(*1)  Council Regulation (EC) No 2100/94 of 27 July 1994 on Community plant variety rights with respect to the same type of product (OJ L 227, 1.9.1994, p. 1).’;"

| (b) | paragraph 2 is replaced by the following:
  ‘2.   Paragraph 1 shall apply notwithstanding that the grounds of non-registrability obtain:







  (a) | in only part of the Union. |
| --- | --- | --- |

(b)

paragraph 2 is replaced by the following:

‘2.   Paragraph 1 shall apply notwithstanding that the grounds of non-registrability obtain:

(a)

in only part of the Union.

| (b) | only where a trade mark in a foreign language or script is translated or transcribed in any script or official language of a Member State.’; [Am. 26] |
| --- | --- |

(b)

only where a trade mark in a foreign language or script is translated or transcribed in any script or official language of a Member State.’; [Am. 26]

| (11) | Article 8 is amended as follows:






  (a) | paragraph 3 is replaced by the following:
  ‘3.   Upon opposition by the proprietor of the trade mark, a trade mark shall not be registered:






  (a) | where an agent or representative of the proprietor of the trade mark applies for registration thereof in his own name without the proprietor's authorisation, unless the agent or representative justifies his action;
  or [Am. 27] |
| --- | --- | --- | --- |

(11)

Article 8 is amended as follows:

(a)

paragraph 3 is replaced by the following:

‘3.   Upon opposition by the proprietor of the trade mark, a trade mark shall not be registered:

(a)

where an agent or representative of the proprietor of the trade mark applies for registration thereof in his own name without the proprietor's authorisation, unless the agent or representative justifies his action;
  or [Am. 27]

| (b) | where the trade mark is liable to be confused with an earlier trade mark protected outside the Union, provided that, at the date of the application, the earlier trade mark was still in genuine use and the applicant was acting in bad faith.’; |
| --- | --- |

(b)

where the trade mark is liable to be confused with an earlier trade mark protected outside the Union, provided that, at the date of the application, the earlier trade mark was still in genuine use and the applicant was acting in bad faith.’;

| (b) | in paragraph 4, the introductory phrase is replaced by the following:
  ‘4.   Upon opposition by the proprietor of a non-registered trade mark or of another sign used in the course of trade of more than mere local significance, the trade mark applied for shall not be registered where and to the extent that, pursuant to Union legislation providing for protection of designations of origin and geographical indications, or the law of the Member State governing that sign:’ |
| --- | --- |

(b)

in paragraph 4, the introductory phrase is replaced by the following:

‘4.   Upon opposition by the proprietor of a non-registered trade mark or of another sign used in the course of trade of more than mere local significance, the trade mark applied for shall not be registered where and to the extent that, pursuant to Union legislation providing for protection of designations of origin and geographical indications, or the law of the Member State governing that sign:’

| (c) | paragraph 5 is replaced by the following:
  ‘5.   Upon opposition by the proprietor of an earlier registered trade mark within the meaning of paragraph 2, the trade mark applied for shall not be registered where it is identical with, or similar to, an earlier trade mark irrespective of whether the goods or services for which it is applied are identical with, similar to or not similar to those for which the earlier trade mark is registered, where, in the case of an earlier European
  Union
  trade mark, the trade mark has a reputation in the Union or, in the case of an earlier national trade mark, the trade mark has a reputation in the Member State concerned, and where the use without due cause of the trade mark applied for would take unfair advantage of, or be detrimental to, the distinctive character or the repute of the earlier trade mark.’; |
| --- | --- |

(c)

paragraph 5 is replaced by the following:

‘5.   Upon opposition by the proprietor of an earlier registered trade mark within the meaning of paragraph 2, the trade mark applied for shall not be registered where it is identical with, or similar to, an earlier trade mark irrespective of whether the goods or services for which it is applied are identical with, similar to or not similar to those for which the earlier trade mark is registered, where, in the case of an earlier European
  Union
  trade mark, the trade mark has a reputation in the Union or, in the case of an earlier national trade mark, the trade mark has a reputation in the Member State concerned, and where the use without due cause of the trade mark applied for would take unfair advantage of, or be detrimental to, the distinctive character or the repute of the earlier trade mark.’;

| (12) | Article 9 is replaced by the following:
  ‘Article 9
  Rights conferred by a European
  Union
  trade mark
  1.   The registration of a European
  Union
  trade mark shall confer on the proprietor exclusive rights.
  2.   Without prejudice to the rights of proprietors acquired before the filing date or the priority date of the European
  Union
  trade mark, the proprietor of a European
  Union
  trade mark shall be entitled to prevent all third parties not having his consent from using in the course of trade any sign in relation to goods or services where:






  (a) | the sign is identical with the European
  Union
  trade mark and is used in relation to goods or services which are identical with those for which the European
  Union
  trade mark is registered, and where such use affects or is liable to affect the function of the European trade mark to guarantee to consumers the origin of the goods or services; |
| --- | --- | --- |

(12)

Article 9 is replaced by the following:

‘Article 9

Rights conferred by a European
  Union
  trade mark

1.   The registration of a European
  Union
  trade mark shall confer on the proprietor exclusive rights.

2.   Without prejudice to the rights of proprietors acquired before the filing date or the priority date of the European
  Union
  trade mark, the proprietor of a European
  Union
  trade mark shall be entitled to prevent all third parties not having his consent from using in the course of trade any sign in relation to goods or services where:

(a)

the sign is identical with the European
  Union
  trade mark and is used in relation to goods or services which are identical with those for which the European
  Union
  trade mark is registered, and where such use affects or is liable to affect the function of the European trade mark to guarantee to consumers the origin of the goods or services;

| (b) | without prejudice to point (a),
  the sign is identical, or similar to, the European
  Union
  trade mark and is used for goods or services which are identical with or similar to the goods or services for which the European
  Union
  trade mark is registered, if there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association between the sign and the trade mark; |
| --- | --- |

(b)

without prejudice to point (a),
  the sign is identical, or similar to, the European
  Union
  trade mark and is used for goods or services which are identical with or similar to the goods or services for which the European
  Union
  trade mark is registered, if there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association between the sign and the trade mark;

| (c) | the sign is identical with, or similar to, the European
  Union
  trade mark irrespective of whether it is used in relation to goods or services which are identical with, similar to or not similar to those for which the European
  Union
  trade mark is registered, where the latter has a reputation in the Union and where use of that sign without due cause takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the European
  Union
  trade mark. |
| --- | --- |

(c)

the sign is identical with, or similar to, the European
  Union
  trade mark irrespective of whether it is used in relation to goods or services which are identical with, similar to or not similar to those for which the European
  Union
  trade mark is registered, where the latter has a reputation in the Union and where use of that sign without due cause takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the European
  Union
  trade mark.

3.   The following, in particular, may be prohibited under paragraph 2:

| (a) | affixing the sign to the goods or to the packaging thereof; |
| --- | --- |

(a)

affixing the sign to the goods or to the packaging thereof;

| (b) | offering the goods, putting them on the market or stocking them for these purposes under that sign, or offering or supplying services thereunder; |
| --- | --- |

(b)

offering the goods, putting them on the market or stocking them for these purposes under that sign, or offering or supplying services thereunder;

| (c) | importing or exporting the goods under that sign; |
| --- | --- |

(c)

importing or exporting the goods under that sign;

| (d) | using the sign as a trade or company name or part of a trade or company name; |
| --- | --- |

(d)

using the sign as a trade or company name or part of a trade or company name;

| (e) | using the sign on business papers and in advertising; |
| --- | --- |

(e)

using the sign on business papers and in advertising;

| (f) | using the sign in comparative advertising in a way which is contrary to Directive 2006/114/EC of the European Parliament and of the Council (*2). |
| --- | --- |

(f)

using the sign in comparative advertising in a way which is contrary to Directive 2006/114/EC of the European Parliament and of the Council (*2).

4.   The proprietor of a European
  Union
  trade mark shall also be entitled to prevent the importing
  into the Union
  of goods referred to in paragraph 3(c)

  delivered in small consignments as defined by Regulation (EU) No 608/2013 of the European Parliament and of the Council

   (*3) where only the consignor of the goods acts for commercial purposes

  in the course of trade and where such goods, including packaging, bear without authorisation a trade mark which is identical to the European Union trade mark registered in respect of such goods, or which cannot be distinguished in its essential aspects from that European Union trade mark
  .
  In cases where such measures are taken Member States shall ensure that the individual or entity that ordered the goods is informed of the reason for the measures as well as of their legal rights vis-a-vis the consignor
  .

5.   
  Without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a European
  Union
  trade mark shall also be entitled to prevent all third parties from bringing goods, in the context of commercial activity, into the customs territory of the Union without being released for free circulation there, where such goods, including packaging, come from third countries and bear without
  authorisation
  a trade mark which is identical to the European
  Union
  trade mark registered in respect of such goods, or which cannot be distinguished in its essential aspects from that trade mark. [Ams. 28 and 116]

(*2)  Directive 2006/114/EC of the European Parliament and of the Council of 12 December 2006 concerning misleading and comparative advertising (OJ L 376, 27.12.2006, p. 21)"

(*3)  Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15)’;"

| (13) | The following Articles are inserted:
  ‘Article 9a
  Infringement of the rights of the proprietor by use of get-up, packaging or other means
  Where it is likely that the get-up, packaging or other means to which the mark is affixed will be used for goods or services and the use in relation to those goods or services would constitute an infringement of the rights of the proprietor under Article 9(2) and (3), the proprietor of a European
  Union
  trade mark shall have the right to prohibit the following:






  (a) | affixing in the course of trade a sign identical with or similar to the European
  Union
  trade mark on get-up, packaging or other means on which the mark may be affixed; |
| --- | --- | --- |

(13)

The following Articles are inserted:

‘Article 9a

Infringement of the rights of the proprietor by use of get-up, packaging or other means

Where it is likely that the get-up, packaging or other means to which the mark is affixed will be used for goods or services and the use in relation to those goods or services would constitute an infringement of the rights of the proprietor under Article 9(2) and (3), the proprietor of a European
  Union
  trade mark shall have the right to prohibit the following:

(a)

affixing in the course of trade a sign identical with or similar to the European
  Union
  trade mark on get-up, packaging or other means on which the mark may be affixed;

| (b) | offering or placing on the market, or stocking for those purposes, or importing or exporting get-up, packaging or other means on which the mark is affixed. |
| --- | --- |

(b)

offering or placing on the market, or stocking for those purposes, or importing or exporting get-up, packaging or other means on which the mark is affixed.

Article 9b

Date of prevailing of rights against third parties

1.   The rights conferred by a European
  Union
  trade mark shall prevail against third parties from the date of publication of the registration of the trade mark.

2.   Reasonable compensation may be claimed in respect of acts occurring after the date of publication of a European
  Union
  trade mark application, where those acts would, after publication of the registration of the trade mark, be prohibited by virtue of that publication.

3.   The court seized of a case may not decide upon the merits of the case until the registration has been published.’;

| (14) | Article 12 is replaced by the following:
  ‘Article 12
  Limitation of the effects of a European
  Union
  trade mark
  1.   A European
  Union
  trade mark shall not entitle the proprietor to prohibit a third party from using in the course of trade:






  (a) | his own personal name or address; |
| --- | --- | --- |

(14)

Article 12 is replaced by the following:

‘Article 12

Limitation of the effects of a European
  Union
  trade mark

1.   A European
  Union
  trade mark shall not entitle the proprietor to prohibit a third party from using in the course of trade:

(a)

his own personal name or address;

| (b) | signs or indications which are not distinctive or which concern the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of the goods or services; |
| --- | --- |

(b)

signs or indications which are not distinctive or which concern the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of the goods or services;

| (c) | the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of the trade mark, in particular, where the use of the trade mark:








  (i) | is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts; |
| --- | --- | --- |

(c)

the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of the trade mark, in particular, where the use of the trade mark:

(i)

is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts;

| (ii) | is made in comparative advertising satisfying all conditions set forth in Directive 2006/114/EC; |
| --- | --- |

(ii)

is made in comparative advertising satisfying all conditions set forth in Directive 2006/114/EC;

| (iii) | is made to bring to the attention of consumers the resale of genuine goods that have originally been sold by or with the consent of the proprietor of the trade mark; |
| --- | --- |

(iii)

is made to bring to the attention of consumers the resale of genuine goods that have originally been sold by or with the consent of the proprietor of the trade mark;

| (iv) | is made to put forward a legitimate alternative to the goods or services of the proprietor of the trade mark; |
| --- | --- |

(iv)

is made to put forward a legitimate alternative to the goods or services of the proprietor of the trade mark;

| (v) | is made for the purposes of parody, artistic expression, criticism or comment. |
| --- | --- |

(v)

is made for the purposes of parody, artistic expression, criticism or comment.

The first subparagraph

  This paragraph
  shall only apply where the use made by the third party is in accordance with honest practices in industrial or commercial matters.

2.   The use by a third party shall be considered not to be in accordance with honest practices, in particular in any of the following cases:

| (a) | where
  it gives the impression that there is a commercial connection between the third party and the proprietor of the trade mark; |
| --- | --- |

(a)

where
  it gives the impression that there is a commercial connection between the third party and the proprietor of the trade mark;

| (b) | where
  it takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the trade mark without due cause. |
| --- | --- |

(b)

where
  it takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the trade mark without due cause.

2a.
     
  The trade mark shall not entitle the proprietor to prohibit a third party from using the trade mark for a due cause for any non-commercial use of a mark.

2b.
     
  The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade, an earlier right which only applies in a particular locality if that right is recognised by the laws of the Member State in question and within the limits of the territory in which it is recognised.
  ’; [Am. 29]

| (15) | In Article 13(1), the words ‘in the Community’ are

  is
  replaced by ‘in the European Economic Area’.;

  the following:




  ‘1.
     
  A European Union trade mark shall not entitle the proprietor to prohibit its use in relation to goods which have been put on the market in the European Economic Area under that trade mark by the proprietor or with his consent.’; [Am. 30] |
| --- | --- |

(15)

In Article 13(1), the words ‘in the Community’ are

  is
  replaced by ‘in the European Economic Area’.;

  the following:

‘1.
     
  A European Union trade mark shall not entitle the proprietor to prohibit its use in relation to goods which have been put on the market in the European Economic Area under that trade mark by the proprietor or with his consent.’; [Am. 30]

| (16) | The following Article is inserted:
  ‘Article 13a
  Intervening right of the proprietor of a later registered trade mark as defence in infringement proceedings
  1.   In infringement proceedings, the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered European
  Union
  trade mark where that later trade mark shall not be declared invalid pursuant to Articles 53(3) and (4), 54(1) and (2) and 57(2).
  2.   In infringement proceedings, the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered national trade mark where that later registered national trade mark shall not be declared invalid pursuant to Articles 8, 9(1) and (2) and 48(3) of Directive [xxx].
  3.   Where the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered trade mark pursuant to paragraphs 1 or 2, the proprietor of that later registered trade mark shall not be entitled to prohibit the use of that earlier European
  Union
  trade mark in infringement proceedings.’; |
| --- | --- |

(16)

The following Article is inserted:

‘Article 13a

Intervening right of the proprietor of a later registered trade mark as defence in infringement proceedings

1.   In infringement proceedings, the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered European
  Union
  trade mark where that later trade mark shall not be declared invalid pursuant to Articles 53(3) and (4), 54(1) and (2) and 57(2).

2.   In infringement proceedings, the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered national trade mark where that later registered national trade mark shall not be declared invalid pursuant to Articles 8, 9(1) and (2) and 48(3) of Directive [xxx].

3.   Where the proprietor of a European
  Union
  trade mark shall not be entitled to prohibit the use of a later registered trade mark pursuant to paragraphs 1 or 2, the proprietor of that later registered trade mark shall not be entitled to prohibit the use of that earlier European
  Union
  trade mark in infringement proceedings.’;

| (17) | In Article 15(1), the second subparagraph is replaced by the following:
  ‘The following shall also constitute use within the meaning of the first paragraph:






  (a) | use of the European
  Union
  trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it was registered, regardless of whether or not the trade mark in the form as used is also registered; |
| --- | --- | --- |

(17)

In Article 15(1), the second subparagraph is replaced by the following:

‘The following shall also constitute use within the meaning of the first paragraph:

(a)

use of the European
  Union
  trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it was registered, regardless of whether or not the trade mark in the form as used is also registered;

| (b) | affixing of the European
  Union
  trade mark to goods or to the packaging thereof in the Union solely for export purposes.’; |
| --- | --- |

(b)

affixing of the European
  Union
  trade mark to goods or to the packaging thereof in the Union solely for export purposes.’;

| (18) | In Article 16(1), the introductory phrase is replaced by the following:
  ‘1.   Unless Articles 17 to 24 provide otherwise, a European
  Union
  trade mark as an object of property shall be dealt with in its entirety, and for the whole area of the Union, as a national trade mark registered in the Member State in which, according to the Register of European
  Union
  trade marks (hereinafter “the Register”):’; |
| --- | --- |

(18)

In Article 16(1), the introductory phrase is replaced by the following:

‘1.   Unless Articles 17 to 24 provide otherwise, a European
  Union
  trade mark as an object of property shall be dealt with in its entirety, and for the whole area of the Union, as a national trade mark registered in the Member State in which, according to the Register of European
  Union
  trade marks (hereinafter “the Register”):’;

| (19) | In Article 17, paragraph 4 is deleted; |
| --- | --- |

(19)

In Article 17, paragraph 4 is deleted;

| (20) | Article 18 is replaced by the following:
  ‘Article 18
  Transfer of a trade mark registered in the name of an agent
  1.   Where a European
  Union
  trade mark is registered in the name of the agent or representative of a person who is the proprietor of that trade mark, without the proprietor's authorisation, the latter shall be entitled to demand the assignment of the European
  Union
  trade mark in his favour, unless such agent or representative justifies his action.
  2.   The proprietor may submit a request for assignment pursuant to paragraph 1 to the following:






  (a) | the Agency, instead of an application for a declaration of invalidity based on Article 53(1)(b); |
| --- | --- | --- |

(20)

Article 18 is replaced by the following:

‘Article 18

Transfer of a trade mark registered in the name of an agent

1.   Where a European
  Union
  trade mark is registered in the name of the agent or representative of a person who is the proprietor of that trade mark, without the proprietor's authorisation, the latter shall be entitled to demand the assignment of the European
  Union
  trade mark in his favour, unless such agent or representative justifies his action.

2.   The proprietor may submit a request for assignment pursuant to paragraph 1 to the following:

(a)

the Agency, instead of an application for a declaration of invalidity based on Article 53(1)(b);

| (b) | a European
  Union
  trade mark court as referred to in Article 95, instead of a counterclaim for a declaration of invalidity based on Article 100(1).’; |
| --- | --- |

(b)

a European
  Union
  trade mark court as referred to in Article 95, instead of a counterclaim for a declaration of invalidity based on Article 100(1).’;

| (21) | Article 19 is amended as follows:






  (a) | paragraph 2 is replaced by the following:
  ‘2.   On request of one of the parties, the rights referred to in paragraph 1 or the transfer of those rights shall be entered in the Register and published.’; |
| --- | --- | --- |

(21)

Article 19 is amended as follows:

(a)

paragraph 2 is replaced by the following:

‘2.   On request of one of the parties, the rights referred to in paragraph 1 or the transfer of those rights shall be entered in the Register and published.’;

| (b) | the following paragraph is added:
  ‘3.   An entry in the Register effected pursuant to paragraph 2 shall be cancelled or modified on request of one of the parties.’; |
| --- | --- |

(b)

the following paragraph is added:

‘3.   An entry in the Register effected pursuant to paragraph 2 shall be cancelled or modified on request of one of the parties.’;

| (22) | In Article 20, the following paragraph is added:
  ‘4.   An entry in the Register effected pursuant to paragraph 3 shall be cancelled or modified on request of one of the parties.’; |
| --- | --- |

(22)

In Article 20, the following paragraph is added:

‘4.   An entry in the Register effected pursuant to paragraph 3 shall be cancelled or modified on request of one of the parties.’;

| (23) | In Article 22, the following paragraph is added:
  ‘6.   An entry in the Register effected pursuant to paragraph 5 shall be cancelled or modified on request of one of the parties.’; |
| --- | --- |

(23)

In Article 22, the following paragraph is added:

‘6.   An entry in the Register effected pursuant to paragraph 5 shall be cancelled or modified on request of one of the parties.’;

| (24) | In Title II, the following Section is inserted:
  ‘SECTION 5
  Delegation of powers
  Article 24a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the obligation of the applicant to provide a translation or transcription as referred to in Article 7(2)(b) in the language of the application; |
| --- | --- | --- |

(24)

In Title II, the following Section is inserted:

‘SECTION 5

Delegation of powers

Article 24a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the obligation of the applicant to provide a translation or transcription as referred to in Article 7(2)(b) in the language of the application;

| (b) | the procedure for entering a transfer as referred to in Article 17(5) in the Register; |
| --- | --- |

(b)

the procedure for entering a transfer as referred to in Article 17(5) in the Register;

| (c) | the procedure for entering the creation or transfer of a right in rem as referred to in Article 19(2) in the Register; |
| --- | --- |

(c)

the procedure for entering the creation or transfer of a right in rem as referred to in Article 19(2) in the Register;

| (d) | the procedure for entering levy of execution as referred to in Article 20(3) in the Register; |
| --- | --- |

(d)

the procedure for entering levy of execution as referred to in Article 20(3) in the Register;

| (e) | the procedure for entering the involvement in an insolvency procedure as referred to in Article 21(3) in the Register; |
| --- | --- |

(e)

the procedure for entering the involvement in an insolvency procedure as referred to in Article 21(3) in the Register;

| (f) | the procedure for entering the grant or transfer of a license as referred to in Article 22(5) in the Register; |
| --- | --- |

(f)

the procedure for entering the grant or transfer of a license as referred to in Article 22(5) in the Register;

| (g) | the procedure for cancelling or modifying the entry in the Register of a right in rem, levy of execution or a license, as referred to in Articles 19(3), 20(4) and 22(6) respectively.’; |
| --- | --- |

(g)

the procedure for cancelling or modifying the entry in the Register of a right in rem, levy of execution or a license, as referred to in Articles 19(3), 20(4) and 22(6) respectively.’;

| (25) | Article 25 is replaced by the following:
  ‘Article 25
  Filing of applications
  An application for a European
  Union
  trade mark shall be filed at the Agency.’; |
| --- | --- |

(25)

Article 25 is replaced by the following:

‘Article 25

Filing of applications

An application for a European
  Union
  trade mark shall be filed at the Agency.’;

| (26) | Article 26 is amended as follows:






  (a) | in paragraph 1, point (d) is replaced by the following:






  ‘(d) | a representation of the mark which satisfies the requirements set out in Article 4(b).’; |
| --- | --- | --- | --- |

(26)

Article 26 is amended as follows:

(a)

in paragraph 1, point (d) is replaced by the following:

‘(d)

a representation of the mark which satisfies the requirements set out in Article 4(b).’;

| (aa) | paragraph 2 is replaced by the following:




  ‘2.
     
  The application for a European Union trade mark shall be subject to the payment of the application fee. The application fee shall consist of:










  (a) | the basic fee; |
| --- | --- | --- |

(aa)

paragraph 2 is replaced by the following:

‘2.
     
  The application for a European Union trade mark shall be subject to the payment of the application fee. The application fee shall consist of:

(a)

the basic fee;

| (b) | the class fees for the classes exceeding one to which the goods or services belong in accordance with Article 28; |
| --- | --- |

(b)

the class fees for the classes exceeding one to which the goods or services belong in accordance with Article 28;

| (c) | where applicable, the search fee referred to in Article 38(2). |
| --- | --- |

(c)

where applicable, the search fee referred to in Article 38(2).

The applicant shall give the order for payment of the application fee at the latest on the date on which he files his application.’; [Am. 31]

| (b) | paragraph 3 is replaced by the following:
  ‘3.   In addition to the requirements referred to in paragraphs 1 and 2, an application for a European
  Union
  trade mark shall comply with the formal conditions established in accordance with Article 35a(b). If those conditions provide for the trade mark to be represented electronically, the Executive Director of the Agency may determine the formats and maximum size of such an electronic file.’; |
| --- | --- |

(b)

paragraph 3 is replaced by the following:

‘3.   In addition to the requirements referred to in paragraphs 1 and 2, an application for a European
  Union
  trade mark shall comply with the formal conditions established in accordance with Article 35a(b). If those conditions provide for the trade mark to be represented electronically, the Executive Director of the Agency may determine the formats and maximum size of such an electronic file.’;

| (27) | Article 27 is replaced by the following:
  ‘Article 27
  Date of filing
  The date of filing of a European
  Union
  trade mark application shall be the date on which documents containing the information specified in Article 26(1) are filed with the Agency by the applicant, subject to
  the order for
  payment of the application fee for which the order for payment shall have been given at the latest on that date

  within a period of 21 days of filing the abovementioned documents
  .’; [Am. 32] |
| --- | --- |

(27)

Article 27 is replaced by the following:

‘Article 27

Date of filing

The date of filing of a European
  Union
  trade mark application shall be the date on which documents containing the information specified in Article 26(1) are filed with the Agency by the applicant, subject to
  the order for
  payment of the application fee for which the order for payment shall have been given at the latest on that date

  within a period of 21 days of filing the abovementioned documents
  .’; [Am. 32]

| (28) | Article 28 is replaced by the following:
  ‘Article 28
  Designation and classification of goods and services
  1.   Goods and services in respect of which registration is applied for shall be classified in conformity with the system of classification established by the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957 (hereinafter referred to as the “Nice Classification”).
  2.   The goods and services for which the protection of the trade mark is sought shall be identified by the applicant with sufficient clarity and precision to enable the competent authorities and economic operators, on that sole basis, to determine the extent of the protection sought. The list of goods and services shall allow each item to be classified in only one class of the Nice Classification.
  3.   For the purposes of paragraph 2, the general indications included in the class headings of the Nice Classification or other general terms may be used, provided that they comply with the requisite standards of clarity and precision.
  4.   The Agency shall reject the application in respect of indications or terms which are unclear or imprecise, if the applicant does not suggest an acceptable wording within a period set by the Agency to that effect.
  5.   The use of general terms, including the general indications of the class headings of the Nice Classification, shall be interpreted as including all the goods or services clearly covered by the literal meaning of the indication or term. The use of such terms or indications shall not be interpreted as comprising a claim to goods or services which cannot be so understood.
  6.   Where the applicant requests registration for more than one class, the
  applicant shall group the
  goods and services shall be grouped according to the classes of the Nice Classification, each group being preceded by the number of the class to which that group of goods or services belongs and presented

  shall present them
  in the order of the classes. [Am. 33]

  7.   The classification of goods and services shall serve exclusively administrative purposes. Goods and services shall not be regarded as being similar to each other on the ground that they appear in the same class under the Nice Classification, and goods and services shall not be regarded as being dissimilar from each other on the ground that they appear in different classes under the Nice Classification.
  8.   Proprietors of European
  Union
  trade marks applied for before 22 June 2012 which are registered solely in respect of the entire heading of a Nice class, may declare that their intention on the date of filing had been to seek protection in respect of goods or services beyond those covered by the literal meaning of the heading of that class, provided that the goods or services so designated are included in the alphabetical list for that class of the edition of the Nice classification in force at the date of filing. [Am. 34]

  The declaration shall be filed at the Agency within 4

  six
  months from the entry into force of this Regulation, and shall indicate, in a clear, precise and specific manner, the goods and services, other than those clearly covered by the literal meaning of the indications of the class heading, originally covered by the proprietor's intention. The Agency shall take appropriate measures to amend the Register accordingly. This possibility is without prejudice to the application of Articles

  Article
  15,
  Article
  42(2),
  point (a) of Article
  51(1)(a) and
  Article
  57(2). [Am. 35]

  European
  Union
  trade marks for which no declaration is filed within the period referred to in the second subparagraph shall be deemed to extend, as from the expiry of that period, only to goods or services clearly covered by the literal meaning of the indications included in the heading of the relevant class.


  8a.
     
  Where the register is amended, the exclusive rights conferred by the European Union trade mark under Article 9 shall not prevent any third party from continuing to use a trade mark in relation to goods or services where and to the extent that:










  (a) | the use of the trade mark for those goods or services commenced before the register was amended, and |
| --- | --- | --- |

(28)

Article 28 is replaced by the following:

‘Article 28

Designation and classification of goods and services

1.   Goods and services in respect of which registration is applied for shall be classified in conformity with the system of classification established by the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957 (hereinafter referred to as the “Nice Classification”).

2.   The goods and services for which the protection of the trade mark is sought shall be identified by the applicant with sufficient clarity and precision to enable the competent authorities and economic operators, on that sole basis, to determine the extent of the protection sought. The list of goods and services shall allow each item to be classified in only one class of the Nice Classification.

3.   For the purposes of paragraph 2, the general indications included in the class headings of the Nice Classification or other general terms may be used, provided that they comply with the requisite standards of clarity and precision.

4.   The Agency shall reject the application in respect of indications or terms which are unclear or imprecise, if the applicant does not suggest an acceptable wording within a period set by the Agency to that effect.

5.   The use of general terms, including the general indications of the class headings of the Nice Classification, shall be interpreted as including all the goods or services clearly covered by the literal meaning of the indication or term. The use of such terms or indications shall not be interpreted as comprising a claim to goods or services which cannot be so understood.

6.   Where the applicant requests registration for more than one class, the
  applicant shall group the
  goods and services shall be grouped according to the classes of the Nice Classification, each group being preceded by the number of the class to which that group of goods or services belongs and presented

  shall present them
  in the order of the classes. [Am. 33]

7.   The classification of goods and services shall serve exclusively administrative purposes. Goods and services shall not be regarded as being similar to each other on the ground that they appear in the same class under the Nice Classification, and goods and services shall not be regarded as being dissimilar from each other on the ground that they appear in different classes under the Nice Classification.

8.   Proprietors of European
  Union
  trade marks applied for before 22 June 2012 which are registered solely in respect of the entire heading of a Nice class, may declare that their intention on the date of filing had been to seek protection in respect of goods or services beyond those covered by the literal meaning of the heading of that class, provided that the goods or services so designated are included in the alphabetical list for that class of the edition of the Nice classification in force at the date of filing. [Am. 34]

The declaration shall be filed at the Agency within 4

  six
  months from the entry into force of this Regulation, and shall indicate, in a clear, precise and specific manner, the goods and services, other than those clearly covered by the literal meaning of the indications of the class heading, originally covered by the proprietor's intention. The Agency shall take appropriate measures to amend the Register accordingly. This possibility is without prejudice to the application of Articles

  Article
  15,
  Article
  42(2),
  point (a) of Article
  51(1)(a) and
  Article
  57(2). [Am. 35]

European
  Union
  trade marks for which no declaration is filed within the period referred to in the second subparagraph shall be deemed to extend, as from the expiry of that period, only to goods or services clearly covered by the literal meaning of the indications included in the heading of the relevant class.

8a.
     
  Where the register is amended, the exclusive rights conferred by the European Union trade mark under Article 9 shall not prevent any third party from continuing to use a trade mark in relation to goods or services where and to the extent that:

(a)

the use of the trade mark for those goods or services commenced before the register was amended, and

| (b) | the use of the trade mark in relation to those goods or services did not infringe the proprietor's rights based on the literal meaning of the record of the goods and services in the register at that time. |
| --- | --- |

(b)

the use of the trade mark in relation to those goods or services did not infringe the proprietor's rights based on the literal meaning of the record of the goods and services in the register at that time.

In addition, the amendment of the list of goods or services recorded in the register shall not give the proprietor of the European Union trade mark the right to oppose or to apply for a declaration of invalidity of a later trade mark where and to the extent that:

| (a) | the later trade mark was either in use, or an application had been made to register the trade mark, for goods or services before the register was amended, and |
| --- | --- |

(a)

the later trade mark was either in use, or an application had been made to register the trade mark, for goods or services before the register was amended, and

| (b) | the use of the trade mark in relation to those goods or services did not infringe, or would not have infringed, the proprietor's rights based on the literal meaning of the record of the goods and services in the register at that time.
  ’; [Am. 36] |
| --- | --- |

(b)

the use of the trade mark in relation to those goods or services did not infringe, or would not have infringed, the proprietor's rights based on the literal meaning of the record of the goods and services in the register at that time.
  ’; [Am. 36]

| (29) | In Article 29(5), the following sentence is added:
  ‘If necessary, the Executive Director of the Agency shall request the Commission to consider enquiring

  enquire
  whether a State within the meaning of the first sentence accords that reciprocal treatment.’; [Am. 37] |
| --- | --- |

(29)

In Article 29(5), the following sentence is added:

‘If necessary, the Executive Director of the Agency shall request the Commission to consider enquiring

  enquire
  whether a State within the meaning of the first sentence accords that reciprocal treatment.’; [Am. 37]

| (30) | Article 30 is replaced by the following:
  ‘Article 30
  Claiming priority
  1.   Priority claims shall be filed together with the European
  Union
  trade mark application and shall include the date, number and country of the previous application.
  The applicant shall file a copy of the previous application within three months from the filing date. If the previous application is an application for a European Union trade mark, the Agency shall ex officio include a copy of the previous application in the file. [Am. 38]

  2.   The Executive Director of the Agency may determine that additional information and documentation to be provided by the applicant in support of the priority claim may consist of less than is required under the rules adopted in accordance with Article 35a(d), provided that the information required is available to the Agency from other sources.’; |
| --- | --- |

(30)

Article 30 is replaced by the following:

‘Article 30

Claiming priority

1.   Priority claims shall be filed together with the European
  Union
  trade mark application and shall include the date, number and country of the previous application.
  The applicant shall file a copy of the previous application within three months from the filing date. If the previous application is an application for a European Union trade mark, the Agency shall ex officio include a copy of the previous application in the file. [Am. 38]

2.   The Executive Director of the Agency may determine that additional information and documentation to be provided by the applicant in support of the priority claim may consist of less than is required under the rules adopted in accordance with Article 35a(d), provided that the information required is available to the Agency from other sources.’;

| (31) | Article 33 is amended as follows:






  (a) | in paragraph 1, the following sentence is added:
  ‘The priority claim shall be filed together with the European
  Union
  trade mark application.’; |
| --- | --- | --- |

(31)

Article 33 is amended as follows:

(a)

in paragraph 1, the following sentence is added:

‘The priority claim shall be filed together with the European
  Union
  trade mark application.’;

| (b) | paragraph 2 is replaced by the following:
  ‘2.   An applicant who wishes to claim priority pursuant to paragraph 1 shall file evidence of the display of goods or services under the mark applied for.’; |
| --- | --- |

(b)

paragraph 2 is replaced by the following:

‘2.   An applicant who wishes to claim priority pursuant to paragraph 1 shall file evidence of the display of goods or services under the mark applied for.’;

| (32) | In Article 34, paragraph 3 is replaced by the following:
  ‘3.   The seniority claimed for the European
  Union
  trade mark shall lapse where the earlier trade mark the seniority of which is claimed is declared to be invalid or revoked. Where the earlier trade mark is revoked, the seniority shall lapse provided that the revocation takes effect prior to the filing date or priority date of the European
  Union
  trade mark.’; |
| --- | --- |

(32)

In Article 34, paragraph 3 is replaced by the following:

‘3.   The seniority claimed for the European
  Union
  trade mark shall lapse where the earlier trade mark the seniority of which is claimed is declared to be invalid or revoked. Where the earlier trade mark is revoked, the seniority shall lapse provided that the revocation takes effect prior to the filing date or priority date of the European
  Union
  trade mark.’;

| (33) | In Title III, the following Section is inserted:
  ‘SECTION 5
  Delegation of powers
  Article 35a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the means and modalities of filing an application for a European
  Union
  trade mark with the Agency in accordance with Article 25; |
| --- | --- | --- |

(33)

In Title III, the following Section is inserted:

‘SECTION 5

Delegation of powers

Article 35a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the means and modalities of filing an application for a European
  Union
  trade mark with the Agency in accordance with Article 25;

| (b) | the details regarding the
  formal
  content of the application for a European
  Union
  trade mark referred to in Article 26(1), the type of fees payable for the application referred to in Article 26(2), including the number of classes of goods and services covered by those fees, and the formal conditions of the application referred to in Article 26(3); [Am. 39] |
| --- | --- |

(b)

the details regarding the
  formal
  content of the application for a European
  Union
  trade mark referred to in Article 26(1), the type of fees payable for the application referred to in Article 26(2), including the number of classes of goods and services covered by those fees, and the formal conditions of the application referred to in Article 26(3); [Am. 39]

| (c) | the procedures for ascertaining reciprocity in accordance with Article 29(5); |
| --- | --- |

(c)

the procedures for ascertaining reciprocity in accordance with Article 29(5);

| (d) | the procedure and the rules on information and documentation for claiming the priority of a previous application in accordance with Article 30; |
| --- | --- |

(d)

the procedure and the rules on information and documentation for claiming the priority of a previous application in accordance with Article 30;

| (e) | the procedure and the rules on evidence for claiming an exhibition priority in accordance with Article 33(1); |
| --- | --- |

(e)

the procedure and the rules on evidence for claiming an exhibition priority in accordance with Article 33(1);

| (f) | the procedure for claiming the seniority of a national trade mark in accordance with Article 34(1) and Article 35(1).’; |
| --- | --- |

(f)

the procedure for claiming the seniority of a national trade mark in accordance with Article 34(1) and Article 35(1).’;

| (34) | In Article 36(1), point (b) is replaced by the following:






  ‘(b) | the European
  Union
  trade mark application complies with the conditions laid down in this Regulation and with the formal conditions referred to in Article 26(3).’; |
| --- | --- | --- |

(34)

In Article 36(1), point (b) is replaced by the following:

‘(b)

the European
  Union
  trade mark application complies with the conditions laid down in this Regulation and with the formal conditions referred to in Article 26(3).’;

| (35) | In Article 37, paragraph 2 is deleted; |
| --- | --- |

(35)

In Article 37, paragraph 2 is deleted;

| (36) | In Title IV, Section 2 is deleted; |
| --- | --- |

(36)

In Title IV, Section 2 is deleted;

| (37) | Article 39 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   If the conditions which the application for a European
  Union
  trade mark must satisfy have been fulfilled, the application shall be published for the purposes of Article 42 to the extent that it has not been refused pursuant to Article 37. The publication of the application shall be without prejudice to information already made available to the public otherwise in accordance with this Regulation or with delegated acts adopted pursuant to this Regulation.’; |
| --- | --- | --- |

(37)

Article 39 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   If the conditions which the application for a European
  Union
  trade mark must satisfy have been fulfilled, the application shall be published for the purposes of Article 42 to the extent that it has not been refused pursuant to Article 37. The publication of the application shall be without prejudice to information already made available to the public otherwise in accordance with this Regulation or with delegated acts adopted pursuant to this Regulation.’;

| (b) | the following paragraph is added:
  ‘3.   The Agency shall correct any mistakes or errors in the publication of the application.’; |
| --- | --- |

(b)

the following paragraph is added:

‘3.   The Agency shall correct any mistakes or errors in the publication of the application.’;

| (38) | Article 40 is replaced by the following:
  ‘Article 40
  Observations by third parties
  1.   Any natural or legal person and any group or body representing manufacturers, producers, suppliers of services, traders or consumers may submit to the Agency written observations, explaining on which grounds under Articles 5 and 7, the trade mark shall not be registered ex officio.
  They shall not be parties to the proceedings before the Agency.
  2.   Third party observations shall be submitted before the end of the opposition period or, where an opposition against the trade mark has been filed, before the final decision on the opposition is taken.
  3.   The submission referred to in paragraph 1 shall be without prejudice to the right of the Agency to re-open the examination of absolute grounds of its own initiative any time before registration, where appropriate.
  4.   The observations referred to in paragraph 1 shall be communicated to the applicant who may comment on them.’; |
| --- | --- |

(38)

Article 40 is replaced by the following:

‘Article 40

Observations by third parties

1.   Any natural or legal person and any group or body representing manufacturers, producers, suppliers of services, traders or consumers may submit to the Agency written observations, explaining on which grounds under Articles 5 and 7, the trade mark shall not be registered ex officio.

They shall not be parties to the proceedings before the Agency.

2.   Third party observations shall be submitted before the end of the opposition period or, where an opposition against the trade mark has been filed, before the final decision on the opposition is taken.

3.   The submission referred to in paragraph 1 shall be without prejudice to the right of the Agency to re-open the examination of absolute grounds of its own initiative any time before registration, where appropriate.

4.   The observations referred to in paragraph 1 shall be communicated to the applicant who may comment on them.’;

| (39) | In Article 41, paragraph 3 is replaced by the following:
  ‘3.   Opposition shall be expressed in writing, and shall specify the grounds on which it is made. It shall not be treated as duly entered until the opposition fee has been paid.
  4.   Within a period fixed by the Agency, the opponent may submit facts, evidence and arguments in support of his case.’; |
| --- | --- |

(39)

In Article 41, paragraph 3 is replaced by the following:

‘3.   Opposition shall be expressed in writing, and shall specify the grounds on which it is made. It shall not be treated as duly entered until the opposition fee has been paid.

4.   Within a period fixed by the Agency, the opponent may submit facts, evidence and arguments in support of his case.’;

| (40) | In Article 42(2), first sentence, the phrase ‘during the period of five years preceding the date of publication’ is replaced by ‘during the period of five years preceding the date of filing or the date of priority’;

  the following:




  ‘2.
     
  If the applicant so requests, the proprietor of an earlier European Union trade mark who has given notice of opposition shall furnish proof that, during the period of five years preceding the date of filing or the date of priority of the European Union trade mark application, the earlier European Union trade mark has been put to genuine use in the Union in connection with the goods or services in respect of which it is registered and which he cites as justification for his opposition, or that there are proper reasons for non-use, provided the earlier European Union trade mark has at that date been registered for not less than five years. In the absence of proof to this effect, the opposition shall be rejected. If the earlier European Union trade mark has been used in relation to part only of the goods or services for which it is registered it shall, for the purposes of the examination of the opposition, be deemed to be registered in respect only of that part of the goods or services’; [Am. 40] |
| --- | --- |

(40)

In Article 42(2), first sentence, the phrase ‘during the period of five years preceding the date of publication’ is replaced by ‘during the period of five years preceding the date of filing or the date of priority’;

  the following:

‘2.
     
  If the applicant so requests, the proprietor of an earlier European Union trade mark who has given notice of opposition shall furnish proof that, during the period of five years preceding the date of filing or the date of priority of the European Union trade mark application, the earlier European Union trade mark has been put to genuine use in the Union in connection with the goods or services in respect of which it is registered and which he cites as justification for his opposition, or that there are proper reasons for non-use, provided the earlier European Union trade mark has at that date been registered for not less than five years. In the absence of proof to this effect, the opposition shall be rejected. If the earlier European Union trade mark has been used in relation to part only of the goods or services for which it is registered it shall, for the purposes of the examination of the opposition, be deemed to be registered in respect only of that part of the goods or services’; [Am. 40]

| (41) | Article 44 is amended as follows:






  (a) | in paragraph 2, point (b) is replaced by the following:






  ‘(b) | before the date of filing referred to in Article 27 has been accorded by the Agency and during the opposition period provided for in Article 41(1).’; |
| --- | --- | --- | --- |

(41)

Article 44 is amended as follows:

(a)

in paragraph 2, point (b) is replaced by the following:

‘(b)

before the date of filing referred to in Article 27 has been accorded by the Agency and during the opposition period provided for in Article 41(1).’;

| (b) | paragraph 3 is deleted; |
| --- | --- |

(b)

paragraph 3 is deleted;

| (42) | Article 45 is replaced by the following:
  ‘Article 45
  Registration
  1.   Where an application meets the requirements of this Regulation and where no notice of opposition has been given within the period referred to in Article 41(1) or where opposition has been rejected by a final decision, the trade mark shall be registered as a European
  Union
  trade mark. The registration shall be published.
  2.   The Agency shall issue a certificate of registration. The certificate may be issued by electronic means.
  3.   The proprietor of a registered European
  Union
  trade mark shall have the right to use in connection with the goods and services covered by the registration a symbol right next to the trade mark attesting that the trade mark is registered in the Union only as long as the registration remains in force. The exact configuration of that symbol shall be decided by the Executive Director of the Agency.
  4.   The registered trade mark symbol shall not be used by any person other than the proprietor of the mark, or without the proprietor's consent. The proprietor of the trade mark shall not use the trade mark symbol before the mark is registered or after the revocation, declaration of invalidity, expiry or surrender of the trade mark.’; |
| --- | --- |

(42)

Article 45 is replaced by the following:

‘Article 45

Registration

1.   Where an application meets the requirements of this Regulation and where no notice of opposition has been given within the period referred to in Article 41(1) or where opposition has been rejected by a final decision, the trade mark shall be registered as a European
  Union
  trade mark. The registration shall be published.

2.   The Agency shall issue a certificate of registration. The certificate may be issued by electronic means.

3.   The proprietor of a registered European
  Union
  trade mark shall have the right to use in connection with the goods and services covered by the registration a symbol right next to the trade mark attesting that the trade mark is registered in the Union only as long as the registration remains in force. The exact configuration of that symbol shall be decided by the Executive Director of the Agency.

4.   The registered trade mark symbol shall not be used by any person other than the proprietor of the mark, or without the proprietor's consent. The proprietor of the trade mark shall not use the trade mark symbol before the mark is registered or after the revocation, declaration of invalidity, expiry or surrender of the trade mark.’;

| (43) | In Title IV, the following Section is inserted:
  ‘SECTION 7
  Delegation of powers
  Article 45a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the procedure for the examination of compliance with the requirements for a filing date referred to in Article 36(1)(a) and with the formal conditions referred to in Article 26(3) and the procedure for verifying payment of the class fees referred to in Article 36(1)(c); |
| --- | --- | --- |

(43)

In Title IV, the following Section is inserted:

‘SECTION 7

Delegation of powers

Article 45a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the procedure for the examination of compliance with the requirements for a filing date referred to in Article 36(1)(a) and with the formal conditions referred to in Article 26(3) and the procedure for verifying payment of the class fees referred to in Article 36(1)(c);

| (b) | the procedure for the examination of the absolute grounds for refusal as referred to in Article 37; |
| --- | --- |

(b)

the procedure for the examination of the absolute grounds for refusal as referred to in Article 37;

| (c) | the details which the publication of the application referred to in Article 39(1) shall contain; |
| --- | --- |

(c)

the details which the publication of the application referred to in Article 39(1) shall contain;

| (d) | the procedure for correcting mistakes and errors in publications of European
  Union
  trade mark applications referred to in Article 39(3); |
| --- | --- |

(d)

the procedure for correcting mistakes and errors in publications of European
  Union
  trade mark applications referred to in Article 39(3);

| (e) | the procedure for the submission of observations by third parties referred to in Article 40; |
| --- | --- |

(e)

the procedure for the submission of observations by third parties referred to in Article 40;

| (f) | the details on the procedure for filing and examining an opposition set out in Articles 41 and 42; |
| --- | --- |

(f)

the details on the procedure for filing and examining an opposition set out in Articles 41 and 42;

| (g) | the procedures governing the amendment of the application pursuant to Article 43(2) and the division of the application pursuant to Article 44; |
| --- | --- |

(g)

the procedures governing the amendment of the application pursuant to Article 43(2) and the division of the application pursuant to Article 44;

| (h) | the particulars to be recorded in the Register when registering a European
  Union
  trade mark and the modalities of the publication of the registration referred to in Article 45(1), the content and the modalities of issue of the certificate of registration referred to in Article 45(2).’; |
| --- | --- |

(h)

the particulars to be recorded in the Register when registering a European
  Union
  trade mark and the modalities of the publication of the registration referred to in Article 45(1), the content and the modalities of issue of the certificate of registration referred to in Article 45(2).’;

| (43a) | In Article 47, the following paragraph is inserted:




  ‘1a.
     
  The fee payable for the renewal of a European Union trade mark shall consist of:










  (a) | a basic fee; |
| --- | --- | --- |

(43a)

In Article 47, the following paragraph is inserted:

‘1a.
     
  The fee payable for the renewal of a European Union trade mark shall consist of:

(a)

a basic fee;

| (b) | the class fees for the classes exceeding one in respect of which renewal is applied for; and |
| --- | --- |

(b)

the class fees for the classes exceeding one in respect of which renewal is applied for; and

| (c) | where applicable, the additional fee for late payment of the renewal fee or late submission of the request for renewal pursuant to paragraph 3’; [Am. 41] |
| --- | --- |

(c)

where applicable, the additional fee for late payment of the renewal fee or late submission of the request for renewal pursuant to paragraph 3’; [Am. 41]

| (44) | In Article 49, paragraph 3 is deleted; |
| --- | --- |

(44)

In Article 49, paragraph 3 is deleted;

| (45) | The following Article is inserted:
  ‘Article 49a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the procedural modalities

  procedure
  for the renewal of the European
  Union
  trade mark pursuant to Article 47, including the type of fees to be paid; [Am. 42] |
| --- | --- | --- |

(45)

The following Article is inserted:

‘Article 49a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the procedural modalities

  procedure
  for the renewal of the European
  Union
  trade mark pursuant to Article 47, including the type of fees to be paid; [Am. 42]

| (b) | the procedure governing the alteration of the registration of a European
  Union
  trade mark provided for in Article 48(2); |
| --- | --- |

(b)

the procedure governing the alteration of the registration of a European
  Union
  trade mark provided for in Article 48(2);

| (c) | the procedure governing the division of a European
  Union
  trade mark provided for in Article 49.’; |
| --- | --- |

(c)

the procedure governing the division of a European
  Union
  trade mark provided for in Article 49.’;

| (46) | In Article 50, paragraphs 2 and 3 are replaced by the following:
  ‘2.   The surrender shall be declared to the Agency in writing by the proprietor of the trade mark. It shall not have effect until it has been entered in the Register. The validity of the surrender of a European
  Union
  trade mark which is declared to the Agency subsequent to the submission of an application for revocation
  or for a declaration of invalidity
  of that trade mark pursuant to Article 56(1) shall be conditional upon the final rejection or withdrawal of the application for revocation
  or for a declaration of invalidity
  . [Am. 43]

  3.   Surrender shall be entered only with the agreement of the proprietor of a right entered in the Register. If a licence has been registered, surrender shall be entered in the Register only if the proprietor of the trade mark proves that he has informed the licensee of his intention to surrender; this entry shall be made on expiry of a period established in accordance with Article 57a(a)

  of three months after the date on which the proprietor of the trade mark satisfies the Agency that he has informed the licensee of his intention to surrender it
  .’; [Am. 44] |
| --- | --- |

(46)

In Article 50, paragraphs 2 and 3 are replaced by the following:

‘2.   The surrender shall be declared to the Agency in writing by the proprietor of the trade mark. It shall not have effect until it has been entered in the Register. The validity of the surrender of a European
  Union
  trade mark which is declared to the Agency subsequent to the submission of an application for revocation
  or for a declaration of invalidity
  of that trade mark pursuant to Article 56(1) shall be conditional upon the final rejection or withdrawal of the application for revocation
  or for a declaration of invalidity
  . [Am. 43]

3.   Surrender shall be entered only with the agreement of the proprietor of a right entered in the Register. If a licence has been registered, surrender shall be entered in the Register only if the proprietor of the trade mark proves that he has informed the licensee of his intention to surrender; this entry shall be made on expiry of a period established in accordance with Article 57a(a)

  of three months after the date on which the proprietor of the trade mark satisfies the Agency that he has informed the licensee of his intention to surrender it
  .’; [Am. 44]

| (47) | In Article 53(1), the following subparagraph is added:
  ‘The conditions referred to in points (a), (b) and (c) of the first subparagraph shall be fulfilled at the filing date or the priority date of the European
  Union
  trade mark.’; |
| --- | --- |

(47)

In Article 53(1), the following subparagraph is added:

‘The conditions referred to in points (a), (b) and (c) of the first subparagraph shall be fulfilled at the filing date or the priority date of the European
  Union
  trade mark.’;

| (48) | In

  Paragraphs 1 and 2 of
  Article 54(1) and (2), the words ‘either’ and ‘or to oppose the use of the later trade mark’ are deleted;

  replaced by the following:




  ‘1.
     
  Where the proprietor of a European Union trade mark has acquiesced, for a period of five successive years, in the use of a later European Union trade mark in the Union while being aware of such use, he shall no longer be entitled on the basis of the earlier trade mark [...] to apply for a declaration that the later trade mark is invalid [...] in respect of the goods or services for which the later trade mark has been used, unless registration of the later European Union trade mark was applied for in bad faith.




  2.
     
  Where the proprietor of an earlier national trade mark as referred to in Article 8(2) or of another earlier sign referred to in Article 8(4) has acquiesced, for a period of five successive years, in the use of a later European Union trade mark in the Member State in which the earlier trade mark or the other earlier sign is protected while being aware of such use, he shall no longer be entitled on the basis of the earlier trade mark or of the other earlier sign [...] to apply for a declaration that the later trade mark is invalid [...] in respect of the goods or services for which the later trade mark has been used, unless registration of the later European Union trade mark was applied for in bad faith.’; [Am. 45] |
| --- | --- |

(48)

In

  Paragraphs 1 and 2 of
  Article 54(1) and (2), the words ‘either’ and ‘or to oppose the use of the later trade mark’ are deleted;

  replaced by the following:

‘1.
     
  Where the proprietor of a European Union trade mark has acquiesced, for a period of five successive years, in the use of a later European Union trade mark in the Union while being aware of such use, he shall no longer be entitled on the basis of the earlier trade mark [...] to apply for a declaration that the later trade mark is invalid [...] in respect of the goods or services for which the later trade mark has been used, unless registration of the later European Union trade mark was applied for in bad faith.

2.
     
  Where the proprietor of an earlier national trade mark as referred to in Article 8(2) or of another earlier sign referred to in Article 8(4) has acquiesced, for a period of five successive years, in the use of a later European Union trade mark in the Member State in which the earlier trade mark or the other earlier sign is protected while being aware of such use, he shall no longer be entitled on the basis of the earlier trade mark or of the other earlier sign [...] to apply for a declaration that the later trade mark is invalid [...] in respect of the goods or services for which the later trade mark has been used, unless registration of the later European Union trade mark was applied for in bad faith.’; [Am. 45]

| (49) | Article 56 is amended as follows:






  (a) | in paragraph 1, point (c), ‘under the law of the Member State concerned’ is replaced by ‘under Union law or the law of the Member State concerned’; |
| --- | --- | --- |

(49)

Article 56 is amended as follows:

(a)

in paragraph 1, point (c), ‘under the law of the Member State concerned’ is replaced by ‘under Union law or the law of the Member State concerned’;

| (b) | paragraph 3 is replaced by the following:
  ‘3.   An application for revocation or for a declaration of invalidity shall be inadmissible where an application relating to the same subject matter and cause of action, and involving the same parties, has been adjudicated on its merits, either by the Agency or by a European
  Union
  trade mark court as referred to in Article 95 and the decision of the Agency or that court on that application has acquired the authority of a final decision.’; |
| --- | --- |

(b)

paragraph 3 is replaced by the following:

‘3.   An application for revocation or for a declaration of invalidity shall be inadmissible where an application relating to the same subject matter and cause of action, and involving the same parties, has been adjudicated on its merits, either by the Agency or by a European
  Union
  trade mark court as referred to in Article 95 and the decision of the Agency or that court on that application has acquired the authority of a final decision.’;

| (50) | In Article 57(2), second sentence, ‘was published’ is replaced by ‘was filed or at the priority date of the European trade mark application’;

  the following:




  ‘2.
     
  If the proprietor of the European Union trade mark so requests, the proprietor of an earlier European Union trade mark, being a party to the invalidity proceedings, shall furnish proof that, during the period of five years preceding the date of the application for a declaration of invalidity, the earlier European Union trade mark has been put to genuine use in the Union in connection with the goods or services in respect of which it is registered and which he cites as justification for his application, or that there are proper reasons for non-use, provided the earlier European Union trade mark has at that date been registered for not less than five years. If, at the date on which the European Union trade mark application was filed or at the priority date of the European Union trade mark application, the earlier European Union trade mark had been registered for not less than five years, the proprietor of the earlier European Union trade mark shall furnish proof that, in addition, the conditions contained in Article 42(2) were satisfied at that date. In the absence of proof to this effect the application for a declaration of invalidity shall be rejected. If the earlier European Union trade mark has been used in relation to part only of the goods or services for which it is registered, it shall, for the purpose of the examination of the application for a declaration of invalidity, be deemed to be registered in respect only of that part of the goods or services.’; [Am. 46] |
| --- | --- |

(50)

In Article 57(2), second sentence, ‘was published’ is replaced by ‘was filed or at the priority date of the European trade mark application’;

  the following:

‘2.
     
  If the proprietor of the European Union trade mark so requests, the proprietor of an earlier European Union trade mark, being a party to the invalidity proceedings, shall furnish proof that, during the period of five years preceding the date of the application for a declaration of invalidity, the earlier European Union trade mark has been put to genuine use in the Union in connection with the goods or services in respect of which it is registered and which he cites as justification for his application, or that there are proper reasons for non-use, provided the earlier European Union trade mark has at that date been registered for not less than five years. If, at the date on which the European Union trade mark application was filed or at the priority date of the European Union trade mark application, the earlier European Union trade mark had been registered for not less than five years, the proprietor of the earlier European Union trade mark shall furnish proof that, in addition, the conditions contained in Article 42(2) were satisfied at that date. In the absence of proof to this effect the application for a declaration of invalidity shall be rejected. If the earlier European Union trade mark has been used in relation to part only of the goods or services for which it is registered, it shall, for the purpose of the examination of the application for a declaration of invalidity, be deemed to be registered in respect only of that part of the goods or services.’; [Am. 46]

| (51) | In Title VI, the following Section is inserted:
  ‘SECTION 6
  Delegation of powers
  Article 57a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the procedure governing the surrender of a European
  Union
  trade mark set out in Article 50, including the period referred to in paragraph 3 of that Article; [Am. 47] |
| --- | --- | --- |

(51)

In Title VI, the following Section is inserted:

‘SECTION 6

Delegation of powers

Article 57a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the procedure governing the surrender of a European
  Union
  trade mark set out in Article 50, including the period referred to in paragraph 3 of that Article; [Am. 47]

| (b) | the procedures governing the revocation and invalidity of a European
  Union
  trade mark referred to in Articles 56 and 57.’; |
| --- | --- |

(b)

the procedures governing the revocation and invalidity of a European
  Union
  trade mark referred to in Articles 56 and 57.’;

| (52) | Article 58(1) is replaced by the following:
  ‘1.   An appeal shall lie from decisions of any of the decision-making instances of the Agency listed in Article 130 points (a) to (d). Both the appeal period provided for in Article 60 and the filing of the appeal shall have suspensive effect.’; |
| --- | --- |

(52)

Article 58(1) is replaced by the following:

‘1.   An appeal shall lie from decisions of any of the decision-making instances of the Agency listed in Article 130 points (a) to (d). Both the appeal period provided for in Article 60 and the filing of the appeal shall have suspensive effect.’;

| (53) | Article 62 is deleted; |
| --- | --- |

(53)

Article 62 is deleted;

| (54) | Article 64(3) is replaced by the following:
  ‘3.   The decisions of the Boards of Appeal shall take effect only as from the date of expiry of the period referred to in Article 65(5) or, if an action has been brought before the General Court within that period, as from the date of dismissal of such action or of any appeal filed with the Court of Justice against the decision of the General Court.’; |
| --- | --- |

(54)

Article 64(3) is replaced by the following:

‘3.   The decisions of the Boards of Appeal shall take effect only as from the date of expiry of the period referred to in Article 65(5) or, if an action has been brought before the General Court within that period, as from the date of dismissal of such action or of any appeal filed with the Court of Justice against the decision of the General Court.’;

| (55) | Article 65 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   Actions may be brought before the General Court against decisions of the Boards of Appeal on appeals.’; |
| --- | --- | --- |

(55)

Article 65 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   Actions may be brought before the General Court against decisions of the Boards of Appeal on appeals.’;

| (b) | paragraph 3 is replaced by the following:
  ‘3.   The General Court shall have jurisdiction to annul or to alter the contested decision.’; |
| --- | --- |

(b)

paragraph 3 is replaced by the following:

‘3.   The General Court shall have jurisdiction to annul or to alter the contested decision.’;

| (c) | paragraphs 5 and 6 are replaced by the following:
  ‘5.   The action shall be brought before the General Court within two months of the date of notification of the decision of the Board of Appeal.
  6.   The Agency shall take the necessary measures to comply with the judgment of the General Court or, in case of appeal against that judgment, the Court of Justice.’; |
| --- | --- |

(c)

paragraphs 5 and 6 are replaced by the following:

‘5.   The action shall be brought before the General Court within two months of the date of notification of the decision of the Board of Appeal.

6.   The Agency shall take the necessary measures to comply with the judgment of the General Court or, in case of appeal against that judgment, the Court of Justice.’;

| (56) | The following Article is inserted:
  ‘Article 65a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the
  formal
  content of the notice of appeal referred to in Article 60 and the procedure for the filing and the examination of an appeal; [Am. 48] |
| --- | --- | --- |

(56)

The following Article is inserted:

‘Article 65a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the
  formal
  content of the notice of appeal referred to in Article 60 and the procedure for the filing and the examination of an appeal; [Am. 48]

| (b) | the
  formal
  content and form of the Board of Appeal's decisions referred to in Article 64; [Am. 49] |
| --- | --- |

(b)

the
  formal
  content and form of the Board of Appeal's decisions referred to in Article 64; [Am. 49]

| (c) | the reimbursement of the appeal fees referred to in Article 60.’; |
| --- | --- |

(c)

the reimbursement of the appeal fees referred to in Article 60.’;

| (57) | The title of Title VIII is replaced by the following:
  ‘SPECIFIC PROVISIONS ON EUROPEAN COLLECTIVE MARKS AND CERTIFICATION MARKS’; |
| --- | --- |

(57)

The title of Title VIII is replaced by the following:

‘SPECIFIC PROVISIONS ON EUROPEAN COLLECTIVE MARKS AND CERTIFICATION MARKS’;

| (58) | Between the title of Title VIII and Article 66, the following heading is inserted:
  ‘SECTION 1
  European
  Union
  collective marks’; |
| --- | --- |

(58)

Between the title of Title VIII and Article 66, the following heading is inserted:

‘SECTION 1

European
  Union
  collective marks’;

| (59) | In Article 66, paragraph 3 is replaced by the following:
  ‘3.   Titles I to VII and IX to XIV shall apply to European
  Union
  collective marks to the extent that this section does not provide otherwise.’; |
| --- | --- |

(59)

In Article 66, paragraph 3 is replaced by the following:

‘3.   Titles I to VII and IX to XIV shall apply to European
  Union
  collective marks to the extent that this section does not provide otherwise.’;

| (60) | In Article 67(1), the words ‘within the period prescribed’ are

  is
  replaced by ‘within the period prescribed in accordance with Article 74a’;

  the following:




  ‘1.
     
  An applicant for a European Union collective mark shall submit regulations governing its use within a period of two months after the date of filing.’; [Am. 50] |
| --- | --- |

(60)

In Article 67(1), the words ‘within the period prescribed’ are

  is
  replaced by ‘within the period prescribed in accordance with Article 74a’;

  the following:

‘1.
     
  An applicant for a European Union collective mark shall submit regulations governing its use within a period of two months after the date of filing.’; [Am. 50]

| (61) | Article 69 is replaced by the following:
  ‘Article 69
  Observations by third parties
  Where written observations on a European
  Union
  collective mark are submitted to the Agency pursuant to Article 40, those observations may also be based on the particular grounds on which the application for a European
  Union
  collective mark shall be refused pursuant to Article 68.’; |
| --- | --- |

(61)

Article 69 is replaced by the following:

‘Article 69

Observations by third parties

Where written observations on a European
  Union
  collective mark are submitted to the Agency pursuant to Article 40, those observations may also be based on the particular grounds on which the application for a European
  Union
  collective mark shall be refused pursuant to Article 68.’;

| (61a) | Article 71(3) is replaced by the following:




  ‘3.
     
  Written observations in accordance with Article 69 may also be submitted with regard to amended regulations governing use.’; [Am. 51] |
| --- | --- |

(61a)

Article 71(3) is replaced by the following:

‘3.
     
  Written observations in accordance with Article 69 may also be submitted with regard to amended regulations governing use.’; [Am. 51]

| (62) | The following Article is inserted:
  ‘Article 74a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying the period referred to in Article 67(1) for submitting the regulations governing use of the European collective mark to the Agency and the
  formal
  content of those

  the
  regulations
  governing use of the European Union collective mark
  as set out in Article 67(2).’; [Am. 52] |
| --- | --- |

(62)

The following Article is inserted:

‘Article 74a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying the period referred to in Article 67(1) for submitting the regulations governing use of the European collective mark to the Agency and the
  formal
  content of those

  the
  regulations
  governing use of the European Union collective mark
  as set out in Article 67(2).’; [Am. 52]

| (63) | In Title VIII, the following Section is added:
  ‘SECTION 2
  European Certification Marks
  Article 74b
  European certification marks
  1.   A European certification mark shall be a European
  Union
  trade mark which is described as such when the mark is applied for and is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristic from goods and services which are not so certified.
  2.   Any legal person, including institutions, authorities and bodies governed by public law, may apply for European certification marks provided that:






  (a) | the legal person does not carry on a business involving the supply of goods or services of the kind certified; |
| --- | --- | --- |

(63)

In Title VIII, the following Section is added:

‘SECTION 2

European Certification Marks

Article 74b

European certification marks

1.   A European certification mark shall be a European
  Union
  trade mark which is described as such when the mark is applied for and is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristic from goods and services which are not so certified.

2.   Any legal person, including institutions, authorities and bodies governed by public law, may apply for European certification marks provided that:

(a)

the legal person does not carry on a business involving the supply of goods or services of the kind certified;

| (b) | the legal person is competent to certify the goods or services for which the mark is to be registered. |
| --- | --- |

(b)

the legal person is competent to certify the goods or services for which the mark is to be registered.

3.   By way of derogation from Article 7(1)(c), signs or indications which may serve, in trade, to designate the geographical origin of the goods or services may constitute European certification marks within the meaning of paragraph 1. A certification mark shall not entitle the proprietor to prohibit a third party from using in the course of trade such signs or indications, provided the third party uses them in accordance with honest practices in industrial or commercial matters. A certification mark may not be invoked against a third party who is entitled to use a geographical name.

4.   Titles I to VII and IX to XIV shall apply to European certification marks to the extent that this Section does not provide otherwise.

Article 74c

Regulations governing use of the mark

1.   An applicant for a European certification mark shall submit regulations governing the use of the certification mark within the

  a
  period prescribed in accordance with Article 74k

  of two months after the date of filing
  . [Am. 53]

2.   The regulations governing use shall specify the persons authorised to use the mark, the characteristics to be certified by the mark, how the certifying body is to test those characteristics and to supervise the use of the mark as well as the conditions of use of the mark, including sanctions.

Article 74d

Refusal of the application

1.   In addition to the grounds for refusal of a European
  Union
  trade mark application provided for in Articles 36 and 37, an application for a European certification mark shall be refused where Articles 74b and 74c are not satisfied, or where the regulations governing use are contrary to public policy or to accepted principles of morality.

2.   An application for a European certification mark shall also be refused if the public is liable to be misled as regards the character or the significance of the mark, in particular if it is likely to be taken to be something other than a certification mark.

3.   An application shall not be refused if the applicant, as a result of an amendment of the regulations governing use, meets the requirements of paragraphs 1 and 2.

Article 74e

Observations by third parties

Where written observations on a European certification mark are submitted to the Agency pursuant to Article 40, those observations may also be based on the particular grounds on which the application for a European certification mark shall be refused pursuant to Article 74d.

Article 74f

Amendment of the regulations governing use of the mark

1.   The proprietor of a European certification mark shall submit to the Agency any amended regulations governing use.

2.   The amendment shall not be mentioned in the Register where the amended regulations do not satisfy the requirements of Article 74c or involve one of the grounds for refusal referred to in Article 74d.

3.   
  Written observations in accordance with
  Article 74e shall apply

  may also be submitted with regard
  to amended regulations governing use. [Am. 54]

4.   For the purposes of this Regulation, amendments to the regulations governing use shall take effect only from the date of entry of the mention of the amendment in the Register.

Article 74 g

Transfer

By way of derogation from Article 17(1), a European certification mark may only be transferred to a legal person which meets the requirements of Article 74b(2).

Article 74h

Persons who are entitled to bring an action for infringement

1.   Only the proprietor of a European certification mark or any person specifically authorised by him to that effect shall be entitled to bring an action for infringement.

2.   The proprietor of a European certification mark shall be entitled to claim compensation on behalf of persons who have authority to use the mark where they have sustained damage in consequence of unauthorised use of the mark.

Article 74i

Grounds for revocation

In addition to the grounds for revocation provided for in Article 51, the rights of the proprietor of a European certification mark shall be revoked on application to the Agency or on the basis of a counterclaim in infringement proceedings, where any of the following conditions is fulfilled:

| (a) | the proprietor no longer meets the requirements of Article 74b(2); |
| --- | --- |

(a)

the proprietor no longer meets the requirements of Article 74b(2);

| (b) | the proprietor does not take reasonable steps to prevent the mark being used in a manner incompatible with the conditions of use laid down in the regulations governing use, amendments to which have, where appropriate, been mentioned in the Register; |
| --- | --- |

(b)

the proprietor does not take reasonable steps to prevent the mark being used in a manner incompatible with the conditions of use laid down in the regulations governing use, amendments to which have, where appropriate, been mentioned in the Register;

| (c) | the manner in which the mark has been used by the proprietor has caused it to become liable to mislead the public in the manner referred to in Article 74d(2); |
| --- | --- |

(c)

the manner in which the mark has been used by the proprietor has caused it to become liable to mislead the public in the manner referred to in Article 74d(2);

| (d) | an amendment to the regulations governing use of the mark has been mentioned in the Register in breach of Article 74f(2), unless the proprietor of the mark, by further amending the regulations governing use, complies with the requirements of that Article. |
| --- | --- |

(d)

an amendment to the regulations governing use of the mark has been mentioned in the Register in breach of Article 74f(2), unless the proprietor of the mark, by further amending the regulations governing use, complies with the requirements of that Article.

Article 74j

Grounds for invalidity

In addition to the grounds for invalidity provided for in Articles 52 and 53, a European certification mark which is registered in breach of Article 74d shall be declared invalid on application to the Agency or on the basis of a counterclaim in infringement proceedings, unless the proprietor of the mark, by amending the regulations governing use, complies with the requirements of Article 74d.

Article 74k

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying the period referred to in Article 74c(1) for submitting the regulations governing use of the European certification mark to the Agency and the
  formal
  content of those

  the
  regulations
  governing use of the European certification mark
  as set out in Article 74c(2).’; [Am. 55]

| (64) | Article 75 is replaced by the following:
  ‘Article 75
  Form of decisions and communications of the Agency
  1.   Decisions of the Agency shall state the reasons on which they are based. They shall be based only on reasons or evidence on which the parties concerned have had an opportunity to present their comments.
  2.   Any decision, communication or notice from the Agency shall indicate the department or division of the Agency as well as the name or the names of the official or officials responsible. They shall be signed by the official or officials, or, instead of a signature, carry a printed or stamped seal of the Agency. The Executive Director may determine that other means of identifying the department or division of the Agency and the name of the official or officials responsible or an identification other than a seal may be used where decisions, communications or notices from the Agency are transmitted by telecopier or any other technical means of communication.’; |
| --- | --- |

(64)

Article 75 is replaced by the following:

‘Article 75

Form of decisions and communications of the Agency

1.   Decisions of the Agency shall state the reasons on which they are based. They shall be based only on reasons or evidence on which the parties concerned have had an opportunity to present their comments.

2.   Any decision, communication or notice from the Agency shall indicate the department or division of the Agency as well as the name or the names of the official or officials responsible. They shall be signed by the official or officials, or, instead of a signature, carry a printed or stamped seal of the Agency. The Executive Director may determine that other means of identifying the department or division of the Agency and the name of the official or officials responsible or an identification other than a seal may be used where decisions, communications or notices from the Agency are transmitted by telecopier or any other technical means of communication.’;

| (65) | In Article 76(1), the following sentence is added:
  ‘In invalidity proceedings pursuant to Article 52, the Agency shall limit its examination to the grounds and arguments provided by the parties.’; |
| --- | --- |

(65)

In Article 76(1), the following sentence is added:

‘In invalidity proceedings pursuant to Article 52, the Agency shall limit its examination to the grounds and arguments provided by the parties.’;

| (66) | In Article 78, the following paragraph is added:
  ‘5.   The Executive Director of the Agency shall determine the amounts of expenses, to be paid, including advances, as regards the costs of taking of evidence referred to in Article 93a(b).’; |
| --- | --- |

(66)

In Article 78, the following paragraph is added:

‘5.   The Executive Director of the Agency shall determine the amounts of expenses, to be paid, including advances, as regards the costs of taking of evidence referred to in Article 93a(b).’;

| (67) | Article 79 is replaced by the following:
  ‘Article 79
  Notification
  1.   The Agency shall, as a matter of course, notify those concerned of decisions and summonses and of any notice or other communication from which a time limit is reckoned, or of which those concerned must be notified under other provisions of this Regulation or of delegated acts adopted pursuant to this Regulation, or of which notification has been ordered by the Executive Director of the Agency.
  2.   The Executive Director may determine which documents other than decisions subject to a time limit for appeal and summonses shall be notified by registered letter with advice of delivery.
  3.   Notification may be effected by electronic means, the details of which shall be determined by the Executive Director.
  4.   Where notification shall be effected by public notice, the Executive Director shall determine how the public notice is to be given and shall fix the beginning of the one month period on the expiry of which the document shall be deemed to have been notified.’; |
| --- | --- |

(67)

Article 79 is replaced by the following:

‘Article 79

Notification

1.   The Agency shall, as a matter of course, notify those concerned of decisions and summonses and of any notice or other communication from which a time limit is reckoned, or of which those concerned must be notified under other provisions of this Regulation or of delegated acts adopted pursuant to this Regulation, or of which notification has been ordered by the Executive Director of the Agency.

2.   The Executive Director may determine which documents other than decisions subject to a time limit for appeal and summonses shall be notified by registered letter with advice of delivery.

3.   Notification may be effected by electronic means, the details of which shall be determined by the Executive Director.

4.   Where notification shall be effected by public notice, the Executive Director shall determine how the public notice is to be given and shall fix the beginning of the one month period on the expiry of which the document shall be deemed to have been notified.’;

| (68) | The following Articles are inserted:
  ‘Article 79a
  Noting of loss of rights
  Where the Agency finds that the loss of any rights results from this Regulation or delegated acts adopted pursuant to this Regulation without any decision having been taken, it shall communicate this to the person concerned in accordance with Article 79. The latter may apply for a decision on the matter. The Agency shall adopt such a decision where it disagrees with the person requesting it; otherwise the Agency shall amend its finding and inform the person requesting the decision.
  Article 79b
  Communications to the Agency
  Communications addressed to the Agency may be effected by electronic means. The Executive Director shall determine the extent and the technical conditions under which those communications may be submitted electronically.
  Article 79c
  Time limits
  1.   The calculation and duration of Time limits shall be subject to the rules adopted in accordance with Article 93a(f)

  laid down in periods of full years, months, weeks or days. Calculation shall start on the day following the day on which the relevant event occurred
  . [Am. 56]

  2.   The Executive Director of the Agency shall determine before the commencement of each calendar year the days on which the Agency is not open for receipt of documents or on which ordinary mail is not delivered in the locality in which the Agency is located.
  3.   The Executive Director shall determine the duration of the period of interruption in case of a general interruption in the delivery of mail in the Member State where the Agency is located or in case of an actual interruption of the Agency’s connection to admitted electronic means of communication.
  4.   If an exceptional occurrence such as a natural disaster or strike interrupts or dislocates proper communication from the parties to the proceedings to the Agency or vice-versa, the Executive Director may determine that for parties of the proceedings having their residence or registered office in the State concerned or who have appointed a representative with a place of business in the State concerned, all time limits that otherwise would expire on or after the date of commencement of such occurrence, as determined by him, shall extend until a date to be determined by him. When determining that date, he shall assess when the exceptional occurrence comes to an end. If the occurrence affects the seat of the Agency, such determination of the Executive Director shall specify that it applies in respect of all parties to the proceedings.
  Article 79d
  Correction of errors and manifest oversights
  The Agency shall correct any linguistic errors or errors of transcription and manifest oversights in the Agency's decisions or technical errors attributable to the Agency in registering the trade mark or in publishing its registration.
  The Agency shall keep records of any such corrections.
  ’; [Am. 57] |
| --- | --- |

(68)

The following Articles are inserted:

‘Article 79a

Noting of loss of rights

Where the Agency finds that the loss of any rights results from this Regulation or delegated acts adopted pursuant to this Regulation without any decision having been taken, it shall communicate this to the person concerned in accordance with Article 79. The latter may apply for a decision on the matter. The Agency shall adopt such a decision where it disagrees with the person requesting it; otherwise the Agency shall amend its finding and inform the person requesting the decision.

Article 79b

Communications to the Agency

Communications addressed to the Agency may be effected by electronic means. The Executive Director shall determine the extent and the technical conditions under which those communications may be submitted electronically.

Article 79c

Time limits

1.   The calculation and duration of Time limits shall be subject to the rules adopted in accordance with Article 93a(f)

  laid down in periods of full years, months, weeks or days. Calculation shall start on the day following the day on which the relevant event occurred
  . [Am. 56]

2.   The Executive Director of the Agency shall determine before the commencement of each calendar year the days on which the Agency is not open for receipt of documents or on which ordinary mail is not delivered in the locality in which the Agency is located.

3.   The Executive Director shall determine the duration of the period of interruption in case of a general interruption in the delivery of mail in the Member State where the Agency is located or in case of an actual interruption of the Agency’s connection to admitted electronic means of communication.

4.   If an exceptional occurrence such as a natural disaster or strike interrupts or dislocates proper communication from the parties to the proceedings to the Agency or vice-versa, the Executive Director may determine that for parties of the proceedings having their residence or registered office in the State concerned or who have appointed a representative with a place of business in the State concerned, all time limits that otherwise would expire on or after the date of commencement of such occurrence, as determined by him, shall extend until a date to be determined by him. When determining that date, he shall assess when the exceptional occurrence comes to an end. If the occurrence affects the seat of the Agency, such determination of the Executive Director shall specify that it applies in respect of all parties to the proceedings.

Article 79d

Correction of errors and manifest oversights

The Agency shall correct any linguistic errors or errors of transcription and manifest oversights in the Agency's decisions or technical errors attributable to the Agency in registering the trade mark or in publishing its registration.
  The Agency shall keep records of any such corrections.
  ’; [Am. 57]

| (69) | Article 80 is amended as follows:






  (a) | in paragraph 1, first sentence, the phrase ‘decision which contains an obvious procedural error’ is replaced by ‘decision which contains an obvious error’;

  the following:




  ‘1.
     
  Where the Agency has made an entry in the Register or taken a decision which contains an obvious [...] error attributable to the Agency, it shall ensure that the entry is cancelled or the decision is revoked. Where there is only one party to the proceedings and the entry or the act affects its rights, cancellation or revocation shall be determined even if the error was not evident to the party.’; [Am. 58] |
| --- | --- | --- |

(69)

Article 80 is amended as follows:

(a)

in paragraph 1, first sentence, the phrase ‘decision which contains an obvious procedural error’ is replaced by ‘decision which contains an obvious error’;

  the following:

‘1.
     
  Where the Agency has made an entry in the Register or taken a decision which contains an obvious [...] error attributable to the Agency, it shall ensure that the entry is cancelled or the decision is revoked. Where there is only one party to the proceedings and the entry or the act affects its rights, cancellation or revocation shall be determined even if the error was not evident to the party.’; [Am. 58]

| (b) | in paragraph 2, the second sentence is replaced by the following:
  ‘
  2.
     
  Cancellation or revocation as referred to in paragraph 1 shall be determined, ex officio or at the request of one of the parties to the proceedings, by the department which made the entry or took the decision.
  The cancellation of the entry in the Register or the revocation of the decision shall be effected within one year from the date on which the entry was made in the Register or that decision was taken, after consultation with the parties to the proceedings and any proprietor of rights to the European
  Union
  trade mark in question that are entered in the Register.
  The Agency shall keep records of any such cancellation or revocation.
  ’; [Am. 59] |
| --- | --- |

(b)

in paragraph 2, the second sentence is replaced by the following:

‘
  2.
     
  Cancellation or revocation as referred to in paragraph 1 shall be determined, ex officio or at the request of one of the parties to the proceedings, by the department which made the entry or took the decision.
  The cancellation of the entry in the Register or the revocation of the decision shall be effected within one year from the date on which the entry was made in the Register or that decision was taken, after consultation with the parties to the proceedings and any proprietor of rights to the European
  Union
  trade mark in question that are entered in the Register.
  The Agency shall keep records of any such cancellation or revocation.
  ’; [Am. 59]

| (c) | paragraph 3 is replaced by the following:
  ‘3.   This Article shall be without prejudice to the right of the parties to submit an appeal under Articles 58 and 65, or to the possibility of correcting errors and manifest oversights under Article 79d. Where an appeal has been filed against an Agency's decision containing an error, the appeal proceedings shall become devoid of purpose upon revocation by the Agency of its decision pursuant to paragraph 1 of this Article.’; |
| --- | --- |

(c)

paragraph 3 is replaced by the following:

‘3.   This Article shall be without prejudice to the right of the parties to submit an appeal under Articles 58 and 65, or to the possibility of correcting errors and manifest oversights under Article 79d. Where an appeal has been filed against an Agency's decision containing an error, the appeal proceedings shall become devoid of purpose upon revocation by the Agency of its decision pursuant to paragraph 1 of this Article.’;

| (70) | Article 82 is amended as follows:






  (a) | paragraph 2 is replaced by the following:
  ‘2.   This Article shall not apply to the time limits laid down in Article 29(1), Article 33(1), Article 36(2), Article 41(1) and (3), Article 47(3), Article 60, Article 65(5), Article 81, Article 112, or to the time limits laid down in paragraph 1 of this Article or the time limit for claiming seniority pursuant to Article 34 after the application has been filed.’; |
| --- | --- | --- |

(70)

Article 82 is amended as follows:

(a)

paragraph 2 is replaced by the following:

‘2.   This Article shall not apply to the time limits laid down in Article 29(1), Article 33(1), Article 36(2), Article 41(1) and (3), Article 47(3), Article 60, Article 65(5), Article 81, Article 112, or to the time limits laid down in paragraph 1 of this Article or the time limit for claiming seniority pursuant to Article 34 after the application has been filed.’;

| (b) | paragraph 4 is replaced by the following:
  ‘4.   If the Agency accepts the application, the consequences of having failed to observe the time limit shall be deemed not to have occurred. If a decision has been taken between the expiry of the unobserved time limit and the request for continuation of proceedings, the department competent to decide on the omitted act shall review the decision and, where completion of the omitted act itself is sufficient, take a different decision. If the original decision is not to be altered, it shall be confirmed in writing.’; |
| --- | --- |

(b)

paragraph 4 is replaced by the following:

‘4.   If the Agency accepts the application, the consequences of having failed to observe the time limit shall be deemed not to have occurred. If a decision has been taken between the expiry of the unobserved time limit and the request for continuation of proceedings, the department competent to decide on the omitted act shall review the decision and, where completion of the omitted act itself is sufficient, take a different decision. If the original decision is not to be altered, it shall be confirmed in writing.’;

| (71) | The following Article is inserted:
  ‘Article 82a
  Interruption of proceedings


  1.
     When interrupting or resuming proceedings,
  before
  the Agency shall comply with the modalities set out in accordance with Article 93a(i).';

  shall be interrupted:










  (a) | in the event of the death or legal incapacity of the applicant for or proprietor of a European Union trade mark or of the person authorised by national law to act on his behalf. To the extent that the above events do not affect the authorisation of a representative appointed under Article 93, proceedings shall be interrupted only on application by such representative; |
| --- | --- | --- |

(71)

The following Article is inserted:

‘Article 82a

Interruption of proceedings

1.
     When interrupting or resuming proceedings,
  before
  the Agency shall comply with the modalities set out in accordance with Article 93a(i).';

  shall be interrupted:

(a)

in the event of the death or legal incapacity of the applicant for or proprietor of a European Union trade mark or of the person authorised by national law to act on his behalf. To the extent that the above events do not affect the authorisation of a representative appointed under Article 93, proceedings shall be interrupted only on application by such representative;

| (b) | in the event of the applicant for or proprietor of a European Union trade mark being prevented for legal reasons resulting from action taken against his property from continuing the proceedings before the Agency; |
| --- | --- |

(b)

in the event of the applicant for or proprietor of a European Union trade mark being prevented for legal reasons resulting from action taken against his property from continuing the proceedings before the Agency;

| (c) | in the event of the death or legal incapacity of the representative of an applicant for or proprietor of a European Union trade mark or of his being prevented for legal reasons resulting from action taken against his property from continuing the proceedings before the Agency. |
| --- | --- |

(c)

in the event of the death or legal incapacity of the representative of an applicant for or proprietor of a European Union trade mark or of his being prevented for legal reasons resulting from action taken against his property from continuing the proceedings before the Agency.

2.
     
  When, in the cases referred to in points (a) and (b) of paragraph 1, the Agency has been informed of the identity of the person authorised to continue the proceedings before the Agency, the Agency shall inform that person and any interested third parties that the proceedings will be resumed as from a date to be fixed by the Agency.

3.
     
  In the case referred to in point (c) of paragraph 1, the proceedings shall be resumed when the Agency has been informed of the appointment of a new representative of the applicant or when the Agency has notified to the other parties the appointment of a new representative of the proprietor of the European Union trade mark. If, three months after the beginning of the interruption of the proceedings, the Agency has not been informed of the appointment of a new representative, it shall inform the applicant for or proprietor of the European Union trade
  mark:

| (a) | where Article 92(2) is applicable, that the European Union trade mark application will be deemed to be withdrawn if the information is not submitted within two months after this notification; or |
| --- | --- |

(a)

where Article 92(2) is applicable, that the European Union trade mark application will be deemed to be withdrawn if the information is not submitted within two months after this notification; or

| (b) | where Article 92(2) is not applicable, that the proceedings will be resumed with the applicant for or proprietor of the European Union trade mark as from the date of this notification. |
| --- | --- |

(b)

where Article 92(2) is not applicable, that the proceedings will be resumed with the applicant for or proprietor of the European Union trade mark as from the date of this notification.

4.
     
  The time limits, other than the time limit for paying the renewal fees, in force as regards the applicant for or proprietor of the European Union trade mark at the date of interruption of the proceedings, shall begin again as from the day on which the proceedings are resumed.
  ’; [Am. 60]

| (72) | Article 83 is replaced by the following:
  ‘Article 83
  Reference to general principles
  In the absence of procedural provisions in this Regulation or in delegated acts adopted pursuant to this Regulation, the Agency shall take into account the principles of procedural law generally recognised in the Member States.’; |
| --- | --- |

(72)

Article 83 is replaced by the following:

‘Article 83

Reference to general principles

In the absence of procedural provisions in this Regulation or in delegated acts adopted pursuant to this Regulation, the Agency shall take into account the principles of procedural law generally recognised in the Member States.’;

| (73) | In Article 85(1), the words ‘under the conditions laid down in the Implementing Regulation’ are

  is
  replaced by ‘under the conditions laid down in accordance with Article 93a(j).’;

  the following:


  ‘
  1.
     
  The losing party in opposition proceedings, proceedings for revocation, proceedings for a declaration of invalidity or appeal proceedings shall bear the fees incurred by the other party as well as all costs, without prejudice to Article 119(6), incurred by him essential to the proceedings, including travel and subsistence and the remuneration of an agent, adviser or advocate, within the limits of the scales set for each category of costs [...].’; [Am. 61] |
| --- | --- |

(73)

In Article 85(1), the words ‘under the conditions laid down in the Implementing Regulation’ are

  is
  replaced by ‘under the conditions laid down in accordance with Article 93a(j).’;

  the following:

‘
  1.
     
  The losing party in opposition proceedings, proceedings for revocation, proceedings for a declaration of invalidity or appeal proceedings shall bear the fees incurred by the other party as well as all costs, without prejudice to Article 119(6), incurred by him essential to the proceedings, including travel and subsistence and the remuneration of an agent, adviser or advocate, within the limits of the scales set for each category of costs [...].’; [Am. 61]

| (74) | In Article 86(2), the second sentence is replaced by the following:
  ‘Each Member State shall designate a single authority responsible for verifying the authenticity of the decision and shall communicate its contact details to the Agency, the Court of Justice and the Commission. The order for the enforcement of the decision shall be appended to the decision by that authority, without other formality than verification of the authenticity of the decision.’; |
| --- | --- |

(74)

In Article 86(2), the second sentence is replaced by the following:

‘Each Member State shall designate a single authority responsible for verifying the authenticity of the decision and shall communicate its contact details to the Agency, the Court of Justice and the Commission. The order for the enforcement of the decision shall be appended to the decision by that authority, without other formality than verification of the authenticity of the decision.’;

| (75) | Article 87 is replaced by the following:
  ‘Article 87
  Register of European
  Union
  trade marks
  1.   The Agency shall keep a Register, which shall contain those particulars the registration or inclusion of which is provided for by this Regulation or by a delegated act adopted pursuant to this Regulation. The Agency

  of European Union trade marks and
  shall keep the

  that
  Register up to date. [Am. 62]

  2.   The Register shall be open to public inspection. It may be kept electronically.
  3.   The Agency shall maintain an electronic database containing the particulars of applications for registration of European
  Union
  trade marks and the entries made in the Register. The contents of that database may be made available to the public. The Executive Director shall determine the conditions of access to the database and the manner in which the contents of this database may be made available in machine-readable form, including the corresponding charges.’; |
| --- | --- |

(75)

Article 87 is replaced by the following:

‘Article 87

Register of European
  Union
  trade marks

1.   The Agency shall keep a Register, which shall contain those particulars the registration or inclusion of which is provided for by this Regulation or by a delegated act adopted pursuant to this Regulation. The Agency

  of European Union trade marks and
  shall keep the

  that
  Register up to date. [Am. 62]

2.   The Register shall be open to public inspection. It may be kept electronically.

3.   The Agency shall maintain an electronic database containing the particulars of applications for registration of European
  Union
  trade marks and the entries made in the Register. The contents of that database may be made available to the public. The Executive Director shall determine the conditions of access to the database and the manner in which the contents of this database may be made available in machine-readable form, including the corresponding charges.’;

| (76) | Article 88 is amended as follows:






  (a) | the title ‘Inspection of files’ is replaced by ‘Inspection and keeping of files’; |
| --- | --- | --- |

(76)

Article 88 is amended as follows:

(a)

the title ‘Inspection of files’ is replaced by ‘Inspection and keeping of files’;

| (b) | paragraph 4 is replaced by the following:
  ‘4.   Where the files are inspected pursuant to paragraphs 2 or 3, certain documents in the file may be withheld from inspection. The Executive Director shall determine the means of inspection.
  5.   The Agency shall keep the files of any procedure relating to a European
  Union
  trade mark application or European
  Union
  trade mark registration. The Executive Director shall determine the form in which those files shall be kept. Where the files are kept in electronic format, the original documents forming the basis of such electronic files shall be disposed of after a period following their reception by the Agency, which shall be determined by the Executive Director.’; |
| --- | --- |

(b)

paragraph 4 is replaced by the following:

‘4.   Where the files are inspected pursuant to paragraphs 2 or 3, certain documents in the file may be withheld from inspection. The Executive Director shall determine the means of inspection.

5.   The Agency shall keep the files of any procedure relating to a European
  Union
  trade mark application or European
  Union
  trade mark registration. The Executive Director shall determine the form in which those files shall be kept. Where the files are kept in electronic format, the original documents forming the basis of such electronic files shall be disposed of after a period following their reception by the Agency, which shall be determined by the Executive Director.’;

| (77) | Article 89 is replaced by the following:
  ‘Article 89
  Periodical publications
  1.   The Agency shall periodically publish:






  (a) | a European
  Union
  Trade Marks Bulletin containing entries made in the Register as well as other particulars the publication of which is prescribed by this Regulation or by delegated acts adopted in accordance with this Regulation; [Am. 63] |
| --- | --- | --- |

(77)

Article 89 is replaced by the following:

‘Article 89

Periodical publications

1.   The Agency shall periodically publish:

(a)

a European
  Union
  Trade Marks Bulletin containing entries made in the Register as well as other particulars the publication of which is prescribed by this Regulation or by delegated acts adopted in accordance with this Regulation; [Am. 63]

| (b) | an Official Journal containing notices and information of a general character issued by the Executive Director of the Agency, as well as any other information relevant to this Regulation or its implementation. |
| --- | --- |

(b)

an Official Journal containing notices and information of a general character issued by the Executive Director of the Agency, as well as any other information relevant to this Regulation or its implementation.

The publications referred to in points (a) and (b) may be effected by electronic means.

2.   The European
  Union
  Trade Marks Bulletin shall be published in the manner and frequency determined by the Executive Director.

3.   The Executive Director may determine that certain items shall be published in the Official Journal in all the official languages of the Union.’;

| (78) | Article 92 is amended as follows:






  (a) | paragraph 2 is replaced by the following:
  ‘2.   Without prejudice to paragraph 3, second sentence, natural or legal persons not having either their domicile or their principal place of business or a real and effective industrial or commercial establishment in the Union shall be represented before the Agency in accordance with Article 93(1) in all proceedings provided for by this Regulation, other than in filing an application for a European
  Union
  trade mark.

  By way of derogation from the first subparagraph, the natural or legal persons referred to in that subparagraph need not be represented before the Agency in the cases provided for in accordance with Article 93a(p).’; [Am. 64] |
| --- | --- | --- |

(78)

Article 92 is amended as follows:

(a)

paragraph 2 is replaced by the following:

‘2.   Without prejudice to paragraph 3, second sentence, natural or legal persons not having either their domicile or their principal place of business or a real and effective industrial or commercial establishment in the Union shall be represented before the Agency in accordance with Article 93(1) in all proceedings provided for by this Regulation, other than in filing an application for a European
  Union
  trade mark.

By way of derogation from the first subparagraph, the natural or legal persons referred to in that subparagraph need not be represented before the Agency in the cases provided for in accordance with Article 93a(p).’; [Am. 64]

| (b) | paragraph 4 is replaced by the following:


  ‘4.   Where the conditions established in accordance with Article 93a(p) are fulfilled, a common representative shall be appointed.’;
  [Am. 65] |
| --- | --- |

(b)

paragraph 4 is replaced by the following:

‘4.   Where the conditions established in accordance with Article 93a(p) are fulfilled, a common representative shall be appointed.’;
  [Am. 65]

| (79) | Article 93 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   Representation of natural or legal persons before the Agency may only be undertaken by:






  (a) | any legal practitioner qualified in a Member State and having his place of business within the Union, to the extent that he is entitled, within the said State, to act as a representative in trade mark matters; |
| --- | --- | --- | --- |

(79)

Article 93 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   Representation of natural or legal persons before the Agency may only be undertaken by:

(a)

any legal practitioner qualified in a Member State and having his place of business within the Union, to the extent that he is entitled, within the said State, to act as a representative in trade mark matters;

| (b) | professional representatives whose names appear on the list maintained for this purpose by the Agency. |
| --- | --- |

(b)

professional representatives whose names appear on the list maintained for this purpose by the Agency.

Representatives acting before the Agency shall, on request by the Agency, file with it a signed authorisation for insertion on the files.’;

| (b) | paragraph 4 is replaced by the following:
  ‘4.   The Executive Director of the Agency may grant exemption from:






  (a) | the requirement of paragraph 2(c), second sentence, if the applicant furnishes proof that he has acquired the requisite qualification in another way; |
| --- | --- | --- |

(b)

paragraph 4 is replaced by the following:

‘4.   The Executive Director of the Agency may grant exemption from:

(a)

the requirement of paragraph 2(c), second sentence, if the applicant furnishes proof that he has acquired the requisite qualification in another way;

| (b) | the requirement of paragraph 2(a) in case of highly qualified professionals, provided that the requirements of paragraphs 2(b) and (c) are fulfilled.’; |
| --- | --- |

(b)

the requirement of paragraph 2(a) in case of highly qualified professionals, provided that the requirements of paragraphs 2(b) and (c) are fulfilled.’;

| (c) | paragraph 5 is replaced by the following:


  ‘5.   A person may be removed from the list of professional representatives under the conditions established in accordance with Article 93a(p).’;
  [Am. 66] |
| --- | --- |

(c)

paragraph 5 is replaced by the following:

‘5.   A person may be removed from the list of professional representatives under the conditions established in accordance with Article 93a(p).’;
  [Am. 66]

| (80) | In Title IX, the following Section is inserted:
  ‘SECTION 5
  Conferral of powers
  Article 93a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the requirements concerning the form of the decisions referred to in Article 75; |
| --- | --- | --- |

(80)

In Title IX, the following Section is inserted:

‘SECTION 5

Conferral of powers

Article 93a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the requirements concerning the form of the decisions referred to in Article 75;

| (b) | the modalities of oral proceedings and of the taking of evidence referred to in Articles 77 and 78; |
| --- | --- |

(b)

the modalities of oral proceedings and of the taking of evidence referred to in Articles 77 and 78;

| (c) | the modalities of the notification referred to in Article 79; |
| --- | --- |

(c)

the modalities of the notification referred to in Article 79;

| (d) | the procedure for the noting of loss of rights referred to in Article 79a; |
| --- | --- |

(d)

the procedure for the noting of loss of rights referred to in Article 79a;

| (e) | the rules on the means of communication, including the electronic means of communication referred to in Article 79b, to be used by the parties to proceedings before the Agency and the forms to be made available by the Agency; |
| --- | --- |

(e)

the rules on the means of communication, including the electronic means of communication referred to in Article 79b, to be used by the parties to proceedings before the Agency and the forms to be made available by the Agency;

| (f) | the rules governing the calculation and duration of the time limits referred to in Article 79c(1); |
| --- | --- |

(f)

the rules governing the calculation and duration of the time limits referred to in Article 79c(1);

| (g) | the procedure for the correction of linguistic errors or errors of transcription and manifest oversights in the Agency's decisions and technical errors attributable to the Agency in registering the trade mark or in publishing its registration as referred to in Article 79d; |
| --- | --- |

(g)

the procedure for the correction of linguistic errors or errors of transcription and manifest oversights in the Agency's decisions and technical errors attributable to the Agency in registering the trade mark or in publishing its registration as referred to in Article 79d;

| (h) | the procedure for the revocation of a decision or for the cancellation of an entry in the Register as referred to in Article 80(1); |
| --- | --- |

(h)

the procedure for the revocation of a decision or for the cancellation of an entry in the Register as referred to in Article 80(1);

| (i) | the modalities of the interruption and resumption of proceedings before the Agency as referred to in Article 82a; |
| --- | --- |

(i)

the modalities of the interruption and resumption of proceedings before the Agency as referred to in Article 82a;

| (j) | the procedures concerning the apportionment and fixing of costs, as referred to in Article 85(1); [Am. 67] |
| --- | --- |

(j)

the procedures concerning the apportionment and fixing of costs, as referred to in Article 85(1); [Am. 67]

| (k) | the particulars
  to be entered in the Register
  referred to in Article 87(1); [Am. 68] |
| --- | --- |

(k)

the particulars
  to be entered in the Register
  referred to in Article 87(1); [Am. 68]

| (l) | the procedure for the inspection of files provided for in Article 88, including the parts of the file excluded from inspection, and the modalities of the keeping of files of the Agency provided for in Article 88(5);
  [Am. 69] |
| --- | --- |

(l)

the procedure for the inspection of files provided for in Article 88, including the parts of the file excluded from inspection, and the modalities of the keeping of files of the Agency provided for in Article 88(5);
  [Am. 69]

| (m) | the modalities of publication of the particulars and entries referred to in Article 89(1)(a) in the European
  Union
  Trade Marks Bulletin, including the type of information, and the languages in which those particulars and entries are to be published; |
| --- | --- |

(m)

the modalities of publication of the particulars and entries referred to in Article 89(1)(a) in the European
  Union
  Trade Marks Bulletin, including the type of information, and the languages in which those particulars and entries are to be published;

| (n) | the frequency, form and languages in which publications of the Official Journal of the Agency referred to in Article 89(1)(b) shall be made; |
| --- | --- |

(n)

the frequency, form and languages in which publications of the Official Journal of the Agency referred to in Article 89(1)(b) shall be made;

| (o) | the modalities of the exchange of information and communications between the Agency and the authorities of the Member States and of the inspection of files by or via courts or authorities of the Member States pursuant to Article 90; |
| --- | --- |

(o)

the modalities of the exchange of information and communications between the Agency and the authorities of the Member States and of the inspection of files by or via courts or authorities of the Member States pursuant to Article 90;

| (p) | derogations from the obligation to be represented before the Agency pursuant to Article 92(2), the conditions under which a common representative shall be appointed pursuant to Article 92(4), the conditions under which employees referred to in Article 92(3) and professional representatives referred to in Article 93(1) must file with the Agency a signed authorisation in order to be able to undertake representation, the content of that authorisation, and the conditions under which a person may be removed from the list of professional representatives referred to in Article 93(5).’; [Am. 70] |
| --- | --- |

(p)

derogations from the obligation to be represented before the Agency pursuant to Article 92(2), the conditions under which a common representative shall be appointed pursuant to Article 92(4), the conditions under which employees referred to in Article 92(3) and professional representatives referred to in Article 93(1) must file with the Agency a signed authorisation in order to be able to undertake representation, the content of that authorisation, and the conditions under which a person may be removed from the list of professional representatives referred to in Article 93(5).’; [Am. 70]

| (81) | In Title X, the title of Section 1 is replaced by the following:
  ‘Application of the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’; |
| --- | --- |

(81)

In Title X, the title of Section 1 is replaced by the following:

‘Application of the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’;

| (82) | Article 94 is amended as follows:






  (a) | the title is replaced by the following:
  ‘Application of the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’; |
| --- | --- | --- |

(82)

Article 94 is amended as follows:

(a)

the title is replaced by the following:

‘Application of the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’;

| (b) | in paragraph 1, ‘Regulation (EC) No 44/2001’ is replaced by ‘the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’;

  the following:




  ‘1.
     
  Unless otherwise specified in this Regulation, the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters shall apply to proceedings relating to European Union trade marks and applications for European Union trade marks, as well as to proceedings relating to simultaneous and successive actions on the basis of European Union trade marks and national trade marks.’; [Am. 71] |
| --- | --- |

(b)

in paragraph 1, ‘Regulation (EC) No 44/2001’ is replaced by ‘the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters’;

  the following:

‘1.
     
  Unless otherwise specified in this Regulation, the Union rules on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters shall apply to proceedings relating to European Union trade marks and applications for European Union trade marks, as well as to proceedings relating to simultaneous and successive actions on the basis of European Union trade marks and national trade marks.’; [Am. 71]

| (c) | the following paragraph is added:
  ‘3.   References in this Regulation to Regulation (EC) No 44/2001 shall include, where appropriate, the Agreement between the European Community and the Kingdom of Denmark on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters done on 19 October 2005.’; |
| --- | --- |

(c)

the following paragraph is added:

‘3.   References in this Regulation to Regulation (EC) No 44/2001 shall include, where appropriate, the Agreement between the European Community and the Kingdom of Denmark on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters done on 19 October 2005.’;

| (83) | In Article 96(c), ‘Article 9(3), second sentence’ is replaced by ‘Article 9b(2)’; |
| --- | --- |

(83)

In Article 96(c), ‘Article 9(3), second sentence’ is replaced by ‘Article 9b(2)’;

| (84) | In Article 99, paragraph 3 is replaced by the following:
  ‘3.   In the actions referred to in Article 96(a) and (c), a plea relating to revocation or invalidity of the European
  Union
  trade mark submitted otherwise than by way of a counterclaim shall be admissible in so far as the defendant claims that the rights of the proprietor of the European
  Union
  trade mark could be revoked for lack of genuine use at the time the infringement action was brought.’; |
| --- | --- |

(84)

In Article 99, paragraph 3 is replaced by the following:

‘3.   In the actions referred to in Article 96(a) and (c), a plea relating to revocation or invalidity of the European
  Union
  trade mark submitted otherwise than by way of a counterclaim shall be admissible in so far as the defendant claims that the rights of the proprietor of the European
  Union
  trade mark could be revoked for lack of genuine use at the time the infringement action was brought.’;

| (85) | Article 100 is amended as follows:






  (a) | paragraph 4 is replaced by the following:
  ‘4.   The European
  Union
  trade mark court with which a counterclaim for revocation or for a declaration of invalidity of the European
  Union
  trade mark has been filed shall not proceed with the examination of the counterclaim, until either the interested party or the court have informed the Agency of the date on which the counterclaim was filed. The Agency shall record that information in the Register. If an application for revocation or for a declaration of invalidity of the European
  Union
  trade mark is pending before the Agency, the court shall be informed thereof by the Agency and stay the proceedings until the decision on the application is final or the application is withdrawn.’; |
| --- | --- | --- |

(85)

Article 100 is amended as follows:

(a)

paragraph 4 is replaced by the following:

‘4.   The European
  Union
  trade mark court with which a counterclaim for revocation or for a declaration of invalidity of the European
  Union
  trade mark has been filed shall not proceed with the examination of the counterclaim, until either the interested party or the court have informed the Agency of the date on which the counterclaim was filed. The Agency shall record that information in the Register. If an application for revocation or for a declaration of invalidity of the European
  Union
  trade mark is pending before the Agency, the court shall be informed thereof by the Agency and stay the proceedings until the decision on the application is final or the application is withdrawn.’;

| (b) | paragraph 6 is replaced by the following:
  ‘6.   Where a European
  Union
  trade mark court has given a judgment which has become final on a counterclaim for revocation or for invalidity of a European
  Union
  trade mark, a copy of the judgment shall be sent to the Agency without delay, either by the court or by any of the parties to the national proceedings. The Agency or any other interested party may request information about such transmission. The Agency shall mention the judgment in the Register and shall take the necessary measures to comply with its operative part.’; |
| --- | --- |

(b)

paragraph 6 is replaced by the following:

‘6.   Where a European
  Union
  trade mark court has given a judgment which has become final on a counterclaim for revocation or for invalidity of a European
  Union
  trade mark, a copy of the judgment shall be sent to the Agency without delay, either by the court or by any of the parties to the national proceedings. The Agency or any other interested party may request information about such transmission. The Agency shall mention the judgment in the Register and shall take the necessary measures to comply with its operative part.’;

| (86) | In Article 102, paragraph 2 is replaced by the following:
  ‘2.   The European
  Union
  trade mark court may also apply measures or orders available under the applicable law which it deems appropriate under the circumstances of the case.’; |
| --- | --- |

(86)

In Article 102, paragraph 2 is replaced by the following:

‘2.   The European
  Union
  trade mark court may also apply measures or orders available under the applicable law which it deems appropriate under the circumstances of the case.’;

| (87) | Article 108 is deleted; |
| --- | --- |

(87)

Article 108 is deleted;

| (88) | In Article 113(3), the phrase ‘together with the formal conditions laid down in the Implementing Regulation’ is replaced by ‘together with the formal conditions laid down in accordance with Article 114a’;

  the following:




  ‘3.
     
  The Agency shall check whether the conversion requested fulfils the conditions set out in this Regulation, in particular Article 112(1), (2), (4), (5) and (6), and paragraph 1 of this Article, together with the formal conditions laid down in accordance with Article 114a. If these conditions are fulfilled, the Agency shall transmit the request for conversion to the industrial property offices of the Member States specified therein.’; [Am. 72] |
| --- | --- |

(88)

In Article 113(3), the phrase ‘together with the formal conditions laid down in the Implementing Regulation’ is replaced by ‘together with the formal conditions laid down in accordance with Article 114a’;

  the following:

‘3.
     
  The Agency shall check whether the conversion requested fulfils the conditions set out in this Regulation, in particular Article 112(1), (2), (4), (5) and (6), and paragraph 1 of this Article, together with the formal conditions laid down in accordance with Article 114a. If these conditions are fulfilled, the Agency shall transmit the request for conversion to the industrial property offices of the Member States specified therein.’; [Am. 72]

| (89) | In Article 114(2), the words ‘the Implementing Regulation’ are

  is
  replaced by ‘delegated acts adopted in accordance with this Regulation’;

  the following:




  ‘2.
     
  A European Union trade mark application or a European Union trade mark transmitted in accordance with Article 113 shall not be subjected to formal requirements of national law which are different from or additional to those provided for in this Regulation or in delegated acts adopted pursuant to this Regulation.’; [Am. 73] |
| --- | --- |

(89)

In Article 114(2), the words ‘the Implementing Regulation’ are

  is
  replaced by ‘delegated acts adopted in accordance with this Regulation’;

  the following:

‘2.
     
  A European Union trade mark application or a European Union trade mark transmitted in accordance with Article 113 shall not be subjected to formal requirements of national law which are different from or additional to those provided for in this Regulation or in delegated acts adopted pursuant to this Regulation.’; [Am. 73]

| (90) | The following Article is inserted:
  ‘Article 114a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying the formal conditions with which a request for conversion of a European
  Union
  trade mark application must comply, the details of its examination, and those concerning its publication.’; |
| --- | --- |

(90)

The following Article is inserted:

‘Article 114a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying the formal conditions with which a request for conversion of a European
  Union
  trade mark application must comply, the details of its examination, and those concerning its publication.’;

| (91) | In Article 116, paragraph 2 is replaced by the following:
  ‘2.   Without prejudice to paragraph 1, the Agency may make use of seconded national experts or other staff not employed by the Agency. The Management Board shall adopt a decision laying down rules on the secondment to the Agency of national experts.’; |
| --- | --- |

(91)

In Article 116, paragraph 2 is replaced by the following:

‘2.   Without prejudice to paragraph 1, the Agency may make use of seconded national experts or other staff not employed by the Agency. The Management Board shall adopt a decision laying down rules on the secondment to the Agency of national experts.’;

| (92) | In Article 117, the words ‘to the Office’ are

  is
  replaced by ‘to the Agency and its staff’;

  the following:



  ‘The Protocol on the Privileges and Immunities of the European Union shall apply to the Agency and its staff.’; [Am. 74] |
| --- | --- |

(92)

In Article 117, the words ‘to the Office’ are

  is
  replaced by ‘to the Agency and its staff’;

  the following:

| (93) | Article 119 is amended as follows:






  (a) | in paragraph 6, second subparagraph, the second sentence is replaced by the following:
  ‘The translation shall be produced within the period prescribed in accordance with Article 144a(b).’; |
| --- | --- | --- |

(93)

Article 119 is amended as follows:

(a)

in paragraph 6, second subparagraph, the second sentence is replaced by the following:

‘The translation shall be produced within the period prescribed in accordance with Article 144a(b).’;

| (b) | the following paragraph is added:
  ‘8.   The Executive Director shall determine the manner in which translations shall be certified.’; |
| --- | --- |

(b)

the following paragraph is added:

‘8.   The Executive Director shall determine the manner in which translations shall be certified.’;

| (94) | In Article 120(1), the words ‘the Implementing Regulation’ are

  is
  replaced by ‘a delegated act adopted pursuant to this Regulation’;

  the following:




  ‘1.
     
  An application for a European Union trade mark, as described in Article 26(1), and all other information the publication of which is prescribed by this Regulation or by a delegated act adopted pursuant to this Regulation, shall be published in all the official languages of the European Union.’; [Am. 75] |
| --- | --- |

(94)

In Article 120(1), the words ‘the Implementing Regulation’ are

  is
  replaced by ‘a delegated act adopted pursuant to this Regulation’;

  the following:

‘1.
     
  An application for a European Union trade mark, as described in Article 26(1), and all other information the publication of which is prescribed by this Regulation or by a delegated act adopted pursuant to this Regulation, shall be published in all the official languages of the European Union.’; [Am. 75]

| (95) | Article 122 is deleted; |
| --- | --- |

(95)

Article 122 is deleted;

| (96) | Article 123 is replaced by the following:
  ‘Article 123
  Transparency
  1.   Regulation (EC) No 1049/2001 of the European Parliament and of the Council (*4) shall apply to documents held by the Agency.
  2.   The Management Board shall adopt the detailed rules for applying Regulation (EC) No 1049/2001.
  3.   Decisions taken by the Agency under Article 8 of Regulation (EC) No 1049/2001 may form the subject of a complaint to the Ombudsman or of an action before the Court of Justice of the European Union, under the conditions laid down in Articles 228 and 263 of the Treaty respectively.
  4.   The processing of personal data by the Agency shall be subject to Regulation (EC) No 45/2001 of the European Parliament and of the Council (*5).

  (*4)  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 (OJ L 145, 31.5.2001, p. 43)."


  (*5)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1.’;" |
| --- | --- |

(96)

Article 123 is replaced by the following:

‘Article 123

Transparency

1.   Regulation (EC) No 1049/2001 of the European Parliament and of the Council (*4) shall apply to documents held by the Agency.

2.   The Management Board shall adopt the detailed rules for applying Regulation (EC) No 1049/2001.

3.   Decisions taken by the Agency under Article 8 of Regulation (EC) No 1049/2001 may form the subject of a complaint to the Ombudsman or of an action before the Court of Justice of the European Union, under the conditions laid down in Articles 228 and 263 of the Treaty respectively.

4.   The processing of personal data by the Agency shall be subject to Regulation (EC) No 45/2001 of the European Parliament and of the Council (*5).

(*4)  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 (OJ L 145, 31.5.2001, p. 43)."

(*5)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1.’;"

| (97) | The following Article is inserted:
  ‘Article 123a
  Security rules on the protection of classified and sensitive non-classified information
  The Agency shall apply the security principles contained in the Commission's security rules for protecting European Union Classified Information (EUCI) and sensitive non-classified information, as set out in the annex to Commission Decision 2001/844/EC, ECSC, Euratom (*6). Applying the security principles shall cover, inter alia, provisions for the exchange, processing and storage of such information.

  (*6)  Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal Rules of Procedure (OJ L 317, 3.12.2001, p. 1.)’;" |
| --- | --- |

(97)

The following Article is inserted:

‘Article 123a

Security rules on the protection of classified and sensitive non-classified information

The Agency shall apply the security principles contained in the Commission's security rules for protecting European Union Classified Information (EUCI) and sensitive non-classified information, as set out in the annex to Commission Decision 2001/844/EC, ECSC, Euratom (*6). Applying the security principles shall cover, inter alia, provisions for the exchange, processing and storage of such information.

(*6)  Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal Rules of Procedure (OJ L 317, 3.12.2001, p. 1.)’;"

| (98) | In Title XII, the following Section is inserted:
  ‘SECTION 1a
  Tasks of the Agency and cooperation to promote convergence
  Article 123b
  Tasks of the Agency
  1.   The Agency shall have the following tasks:






  (a) | administration and promotion of the European
  Union
  trade mark system established in this Regulation; |
| --- | --- | --- |

(98)

In Title XII, the following Section is inserted:

‘SECTION 1a

Tasks of the Agency and cooperation to promote convergence

Article 123b

Tasks of the Agency

1.   The Agency shall have the following tasks:

(a)

administration and promotion of the European
  Union
  trade mark system established in this Regulation;

| (b) | administration and promotion of the European design system established in Council Regulation (EC) No 6/2002 (*7); |
| --- | --- |

(b)

administration and promotion of the European design system established in Council Regulation (EC) No 6/2002 (*7);

| (c) | promoting convergence of practices and tools in the fields of trade marks and designs in cooperation with the central industrial property offices in the Member States, including the Benelux Intellectual Property Office; |
| --- | --- |

(c)

promoting convergence of practices and tools in the fields of trade marks and designs in cooperation with the central industrial property offices in the Member States, including the Benelux Intellectual Property Office;

| (d) | the tasks referred to in Regulation (EU) No 386/2012 of the European Parliament and of the Council (*8); |
| --- | --- |

(d)

the tasks referred to in Regulation (EU) No 386/2012 of the European Parliament and of the Council (*8);

| (da) | the tasks conferred on it by Directive 2012/28/EU of the European Parliament and of the Council

   (*9)

  . [Am. 76] |
| --- | --- |

(da)

the tasks conferred on it by Directive 2012/28/EU of the European Parliament and of the Council

   (*9)

  . [Am. 76]

2.   The Agency shall cooperate with institutions, authorities, bodies, industrial property offices, international and non-governmental organisations in relation to the tasks laid down in paragraph 1.

3.   The Agency may provide voluntary mediation
  and arbitration
  services for the purpose of assisting parties in reaching an amicable settlement. [Am. 77]

Article 123c

Cooperation to promote convergence of practices and tools

1.   The Agency and the industrial property offices of the Member States and the Benelux Office for Intellectual Property shall cooperate with each other to promote convergence of practices and tools in the field of trade marks and designs.

This cooperation shall cover
  , inter alia,
  the following areas of activity: [Am. 78]

| (a) | the development of common examination standards; |
| --- | --- |

(a)

the development of common examination standards;

| (b) | the creation of common or connected databases and portals for Union-wide consultation, search and classification purposes; |
| --- | --- |

(b)

the creation of common or connected databases and portals for Union-wide consultation, search and classification purposes;

| (c) | the continuous provision and exchange of data and information, including the feeding of the databases and portals referred to in point (b); |
| --- | --- |

(c)

the continuous provision and exchange of data and information, including the feeding of the databases and portals referred to in point (b);

| (d) | the establishment of common standards and practices, with a view to ensuring interoperability between procedures and systems throughout the Union and enhancing their consistency, efficiency and effectiveness; |
| --- | --- |

(d)

the establishment of common standards and practices, with a view to ensuring interoperability between procedures and systems throughout the Union and enhancing their consistency, efficiency and effectiveness;

| (e) | the sharing of information on industrial property rights and procedures, including mutual support to helpdesks and information centres; |
| --- | --- |

(e)

the sharing of information on industrial property rights and procedures, including mutual support to helpdesks and information centres;

| (f) | the exchange of technical expertise and assistance in relation to the areas laid down in points (a) to (e). |
| --- | --- |

(f)

the exchange of technical expertise and assistance in relation to the areas laid down in points (a) to (e).

2.   The Agency shall define, elaborate and coordinate common projects of Union interest
  to the Union and Member States
  with regard to the areas referred to in paragraph 1. The project definition shall contain

  set out
  the specific obligations and responsibilities of each participating industrial property office of the Member States and the Benelux Office for Intellectual Property.
  Throughout all phases of the common projects, the Agency shall consult with users' representatives. [Am. 79]

3.   The industrial property offices of the Member States and the Benelux Office for Intellectual Property shall participate effectively in the common projects referred to in paragraph 2 with a view to ensuring their development, functioning, interoperability, and keeping up to date.

Nevertheless, if the outcome of those projects leads to the development of instruments that a Member State considers, by way of a substantiated decision, to be equivalent to instruments which already exist in that Member State, the participation in the cooperation project shall not give rise to an obligation to implement the outcome in that Member State. [Am. 80]

4.   The Agency shall provide financial support to the common projects of
  interest to the
  Union interest

  and Member States
  referred to in paragraph 2 to the extent
  that
  this is necessary
  in order
  to ensure the effective participation of the industrial property offices of the Member States and the Benelux Office for Intellectual Property in the projects within the meaning of paragraph 3. That financial support may take the form of grants. The total amount of funding shall not exceed 10 %

  20 %
  of the yearly income of the Agency
  and shall cover the minimum amount for every Member State for purposes closely related to the participation in common projects
  . The beneficiaries of grants shall be the industrial property offices of the Member States and the Benelux Office for Intellectual Property. Grants may be awarded without calls for proposals in accordance with the financial rules applicable to the Agency and with the principles of grant procedures contained in the Financial Regulation (EU,
  Euratom
  ) No 966/2012 of the European Parliament and of the Council (*10) and in the Commission delegated

  Delegated
  Regulation (EU) No 1268/2012 (*11). [Am. 81]

(*7)  Council Regulation (EC) No 6/2002 of 12 December 2001 on Community designs (OJ L 3, 5.1.2002, p. 1)."

(*8)  Regulation (EU) No 386/2012 of the European Parliament and of the Council of 19 April 2012 on entrusting the Office for Harmonization in the Internal Market (Trade Marks and Designs) with tasks related to the enforcement of intellectual property rights, including the assembling of public and private-sector representatives as a European Observatory on Infringements of Intellectual Property Rights (OJ L 129, 16.5.2012, p. 1)."

(*9)  
  Directive 2012/28/EU of the European Parliament and of the Council of 25 October 2012 on certain permitted uses of orphan works (OJ L 299, 27.10.2012, p. 5).
  "

(*10)  Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1)."

(*11)  Commission Delegated Regulation (EU) No 1268/2012 of 29 October 2012 on the rules of application of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council on the financial rules applicable to the general budget of the Union (OJ L 362, 31.12.2012, p. 1).’;"

| (99) | In Title XII, sections 2 and 3 are replaced by the following:
  ‘SECTION 2
  Management Board
  Article 124
  Functions of the Management Board
  1.   Without prejudice to the functions attributed to the Budget Committee in Section 5, the Management Board shall have the following functions:






  (a) | on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(c), the Management Board shall adopt the annual work programme of the Agency for the coming year, taking into account the opinion of the Commission, and shall forward the adopted annual work programme to the European Parliament, the Council and the Commission; |
| --- | --- | --- |

(99)

In Title XII, sections 2 and 3 are replaced by the following:

‘SECTION 2

Management Board

Article 124

Functions of the Management Board

1.   Without prejudice to the functions attributed to the Budget Committee in Section 5, the Management Board shall have the following functions:

(a)

on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(c), the Management Board shall adopt the annual work programme of the Agency for the coming year, taking into account the opinion of the Commission, and shall forward the adopted annual work programme to the European Parliament, the Council and the Commission;

| (b) | on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(d) and taking into account the opinion of the Commission, the Management Board shall adopt a multi-annual strategic programme for the Agency, including the Agency's strategy for international cooperation, following an exchange of views between the Executive Director and the relevant committee in the European Parliament, and shall forward the adopted multi-annual strategic programme to the European Parliament, the Council and the Commission; |
| --- | --- |

(b)

on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(d) and taking into account the opinion of the Commission, the Management Board shall adopt a multi-annual strategic programme for the Agency, including the Agency's strategy for international cooperation, following an exchange of views between the Executive Director and the relevant committee in the European Parliament, and shall forward the adopted multi-annual strategic programme to the European Parliament, the Council and the Commission;

| (c) | on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(f), the Management Board shall adopt the annual report and shall forward the adopted annual report to the European Parliament, the Council, the Commission and the Court of Auditors; |
| --- | --- |

(c)

on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(f), the Management Board shall adopt the annual report and shall forward the adopted annual report to the European Parliament, the Council, the Commission and the Court of Auditors;

| (d) | on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(g), the Management Board shall adopt the multiannual staff policy plan; |
| --- | --- |

(d)

on the basis of a draft submitted by the Executive Director in accordance with Article 128(4)(g), the Management Board shall adopt the multiannual staff policy plan;

| (e) | the Management Board shall adopt rules on the prevention and management of conflicts of interest in the Agency; |
| --- | --- |

(e)

the Management Board shall adopt rules on the prevention and management of conflicts of interest in the Agency;

| (f) | in accordance with paragraph 2, it shall exercise, with respect to the staff of the Agency, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contract of Employment (“the appointing authority powers”);
  [Am. 83] |
| --- | --- |

(f)

in accordance with paragraph 2, it shall exercise, with respect to the staff of the Agency, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contract of Employment (“the appointing authority powers”);
  [Am. 83]

| (g) | the Management Board shall adopt appropriate implementing rules to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with Article 110 of the Staff Regulations; |
| --- | --- |

(g)

the Management Board shall adopt appropriate implementing rules to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with Article 110 of the Staff Regulations;

| (h) | the Management Board shall appoint and may remove the Executive Director and the Deputy Executive Director or Deputy Executive Directors from office pursuant to Article 129, and shall appoint the President, the chairpersons and the members of the Boards of Appeal pursuant to Article 136; |
| --- | --- |

(h)

the Management Board shall appoint and may remove the Executive Director and the Deputy Executive Director or Deputy Executive Directors from office pursuant to Article 129, and shall appoint the President, the chairpersons and the members of the Boards of Appeal pursuant to Article 136;

| (i) | the Management Board shall ensure adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations referred to in Article 165a, as well as from investigations of the European Anti-fraud Office (OLAF); |
| --- | --- |

(i)

the Management Board shall ensure adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations referred to in Article 165a, as well as from investigations of the European Anti-fraud Office (OLAF);

| (ia) | the Management Board shall define and elaborate common projects of interest to the Union and Member States in accordance with Article 123c; [Am. 82] |
| --- | --- |

(ia)

the Management Board shall define and elaborate common projects of interest to the Union and Member States in accordance with Article 123c; [Am. 82]

| (j) | the Management Board shall be consulted before adoption of the guidelines for examination in the Agency and in the other cases provided for in this Regulation; |
| --- | --- |

(j)

the Management Board shall be consulted before adoption of the guidelines for examination in the Agency and in the other cases provided for in this Regulation;

| (k) | the Management Board may deliver opinions and requests for information to the Executive Director and to the Commission where it considers that this is necessary. |
| --- | --- |

(k)

the Management Board may deliver opinions and requests for information to the Executive Director and to the Commission where it considers that this is necessary.

2.   The Management Board shall adopt, in accordance with Article 110 of the Staff Regulations and 142 of the Conditions of Employment of Other Servants, a decision based on Article 2(1) of the Staff Regulations and on Article 6 of the Conditions of Employment of Other Servants, delegating the relevant appointing authority powers to the Executive Director and defining the conditions under which this delegation of powers can be suspended.

The Executive Director shall be authorised to sub-delegate those powers.

Where exceptional circumstances so require, the Management Board may by way of a decision temporarily suspend the delegation of the appointing authority powers to the Executive Director and those sub-delegated by the latter and exercise them itself or delegate them to one of its members or to a staff member other than the Executive Director.
  [Am. 84]

Article 125

Composition of the Management Board

1.   The Management Board shall be composed of one representative of each Member State and, two representatives of the Commission and
  one representative of the European Parliament and
  their
  respective
  alternates. [Am. 85]

2.   The members of the Management Board may, subject to its rules of procedure, be assisted by advisers or experts.

3.   The duration of the term of office shall be four years. The term of office shall be extendable.

Article 126

Chairperson of the Management Board

1.   The Management Board shall elect a chairperson and a deputy chairperson from among its members. The deputy chairperson shall ex officio replace the chairperson in the event of his being prevented from attending to his duties.

2.   The duration of the terms of office of the chairperson and the deputy chairperson shall be four years. The terms of office shall be renewable once. If, however, their membership of the Management Board ends at any time during their term of office, their term of office shall automatically expire on that date also.

Article 127

Meetings

1.   Meetings of the Management Board shall be convened by its chairperson.

2.   The Executive Director shall take part in the deliberations, unless the Management Board decides otherwise.

3.   The Management Board shall hold an ordinary meeting once

  twice
  a year. In addition, it shall meet on the initiative of its chairperson or at the request of the Commission
  , of the European Parliament
  or of one-third of the Member States. [Am. 87]

4.   The Management Board shall adopt rules of procedure.

5.   The Management Board shall take its decisions by an absolute majority of its members. However, a majority of two-thirds of its members shall be required for the decisions which the Management Board is empowered to take under
  points (a) and (b) of
  Article 124(1)(a) and (b), Article 126(1) and Article 129(2) and (4)

  (3)
  . In both cases each member shall have one vote. [Am. 88]

6.   The Management Board may invite observers to attend its meetings.

7.   The Secretariat for the Management Board shall be provided by the Agency.

SECTION 2a

Executive Board

Article 127a

Establishment

The Management Board may establish an Executive Board.

Article 127b

Functions and organisation

1.   The Executive Board shall assist the Management Board.

2.   The Executive Board shall have the following functions:

| (a) | preparing decisions to be adopted by the Management Board; |
| --- | --- |

(a)

preparing decisions to be adopted by the Management Board;

| (b) | ensuring, together with the Management Board, adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF); |
| --- | --- |

(b)

ensuring, together with the Management Board, adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF);

| (c) | without prejudice to the functions of the Executive Director, as set out in Article 128, assisting and advising the Executive Director in the implementation of the decisions of the Management Board, with a view to reinforcing supervision of administrative management. |
| --- | --- |

(c)

without prejudice to the functions of the Executive Director, as set out in Article 128, assisting and advising the Executive Director in the implementation of the decisions of the Management Board, with a view to reinforcing supervision of administrative management.

3.   When necessary, because of urgency, the Executive Board may take certain provisional decisions on behalf of the Management Board, in particular on administrative management matters, including the suspension of the delegation of the appointing authority powers.

4.   The Executive Board shall be composed of the Chairperson of the Management Board, one representative of the Commission to the Management Board and three other members appointed by the Management Board from among its members. The Chairperson of the Management Board shall also be the Chairperson of the Executive Board. The Executive Director shall take part in the meetings of the Executive Board, but shall not have the right to vote.

5.   The term of office of members of the Executive Board shall be four years. The term of office of members of the Executive Board shall end when their membership of the Management Board ends.

6.   The Executive Board shall hold at least one ordinary meeting every three months. In addition, it shall meet on the initiative of its Chairperson or at the request of its members.

7.   The Executive Board shall comply with the rules of procedure laid down by the Management Board.
  [Am. 86]

SECTION 3

Executive Director

Article 128

Functions of the Executive Director

1.   The Agency shall be managed by the Executive Director. The Executive Director shall be accountable to the Management Board.

2.   Without prejudice to the powers of the Commission, the Management Board, and the Budget Committee, the Executive Director shall be independent in the performance of the duties and shall neither seek nor take instructions from any government or from any other body.

3.   The Executive Director shall be the legal representative of the Agency.

4.   The Executive Director shall have in particular the following functions:

| (a) | he shall take all necessary steps, including the adoption of internal administrative instructions and the publication of notices, to ensure the functioning of the Agency; |
| --- | --- |

(a)

he shall take all necessary steps, including the adoption of internal administrative instructions and the publication of notices, to ensure the functioning of the Agency;

| (b) | he shall implement the decisions adopted by the Management Board; |
| --- | --- |

(b)

he shall implement the decisions adopted by the Management Board;

| (c) | he shall prepare a draft annual work programme indicating estimated human and financial resources for each activity, and submit it to the Management Board after consultation of the Commission; |
| --- | --- |

(c)

he shall prepare a draft annual work programme indicating estimated human and financial resources for each activity, and submit it to the Management Board after consultation of the Commission;

| (d) | he shall prepare a draft multiannual strategic programme, including the Agency's strategy for international cooperation, and submit it to the Management Board after consultation of the Commission and following an exchange of views with the relevant committee in the European Parliament; |
| --- | --- |

(d)

he shall prepare a draft multiannual strategic programme, including the Agency's strategy for international cooperation, and submit it to the Management Board after consultation of the Commission and following an exchange of views with the relevant committee in the European Parliament;

| (e) | he shall implement the annual work programme and the multiannual strategic programme and report to the Management Board on their implementation; |
| --- | --- |

(e)

he shall implement the annual work programme and the multiannual strategic programme and report to the Management Board on their implementation;

| (f) | he shall prepare the annual report on the Agency’s activities and present it to the Management Board for approval; |
| --- | --- |

(f)

he shall prepare the annual report on the Agency’s activities and present it to the Management Board for approval;

| (g) | he shall prepare a draft multiannual staff policy plan and submit it to the Management Board after consultation of the Commission; |
| --- | --- |

(g)

he shall prepare a draft multiannual staff policy plan and submit it to the Management Board after consultation of the Commission;

| (h) | he shall prepare an action plan following-up on the conclusions of the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF), and shall report on progress twice a year to the Commission and to the Management Board; |
| --- | --- |

(h)

he shall prepare an action plan following-up on the conclusions of the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF), and shall report on progress twice a year to the Commission and to the Management Board;

| (i) | he shall protect the financial interests of the Union by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by imposing effective, proportionate and dissuasive administrative and financial penalties; |
| --- | --- |

(i)

he shall protect the financial interests of the Union by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by imposing effective, proportionate and dissuasive administrative and financial penalties;

| (j) | he shall prepare an anti-fraud strategy of the Agency and shall present it to the Budget Committee for approval; |
| --- | --- |

(j)

he shall prepare an anti-fraud strategy of the Agency and shall present it to the Budget Committee for approval;

| (k) | in order to ensure uniform application of the Regulation, he may refer to the enlarged Board of Appeal questions on a point of law, in particular if the Boards of Appeal have issued diverging decisions on that point; |
| --- | --- |

(k)

in order to ensure uniform application of the Regulation, he may refer to the enlarged Board of Appeal questions on a point of law, in particular if the Boards of Appeal have issued diverging decisions on that point;

| (l) | he shall draw up estimates of the revenue and expenditure of the Agency and shall implement the budget; |
| --- | --- |

(l)

he shall draw up estimates of the revenue and expenditure of the Agency and shall implement the budget;

| (la) | without prejudice to Articles 125 and 136, he shall exercise, with respect to the staff of the Agency, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contracts of Employment (“the appointing authority powers”); [Am. 91] |
| --- | --- |

(la)

without prejudice to Articles 125 and 136, he shall exercise, with respect to the staff of the Agency, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contracts of Employment (“the appointing authority powers”); [Am. 91]

| (m) | he shall exercise the powers entrusted to him in respect of the staff by the Management Board under Article 124(1)(f);
  [Am. 89] |
| --- | --- |

(m)

he shall exercise the powers entrusted to him in respect of the staff by the Management Board under Article 124(1)(f);
  [Am. 89]

| (ma) | he may submit to the Commission any proposal to amend this Regulation, the delegated acts adopted pursuant to this Regulation and any other rules applying to European Union trade marks after consulting the Management Board and, in the case of fees and budgetary provisions laid down by this Regulation, the Budget Committee; [Am. 90] |
| --- | --- |

(ma)

he may submit to the Commission any proposal to amend this Regulation, the delegated acts adopted pursuant to this Regulation and any other rules applying to European Union trade marks after consulting the Management Board and, in the case of fees and budgetary provisions laid down by this Regulation, the Budget Committee; [Am. 90]

| (n) | he shall exercise the powers conferred to him by Articles 26(3), 29(5), 30(2), 45(3), 75(2), 78(5), 79, 79b, 79c, 87(3), 88, 89, 93(4), 119(8) and 144 in accordance with the criteria set out in this Regulation and in the delegated acts adopted pursuant to this Regulation; |
| --- | --- |

(n)

he shall exercise the powers conferred to him by Articles 26(3), 29(5), 30(2), 45(3), 75(2), 78(5), 79, 79b, 79c, 87(3), 88, 89, 93(4), 119(8) and 144 in accordance with the criteria set out in this Regulation and in the delegated acts adopted pursuant to this Regulation;

| (o) | he may delegate his functions. |
| --- | --- |

(o)

he may delegate his functions.

5.   The Executive Director shall be assisted by one or more Deputy Executive Directors. If the Executive Director is absent or indisposed, the Deputy Executive Director or one of the Deputy Executive Directors shall replace him in accordance with the procedure laid down by the Management Board.

Article 129

Appointment and removal of the Executive Director and extension of his term of office

1.   The Executive Director shall be engaged as a temporary agent of the Agency under Article 2(a) of the Conditions of Employment of Other Servants.

2.   The Executive Director shall be appointed by the Management Board, from a list of
  at least three
  candidates proposed by the Commission

  a pre-selection committee of the Management Board composed of representatives of the Member States, of the Commission and of the European Parliament
  , following an open and transparent selection procedure
  and the publication, in the Official Journal of the European Union and elsewhere, of a call for expressions of interest
  . Before being appointed, the candidate selected by the Management Board may be invited to make a statement before any competent European Parliament committee and to answer questions put by its members. For the purpose of concluding the contract with the Executive Director, the Agency shall be represented by the chairperson of the Management Board.

The Executive Director may be removed from office only upon a decision of the Management Board acting on a proposal from the European Commission
  , after an evaluation report has been prepared by the Commission at the request of the Management Board or the European Parliament
  .

3.   The term of office of the Executive Director shall be five years. By the end of that period, the Commission

  Management Board
  shall undertake an assessment which takes into account an evaluation of the performance of the Executive Director and the Agency's future tasks and challenges.
  The Management Board may extend once the term of office of the Executive Director for no more than five years. The Management Board, when taking its decisions on the extension of the term of office of the Executive Director, shall take into account the Commission's assessment report of the Executive Director's performance as well as the Agency's future tasks and challenges.

4.   The Management Board, acting on a proposal from the Commission which takes into account the assessment referred to in paragraph 3, may extend once the term of office of the Executive Director for no more than five years.

5.   An Executive Director whose term of office has been extended may not participate in another selection procedure for the same post at the end of the overall period.

6.   The Deputy Executive Director or Deputy Executive Directors shall be appointed or removed from office as provided for in paragraph 2, after consultation of the Executive Director and, where applicable, the Executive Director elect. The term of office of the Deputy Executive Director shall be five years. It may be extended once for no more than five years by the Management Board acting on a proposal from the Commission as provided for in paragraph 4

  3
  , after consultation of the Executive Director.’; [Am. 92]

| (100) | Article 130 is amended as follows:






  (a) | point (c) is replaced by the following:






  ‘(c) | a department entrusted with the keeping of the Register;’ |
| --- | --- | --- | --- |

(100)

Article 130 is amended as follows:

(a)

point (c) is replaced by the following:

‘(c)

a department entrusted with the keeping of the Register;’

| (b) | the following point is added:






  ‘(f) | any other unit or person appointed by the Executive Director to that effect.’; |
| --- | --- | --- |

(b)

the following point is added:

‘(f)

any other unit or person appointed by the Executive Director to that effect.’;

| (101) | In Article 132(2), the third sentence is replaced by the following:
  ‘In specific cases laid down in accordance with Article 144a(c), the decisions shall be taken by a single member.’; |
| --- | --- |

(101)

In Article 132(2), the third sentence is replaced by the following:

‘In specific cases laid down in accordance with Article 144a(c), the decisions shall be taken by a single member.’;

| (102) | Article 133 is replaced by the following:
  ‘Article 133
  Department entrusted with the keeping of the Register
  1.   The Department entrusted with the keeping of the Register shall be responsible for taking decisions in respect of entries in the Register.
  2.   It shall also be responsible for keeping the list of professional representatives referred to in Article 93(2).
  3.   The decisions of the Department shall be taken by one member.’; |
| --- | --- |

(102)

Article 133 is replaced by the following:

‘Article 133

Department entrusted with the keeping of the Register

1.   The Department entrusted with the keeping of the Register shall be responsible for taking decisions in respect of entries in the Register.

2.   It shall also be responsible for keeping the list of professional representatives referred to in Article 93(2).

3.   The decisions of the Department shall be taken by one member.’;

| (103) | Article 134 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   A Cancellation Division shall be responsible for taking decisions in relation to:






  (a) | an application for the revocation or declaration of invalidity of a European
  Union
  trade mark, |
| --- | --- | --- | --- |

(103)

Article 134 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   A Cancellation Division shall be responsible for taking decisions in relation to:

(a)

an application for the revocation or declaration of invalidity of a European
  Union
  trade mark,

| (b) | a request for the assignment of a European
  Union
  trade mark as provided for in Article 18.’; |
| --- | --- |

(b)

a request for the assignment of a European
  Union
  trade mark as provided for in Article 18.’;

| (b) | in paragraph 2, the third sentence is replaced by the following:
  ‘In specific cases laid down in accordance with Article 144a(c), the decisions shall be taken by a single member.’; |
| --- | --- |

(b)

in paragraph 2, the third sentence is replaced by the following:

‘In specific cases laid down in accordance with Article 144a(c), the decisions shall be taken by a single member.’;

| (104) | The following Article is inserted:
  ‘Article 134a
  General Competence
  Decisions required by this Regulation which do not fall within the competence of an examiner, an Opposition Division, a Cancellation Division or the Department entrusted with the keeping of the Register, shall be taken by any official or unit appointed by the Executive Director for that purpose.’; |
| --- | --- |

(104)

The following Article is inserted:

‘Article 134a

General Competence

Decisions required by this Regulation which do not fall within the competence of an examiner, an Opposition Division, a Cancellation Division or the Department entrusted with the keeping of the Register, shall be taken by any official or unit appointed by the Executive Director for that purpose.’;

| (105) | Article 135 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   The Boards of Appeal shall be responsible for deciding on appeals from decisions taken pursuant to Articles 131 to 134a.’; |
| --- | --- | --- |

(105)

Article 135 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   The Boards of Appeal shall be responsible for deciding on appeals from decisions taken pursuant to Articles 131 to 134a.’;

| (b) | in paragraph 3, point (a) is replaced by the following::






  ‘(a) | by the authority of the Boards of Appeal referred to in Article 136(4)(a); or’; |
| --- | --- | --- |

(b)

in paragraph 3, point (a) is replaced by the following::

‘(a)

by the authority of the Boards of Appeal referred to in Article 136(4)(a); or’;

| (c) | paragraph 4 is replaced by the following:
  ‘4.   The enlarged Board shall also be responsible for giving reasoned opinions on questions of law referred to it by the Executive Director pursuant to Article 128(4)(k).’; |
| --- | --- |

(c)

paragraph 4 is replaced by the following:

‘4.   The enlarged Board shall also be responsible for giving reasoned opinions on questions of law referred to it by the Executive Director pursuant to Article 128(4)(k).’;

| (d) | in paragraph 5, the last sentence is deleted; |
| --- | --- |

(d)

in paragraph 5, the last sentence is deleted;

| (106) | Article 136 is replaced by the following:
  ‘Article 136
  Independence of the members of the Boards of Appeal
  1.   The President of the Boards of Appeal and the chairpersons of the Boards shall be appointed, in accordance with the procedure laid down in Article 129 for the appointment of the Executive Director, for a term of five years. They shall not be removed from office during this term, unless there are serious grounds for such removal and the Court of Justice, on application by the institution which appointed them, takes a decision to this effect.
  2.   The term of office of the President of the Boards of Appeal may be extended once for one additional five-year period, or until retirement age if this age is reached during the new term of office, after a prior positive evaluation of his performance by the Management Board.
  3.   The term of office of the chairpersons of the Boards may be extended for additional five-year periods, or until retirement age if this age is reached during the new term of office, after a prior positive evaluation of their performance by the Management Board, subject to a favourable opinion by the President of the Boards of Appeal.
  4.   The President of the Boards of Appeal shall have the following managerial and organisational functions:






  (a) | chairing the authority of the Boards of Appeal responsible for laying down the rules and organising the work of the Boards; |
| --- | --- | --- |

(106)

Article 136 is replaced by the following:

‘Article 136

Independence of the members of the Boards of Appeal

1.   The President of the Boards of Appeal and the chairpersons of the Boards shall be appointed, in accordance with the procedure laid down in Article 129 for the appointment of the Executive Director, for a term of five years. They shall not be removed from office during this term, unless there are serious grounds for such removal and the Court of Justice, on application by the institution which appointed them, takes a decision to this effect.

2.   The term of office of the President of the Boards of Appeal may be extended once for one additional five-year period, or until retirement age if this age is reached during the new term of office, after a prior positive evaluation of his performance by the Management Board.

3.   The term of office of the chairpersons of the Boards may be extended for additional five-year periods, or until retirement age if this age is reached during the new term of office, after a prior positive evaluation of their performance by the Management Board, subject to a favourable opinion by the President of the Boards of Appeal.

4.   The President of the Boards of Appeal shall have the following managerial and organisational functions:

(a)

chairing the authority of the Boards of Appeal responsible for laying down the rules and organising the work of the Boards;

| (b) | ensuring the implementation of the authority's decisions; |
| --- | --- |

(b)

ensuring the implementation of the authority's decisions;

| (c) | allocating cases to a Board on the basis of objective criteria determined by the authority of the Boards of Appeal; |
| --- | --- |

(c)

allocating cases to a Board on the basis of objective criteria determined by the authority of the Boards of Appeal;

| (d) | forwarding to the Executive Director the Boards' expenditure requirements, with a view to drawing up the expenditure estimates. |
| --- | --- |

(d)

forwarding to the Executive Director the Boards' expenditure requirements, with a view to drawing up the expenditure estimates.

The President of the Boards of Appeal shall chair the enlarged Board.

5.   The members of the Boards of Appeal shall be appointed by the Management Board for a term of five years. Their term of office may be extended for additional five-year periods, or until retirement age if that age is reached during the new term of office after a prior positive evaluation of their performance by the Management Board, subject to a favourable opinion by the President of the Boards of Appeal.

6.   The members of the Boards of Appeal shall not be removed from office unless there are serious grounds for such removal and the Court of Justice, after the case has been referred to it by the Management Board on the recommendation of the President of the Boards of Appeal, after consulting the chairperson of the Board to which the member concerned belongs, takes a decision to this effect.

7.   The President of the Boards of Appeal and the chairpersons and members of the Boards of Appeal shall be independent. In their decisions they shall not be bound by any instructions.

8.   Decisions taken by an enlarged Board on appeals or opinions on questions of law referred to it by the Executive Director pursuant to Article 135 shall be binding on the decision-making instances of the Agency referred to in Article 130.

9.   The President of the Boards of Appeal and the chairpersons and members of the Boards of Appeal shall not be examiners or members of the Opposition Divisions, the Department entrusted with the keeping of the Register or Cancellation Divisions.

Article 136a

Mediation and arbitration centre

1.
     
  The Agency may establish a mediation and arbitration centre which is independent of the decision-making instances listed in Article 130. The centre shall be located on the Agency's premises.

2.
     
  Any natural or legal person may use the centre's services on a voluntary basis with the aim of resolving, by mutual agreement, disputes covered by this Regulation and by Directive ...

3.
     
  The Agency may also start an arbitration procedure on its own initiative with a view to giving parties the opportunity to reach an agreement by common consent.

4.
     
  The centre shall be led by a director who shall be responsible for the centre's activities.

5.
     
  The director shall be appointed by the Management Board.

6.
     
  The centre shall draw up rules governing mediation and arbitration procedures and rules governing the centre's work. The rules governing mediation and arbitration procedures and the rules governing the centre's work shall be ratified by the Management Board.

7.
     
  The centre shall establish a register of mediators and arbitrators who help parties to resolve disputes. They must be independent and possess relevant skills and experience. The register shall require the approval of the Management Board.

8.
     
  Examiners and members of the Division of the Institute or Boards of Appeal may not take part in any mediation or arbitration concerning a case in which they have:

| (a) | any prior involvement in the procedures undergoing mediation or arbitration; |
| --- | --- |

(a)

any prior involvement in the procedures undergoing mediation or arbitration;

| (b) | any personal interest; or |
| --- | --- |

(b)

any personal interest; or

| (c) | been previously involved as a representative of one of the parties. |
| --- | --- |

(c)

been previously involved as a representative of one of the parties.

9.
     
  No person called to testify as a member of an arbitration or mediation panel may be involved in the objection, annulment or proceedings which gave rise to the mediation or arbitration process.’; [Am. 93]

| (107) | Article 138 is replaced by the following:
  ‘Article 138
  Budget Committee
  1.   The Budget Committee shall have the functions assigned to it in this Section.
  2.   Articles 125, 126 and 127(1) to (4), (6) and (7) shall apply to the Budget Committee mutatis mutandis.
  3.   The Budget Committee shall take its decisions by an absolute majority of its members. However, a majority of two-thirds of its members shall be required for the decisions which the Budget Committee is empowered to take under Article 140(3) and Article 143. In both cases each member shall have one vote.’; |
| --- | --- |

(107)

Article 138 is replaced by the following:

‘Article 138

Budget Committee

1.   The Budget Committee shall have the functions assigned to it in this Section.

2.   Articles 125, 126 and 127(1) to (4), (6) and (7) shall apply to the Budget Committee mutatis mutandis.

3.   The Budget Committee shall take its decisions by an absolute majority of its members. However, a majority of two-thirds of its members shall be required for the decisions which the Budget Committee is empowered to take under Article 140(3) and Article 143. In both cases each member shall have one vote.’;

| (108) | In Article 139 the following paragraphs are added:
  ‘4.   The Agency shall prepare on a biannual basis a report to the
  European Parliament, the Council and the
  Commission on its financial situation. On the basis of this

  that
  report, the Commission shall review the financial situation of the Agency. [Am. 94]



  4a.
     
  The Agency shall provide for a reserve fund covering one year of its operational expenditure to ensure the continuity of its operations.
  ’; [Am. 95] |
| --- | --- |

(108)

In Article 139 the following paragraphs are added:

‘4.   The Agency shall prepare on a biannual basis a report to the
  European Parliament, the Council and the
  Commission on its financial situation. On the basis of this

  that
  report, the Commission shall review the financial situation of the Agency. [Am. 94]

4a.
     
  The Agency shall provide for a reserve fund covering one year of its operational expenditure to ensure the continuity of its operations.
  ’; [Am. 95]

| (109) | The following Article is inserted:
  ‘Article 141a
  Combating fraud
  1.   In order to facilitate combating fraud, corruption and other unlawful activities under Regulation (EC) No 1073/1999 of the European Parliament and of the Council (*12) the Agency shall accede to the Interinstitutional Agreement of 25 May 1999 concerning internal investigations by the European Anti-fraud Office (OLAF) and adopt the appropriate provisions applicable to all the employees of the Agency using the template set out in the Annex to that Agreement.
  2.   The European Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds from the Agency.
  3.   OLAF may carry out investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Regulation (EC) No 1073/1999 and Council Regulation (Euratom, EC) No 2185/96 (*13) with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant or a contract funded by the Agency.
  4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, contracts, grant agreements and grant decisions of the Agency shall contain provisions expressly empowering the European Court of Auditors and OLAF to conduct such audits and investigations, according to their respective competences.
  5.   The Budget Committee shall adopt an anti-fraud strategy, which is proportionate to the fraud risks having regard to the cost-benefit of the measures to be implemented.

  (*12)  Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF) (OJ L 136, 31.5.1999, p. 1)."


  (*13)  Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).’;" |
| --- | --- |

(109)

The following Article is inserted:

‘Article 141a

Combating fraud

1.   In order to facilitate combating fraud, corruption and other unlawful activities under Regulation (EC) No 1073/1999 of the European Parliament and of the Council (*12) the Agency shall accede to the Interinstitutional Agreement of 25 May 1999 concerning internal investigations by the European Anti-fraud Office (OLAF) and adopt the appropriate provisions applicable to all the employees of the Agency using the template set out in the Annex to that Agreement.

2.   The European Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds from the Agency.

3.   OLAF may carry out investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Regulation (EC) No 1073/1999 and Council Regulation (Euratom, EC) No 2185/96 (*13) with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant or a contract funded by the Agency.

4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, contracts, grant agreements and grant decisions of the Agency shall contain provisions expressly empowering the European Court of Auditors and OLAF to conduct such audits and investigations, according to their respective competences.

5.   The Budget Committee shall adopt an anti-fraud strategy, which is proportionate to the fraud risks having regard to the cost-benefit of the measures to be implemented.

(*12)  Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF) (OJ L 136, 31.5.1999, p. 1)."

(*13)  Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).’;"

| (110) | Article 144 is replaced by the following:
  ‘Article 144
  Fees
  1.   In addition to the fees provided for in Articles 26(2), 36(1)(c), 41(3), 44(4), 47(1) and (3), 49(4), 56(2), 60, 81(3), 82(1), 113(1) and 147(5), fees shall be charged in the following cases:






  (a) | issue of a copy of the certificate of registration; |
| --- | --- | --- |

(110)

Article 144 is replaced by the following:

‘Article 144

Fees

1.   In addition to the fees provided for in Articles 26(2), 36(1)(c), 41(3), 44(4), 47(1) and (3), 49(4), 56(2), 60, 81(3), 82(1), 113(1) and 147(5), fees shall be charged in the following cases:

(a)

issue of a copy of the certificate of registration;

| (b) | registration of a license or another right in respect of a European
  Union
  trade mark; |
| --- | --- |

(b)

registration of a license or another right in respect of a European
  Union
  trade mark;

| (c) | registration of a license or another right in respect of an application for a European
  Union
  trade mark; |
| --- | --- |

(c)

registration of a license or another right in respect of an application for a European
  Union
  trade mark;

| (d) | cancellation of the registration of a license or another right; |
| --- | --- |

(d)

cancellation of the registration of a license or another right;

| (e) | alteration of a registered European
  Union
  trade mark; |
| --- | --- |

(e)

alteration of a registered European
  Union
  trade mark;

| (f) | issue of an extract from the Register; |
| --- | --- |

(f)

issue of an extract from the Register;

| (g) | inspection of the files; |
| --- | --- |

(g)

inspection of the files;

| (h) | issue of copies of file documents; |
| --- | --- |

(h)

issue of copies of file documents;

| (i) | issue of certified copies of the application; |
| --- | --- |

(i)

issue of certified copies of the application;

| (j) | communication of information in a file; |
| --- | --- |

(j)

communication of information in a file;

| (k) | review of the determination of the procedural costs to be refunded. |
| --- | --- |

(k)

review of the determination of the procedural costs to be refunded.

2.   The amounts of the fees referred to in paragraph 1 shall be fixed at such level

  the levels set out in Annex -I so
  as to ensure that the revenue in respect thereof is in principle sufficient for the budget of the Agency to be balanced while avoiding the accumulation of significant surpluses. Without prejudice to Article 139(4), the Commission shall review the level of fees should a significant surplus become recurrent. If this review does not lead to a reduction or modification in the level of fees which has the effect of preventing the further accumulation of a significant surplus, the surplus accumulated after the review shall be transferred to the budget of the Union.
  [Am. 96]

3.   The Executive Director shall lay down the amount to be charged for any services provided by the Agency other than those referred to in paragraph 1 and for publications issued by the Agency in accordance with the criteria set out in the delegated act adopted pursuant to Article 144a(d). The amount of the charge shall not exceed what is necessary to cover the costs of the specific service rendered by the Agency.

4.   In accordance with the criteria set out in the delegated act adopted pursuant to Article 144a(d), the Executive Director may take the following measures:

| (a) | he may establish which specific methods of payment other than those set out in accordance with Article 144a(d) may be used, in particular by means of deposits in current accounts held with the Agency; |
| --- | --- |

(a)

he may establish which specific methods of payment other than those set out in accordance with Article 144a(d) may be used, in particular by means of deposits in current accounts held with the Agency;

| (b) | he may determine the amounts below which an excessive sum paid to cover a fee or a charge shall not be refunded; |
| --- | --- |

(b)

he may determine the amounts below which an excessive sum paid to cover a fee or a charge shall not be refunded;

| (c) | he may waive action for the enforced recovery of any sum due where the sum to be recovered is minimal or where such recovery is too uncertain. |
| --- | --- |

(c)

he may waive action for the enforced recovery of any sum due where the sum to be recovered is minimal or where such recovery is too uncertain.

Where the methods of payment referred to in point (a) may be used, the Executive Director shall establish the date on which such payments are to be considered to have been made to the Agency.’;

| (111) | The following Section is inserted:
  ‘SECTION 6
  Delegation of powers
  Article 144a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 in order to establish:






  (a) | the specific criteria of use of the languages referred to in Article 119; |
| --- | --- | --- |

(111)

The following Section is inserted:

‘SECTION 6

Delegation of powers

Article 144a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 in order to establish:

(a)

the specific criteria of use of the languages referred to in Article 119;

| (b) | the cases in which opposition and cancellation decisions shall be taken by a single member under Article 132(2) and Article 134(2); |
| --- | --- |

(b)

the cases in which opposition and cancellation decisions shall be taken by a single member under Article 132(2) and Article 134(2);

| (c) | the details on the organisation of the Boards of Appeal, including the setting up and the role of the authority of the Boards of Appeal referred to in Article 135(3)(a), the composition of the enlarged Board and the rules on referrals to it as referred to in Article 135(4), and the conditions under which decisions shall be taken by a single member in accordance with Article 135(2) and (5);
  [Am. 97] |
| --- | --- |

(c)

the details on the organisation of the Boards of Appeal, including the setting up and the role of the authority of the Boards of Appeal referred to in Article 135(3)(a), the composition of the enlarged Board and the rules on referrals to it as referred to in Article 135(4), and the conditions under which decisions shall be taken by a single member in accordance with Article 135(2) and (5);
  [Am. 97]

| (d) | the system of fees and charges payable to the Agency in accordance with Article 144, including the amount of fees, the methods of payment, the currencies, the due date for fees and charges, the deemed date of payment and the consequences of lack of or late payment, and under- and overpayment, the services which may be free of charge, and the criteria under which the Executive Director may exercise the powers set out in Article 144(3) and (4).’; [Am. 98] |
| --- | --- |

(d)

the system of fees and charges payable to the Agency in accordance with Article 144, including the amount of fees, the methods of payment, the currencies, the due date for fees and charges, the deemed date of payment and the consequences of lack of or late payment, and under- and overpayment, the services which may be free of charge, and the criteria under which the Executive Director may exercise the powers set out in Article 144(3) and (4).’; [Am. 98]

| (112) | In Article 145, the words ‘its Implementing Regulations’ are

  is
  replaced by ‘the delegated acts adopted pursuant to this Regulation’;

  the following:




  ‘Article 145




  Application of provisions




  Unless otherwise specified in this title, this Regulation and the delegated acts adopted pursuant to this Regulation shall apply to applications for international registrations under the Protocol relating to the Madrid Agreement concerning the international registration of marks, adopted at Madrid on 27 June 1989 (hereafter referred to as “international applications” and “the Madrid Protocol” respectively), based on an application for a European Union trade mark or on a European Union trade mark and to registrations of marks in the international register maintained by the International Bureau of the World Intellectual Property Organisation (hereafter referred to as “international registrations” and “the International Bureau”, respectively) designating the European Union.’; [Am. 99] |
| --- | --- |

(112)

In Article 145, the words ‘its Implementing Regulations’ are

  is
  replaced by ‘the delegated acts adopted pursuant to this Regulation’;

  the following:

‘Article 145

Application of provisions

Unless otherwise specified in this title, this Regulation and the delegated acts adopted pursuant to this Regulation shall apply to applications for international registrations under the Protocol relating to the Madrid Agreement concerning the international registration of marks, adopted at Madrid on 27 June 1989 (hereafter referred to as “international applications” and “the Madrid Protocol” respectively), based on an application for a European Union trade mark or on a European Union trade mark and to registrations of marks in the international register maintained by the International Bureau of the World Intellectual Property Organisation (hereafter referred to as “international registrations” and “the International Bureau”, respectively) designating the European Union.’; [Am. 99]

| (113) | In Article 147, paragraphs 4, 5 and 6 are replaced by the following:
  ‘4.   The filing of an international application shall be subject to the payment of a fee to the Agency. Where the international registration is to be based on a European
  Union
  trade mark once it is registered, the fee shall be due on the date of registration of the European
  Union
  trade mark. The application shall be deemed not to have been filed until the required fee has been paid.

  5.   The international application shall fulfil the formal conditions established in accordance with Article 161a(a).

  6.   The Agency shall examine whether the international application meets the conditions laid down in Article 146 and in paragraphs 1, 3 and 5 of this Article.
  7.   The Agency shall forward the international application to the International Bureau as soon as possible.’; [Am. 100] |
| --- | --- |

(113)

In Article 147, paragraphs 4, 5 and 6 are replaced by the following:

‘4.   The filing of an international application shall be subject to the payment of a fee to the Agency. Where the international registration is to be based on a European
  Union
  trade mark once it is registered, the fee shall be due on the date of registration of the European
  Union
  trade mark. The application shall be deemed not to have been filed until the required fee has been paid.

5.   The international application shall fulfil the formal conditions established in accordance with Article 161a(a).

6.   The Agency shall examine whether the international application meets the conditions laid down in Article 146 and in paragraphs 1, 3 and 5 of this Article.

7.   The Agency shall forward the international application to the International Bureau as soon as possible.’; [Am. 100]

| (114) | The following Article is inserted:
  ‘Article 148a
  Notification of the invalidity of the basic application or registration

  Within

  During
  a period of five years from the date of the international registration, the Agency shall notify the International Bureau of the

  any
  facts and decisions affecting the validity of the European
  Union
  trade mark application or the European
  Union
  trade mark registration on which the international registration was based.’; [Am. 101] |
| --- | --- |

(114)

The following Article is inserted:

‘Article 148a

Notification of the invalidity of the basic application or registration

Within

  During
  a period of five years from the date of the international registration, the Agency shall notify the International Bureau of the

  any
  facts and decisions affecting the validity of the European
  Union
  trade mark application or the European
  Union
  trade mark registration on which the international registration was based.’; [Am. 101]

| (115) | In Article 149, the following sentence is added:


  ‘The request shall fulfil the formal conditions established in accordance with Article 161a(c).’;
  [Am. 102] |
| --- | --- |

(115)

In Article 149, the following sentence is added:

‘The request shall fulfil the formal conditions established in accordance with Article 161a(c).’;
  [Am. 102]

| (116) | Article 154(4) is deleted; |
| --- | --- |

(116)

Article 154(4) is deleted;

| (117) | The following Article is inserted:
  ‘Article 154a
  Collective and certification marks
  Where an international registration is based on a basic application or basic registration relating to a collective mark, certification mark or guarantee mark, the Agency shall comply with the procedures provided for in accordance with Article 161a(f)

  the international registration designating the European Union shall be dealt with as a European Union collective mark
  .
  The holder of the international registration shall submit the regulations governing use of the mark as provided for in Article 67 directly to the Agency within a period of two months from the date on which the International Bureau notifies the international registration to the Agency
  .’; [Am. 103] |
| --- | --- |

(117)

The following Article is inserted:

‘Article 154a

Collective and certification marks

Where an international registration is based on a basic application or basic registration relating to a collective mark, certification mark or guarantee mark, the Agency shall comply with the procedures provided for in accordance with Article 161a(f)

  the international registration designating the European Union shall be dealt with as a European Union collective mark
  .
  The holder of the international registration shall submit the regulations governing use of the mark as provided for in Article 67 directly to the Agency within a period of two months from the date on which the International Bureau notifies the international registration to the Agency
  .’; [Am. 103]

| (118) | Article 155 is deleted; |
| --- | --- |

(118)

Article 155 is deleted;

| (119) | Article 156 is amended as follows:






  (a) | in paragraph 2, the words ‘six months’ are

  is
  replaced by ‘one month’;

  the following:




  ‘2.
     
  Notice of opposition shall be filed within a period of three months which shall begin one month following the date of the publication pursuant to Article 152(1). The opposition shall not be treated as duly entered until the opposition fee has been paid.’; [Am. 104] |
| --- | --- | --- |

(119)

Article 156 is amended as follows:

(a)

in paragraph 2, the words ‘six months’ are

  is
  replaced by ‘one month’;

  the following:

‘2.
     
  Notice of opposition shall be filed within a period of three months which shall begin one month following the date of the publication pursuant to Article 152(1). The opposition shall not be treated as duly entered until the opposition fee has been paid.’; [Am. 104]

| (b) | paragraph 4 is deleted; |
| --- | --- |

(b)

paragraph 4 is deleted;

| (120) | The following Articles are inserted:
  ‘Article 158a
  Legal effect of registration of transfers
  The recordal of a change in the ownership of the international registration on the International Register shall have the same effect as the entry of a transfer in the Register pursuant to Article 17.
  Article 158b
  Legal effect of registration of licenses and other rights
  The recordal of a license or a restriction of the holder's right of disposal in respect of the international registration in the International Register shall have the same effect as the registration of a license, a right in rem, a levy of execution or insolvency proceedings in the Register pursuant to Articles 19, 20, 21 and 22 respectively.
  Article 158c
  Examination of requests for registration of transfers, licenses or restrictions of the holder's right of disposal
  The Agency shall transmit requests to register a change in ownership, a license or a restriction of the holder's right of disposal, the amendment or cancellation of a license or the removal of a restriction of the holder's right of disposal which have been filed with it to the International Bureau in the cases specified in accordance with Article 161a(h).’; [Am. 105] |
| --- | --- |

(120)

The following Articles are inserted:

‘Article 158a

Legal effect of registration of transfers

The recordal of a change in the ownership of the international registration on the International Register shall have the same effect as the entry of a transfer in the Register pursuant to Article 17.

Article 158b

Legal effect of registration of licenses and other rights

The recordal of a license or a restriction of the holder's right of disposal in respect of the international registration in the International Register shall have the same effect as the registration of a license, a right in rem, a levy of execution or insolvency proceedings in the Register pursuant to Articles 19, 20, 21 and 22 respectively.

Article 158c

Examination of requests for registration of transfers, licenses or restrictions of the holder's right of disposal

The Agency shall transmit requests to register a change in ownership, a license or a restriction of the holder's right of disposal, the amendment or cancellation of a license or the removal of a restriction of the holder's right of disposal which have been filed with it to the International Bureau in the cases specified in accordance with Article 161a(h).’; [Am. 105]

| (121) | Article 159 is amended as follows:






  (a) | in paragraph 1, point (b) is replaced by the following:






  ‘(b) | into a designation of a Member State party to the Madrid Protocol, provided that on the date when conversion was requested it was possible to have designated that Member State directly under the Madrid Protocol. Articles 112, 113 and 114 shall apply.’; |
| --- | --- | --- | --- |

(121)

Article 159 is amended as follows:

(a)

in paragraph 1, point (b) is replaced by the following:

‘(b)

into a designation of a Member State party to the Madrid Protocol, provided that on the date when conversion was requested it was possible to have designated that Member State directly under the Madrid Protocol. Articles 112, 113 and 114 shall apply.’;

| (b) | in paragraph 2, the words ‘or the Madrid Agreement’ are deleted;

  is replaced by the following:




  ‘2.
     
  The national trade mark application or the designation of a Member State party to the Madrid Protocol [...] resulting from the conversion of the designation of the European Union through an international registration shall enjoy, in respect of the Member State concerned, the date of the international registration pursuant to Article 3(4) of the Madrid Protocol or the date of the extension to the European Union pursuant to Article 3ter(2) of the Madrid Protocol if the latter was made subsequently to the international registration, or the date of priority of that registration and, where appropriate, the seniority of a trade mark of that State claimed under Article 153.’; [Am. 106] |
| --- | --- |

(b)

in paragraph 2, the words ‘or the Madrid Agreement’ are deleted;

  is replaced by the following:

‘2.
     
  The national trade mark application or the designation of a Member State party to the Madrid Protocol [...] resulting from the conversion of the designation of the European Union through an international registration shall enjoy, in respect of the Member State concerned, the date of the international registration pursuant to Article 3(4) of the Madrid Protocol or the date of the extension to the European Union pursuant to Article 3ter(2) of the Madrid Protocol if the latter was made subsequently to the international registration, or the date of priority of that registration and, where appropriate, the seniority of a trade mark of that State claimed under Article 153.’; [Am. 106]

| (122) | In Title XIII the following Section is inserted:
  ‘SECTION 4
  Conferral of powers
  Article 161a
  Delegation of powers
  The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:






  (a) | the formal conditions of an international application referred to in Article 147(5), the procedure for the examination of the international application pursuant to Article 147(6) and the modalities of forwarding the international application to the International Bureau pursuant to Article 147(4); [Am. 107] |
| --- | --- | --- |

(122)

In Title XIII the following Section is inserted:

‘SECTION 4

Conferral of powers

Article 161a

Delegation of powers

The Commission shall be empowered to adopt delegated acts in accordance with Article 163 specifying:

(a)

the formal conditions of an international application referred to in Article 147(5), the procedure for the examination of the international application pursuant to Article 147(6) and the modalities of forwarding the international application to the International Bureau pursuant to Article 147(4); [Am. 107]

| (b) | the modalities of the notification provided for in Article 148a; |
| --- | --- |

(b)

the modalities of the notification provided for in Article 148a;

| (c) | the formal conditions of a request for territorial extension as referred to in Article 149(2), the procedure for the examination of those conditions and the modalities of forwarding the request for territorial extension to the International Bureau; [Am. 108] |
| --- | --- |

(c)

the formal conditions of a request for territorial extension as referred to in Article 149(2), the procedure for the examination of those conditions and the modalities of forwarding the request for territorial extension to the International Bureau; [Am. 108]

| (d) | the procedure for filing a seniority claim pursuant to Article 153; |
| --- | --- |

(d)

the procedure for filing a seniority claim pursuant to Article 153;

| (e) | the procedures for the examination of absolute grounds for refusal referred to in Article 154 and for the filing and examination of an opposition pursuant to Article 156, including the necessary communications to be made to the International Bureau; |
| --- | --- |

(e)

the procedures for the examination of absolute grounds for refusal referred to in Article 154 and for the filing and examination of an opposition pursuant to Article 156, including the necessary communications to be made to the International Bureau;

| (f) | the procedures with regard to the international registrations referred to in Article 154a; |
| --- | --- |

(f)

the procedures with regard to the international registrations referred to in Article 154a;

| (g) | the cases where the Agency shall notify the International Bureau of the invalidation of the effects of an international registration pursuant to Article 158 and the information that such notification shall contain; |
| --- | --- |

(g)

the cases where the Agency shall notify the International Bureau of the invalidation of the effects of an international registration pursuant to Article 158 and the information that such notification shall contain;

| (h) | the modalities of transmission of the requests referred to in Article 158c to the International Bureau; |
| --- | --- |

(h)

the modalities of transmission of the requests referred to in Article 158c to the International Bureau;

| (i) | the conditions with which a request for conversion pursuant to Article 159(1) shall comply; |
| --- | --- |

(i)

the conditions with which a request for conversion pursuant to Article 159(1) shall comply;

| (j) | the formal conditions of an application for transformation referred to in Article 161 and the procedures for such a transformation; |
| --- | --- |

(j)

the formal conditions of an application for transformation referred to in Article 161 and the procedures for such a transformation;

| (k) | the modalities of communications between the Agency and the International Bureau, including the communications to be made pursuant to Articles 147(4), 148a, 153(2) and 158c.’; [Am. 109] |
| --- | --- |

(k)

the modalities of communications between the Agency and the International Bureau, including the communications to be made pursuant to Articles 147(4), 148a, 153(2) and 158c.’; [Am. 109]

| (123) | Article 162 is deleted; |
| --- | --- |

(123)

Article 162 is deleted;

| (124) | Article 163 is deleted; |
| --- | --- |

(124)

Article 163 is deleted;

| (125) | The following Article is inserted:
  ‘Article 163a
  Exercise of the delegation
  1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
  2.   The delegation of power referred to in Articles 24a, 35a, 45a, 49a, 57a, 65a, 74a, 74k, 93a, 114a, 144a and 161a shall be conferred for an indeterminate period of time.
  3.   The delegation of power referred to in paragraph 2 may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
  4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
  5.   A delegated act adopted pursuant to Articles 24a, 35a, 45a, 49a, 57a, 65a, 74a, 74k, 93a, 114a, 144a and 161a shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of 2

  four
  months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by 2

  two
  months at the initiative of the European Parliament or the Council.’; [Am. 110] |
| --- | --- |

(125)

The following Article is inserted:

‘Article 163a

Exercise of the delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The delegation of power referred to in Articles 24a, 35a, 45a, 49a, 57a, 65a, 74a, 74k, 93a, 114a, 144a and 161a shall be conferred for an indeterminate period of time.

3.   The delegation of power referred to in paragraph 2 may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Articles 24a, 35a, 45a, 49a, 57a, 65a, 74a, 74k, 93a, 114a, 144a and 161a shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of 2

  four
  months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by 2

  two
  months at the initiative of the European Parliament or the Council.’; [Am. 110]

| (126) | Article 164 is deleted; |
| --- | --- |

(126)

Article 164 is deleted;

| (127) | The following Article is inserted:
  ‘Article 165a
  Evaluation and review
  1.   By 2019, and every five years thereafter, the Commission shall commission an evaluation on

  evaluate
  the implementation of this Regulation. [Am. 112]

  2.   The evaluation shall review the legal framework for cooperation between the Agency and the central industrial property offices of the Member States and the Benelux Office for Intellectual Property, with a particular attention to the financing mechanism. The evaluation shall further assess the impact, effectiveness and efficiency of the Agency and its working practices. The evaluation shall, in particular, address the possible need to modify the mandate of the Agency, and the financial implications of any such modification.
  3.   The Commission shall forward the evaluation report together with its conclusions drawn on the report to the European Parliament, the Council and the Management Board. The findings of the evaluation shall be made public.
  4.   On the occasion of every second evaluation, there shall be an assessment of the results achieved by the Agency having regard to its objectives, mandate and tasks. If the Commission considers that the continuation of the Agency is no longer justified with regard to its assigned objectives, mandate and tasks, it may propose that this Regulation be repealed.’ |
| --- | --- |

(127)

The following Article is inserted:

‘Article 165a

Evaluation and review

1.   By 2019, and every five years thereafter, the Commission shall commission an evaluation on

  evaluate
  the implementation of this Regulation. [Am. 112]

2.   The evaluation shall review the legal framework for cooperation between the Agency and the central industrial property offices of the Member States and the Benelux Office for Intellectual Property, with a particular attention to the financing mechanism. The evaluation shall further assess the impact, effectiveness and efficiency of the Agency and its working practices. The evaluation shall, in particular, address the possible need to modify the mandate of the Agency, and the financial implications of any such modification.

3.   The Commission shall forward the evaluation report together with its conclusions drawn on the report to the European Parliament, the Council and the Management Board. The findings of the evaluation shall be made public.

4.   On the occasion of every second evaluation, there shall be an assessment of the results achieved by the Agency having regard to its objectives, mandate and tasks. If the Commission considers that the continuation of the Agency is no longer justified with regard to its assigned objectives, mandate and tasks, it may propose that this Regulation be repealed.’

| (127a) | The following Annex is inserted:




  ‘Annex -I




  Amount of fees




  The fees to be paid to the Agency under this Regulation and under Regulation (EC) No 2868/95 shall be as follows:
















  1. | Basic fee for the application for an individual mark (Article 26(2), Rule 4(a)) |
| --- | --- | --- |

(127a)

The following Annex is inserted:

‘Annex -I

Amount of fees

The fees to be paid to the Agency under this Regulation and under Regulation (EC) No 2868/95 shall be as follows:

1.

EUR 925

| 1a. | Search fee for a European Union trade mark application (Article 38(2), Rule 4(c)) |
| --- | --- |

1a.

The amount of EUR 12 multiplied by the number of central industrial property offices referred to in Article 38(2); that amount, and the subsequent changes, shall be published by the Agency in the Official Journal of the Agency

| 1b. | Basic fee for the application for an individual mark by electronic means (Article 26(2), Rule 4(a)) |
| --- | --- |

1b.

EUR 775

| 1c. | Basic fee for the application for an individual mark by electronic means, using the online classification database (Article 26(2), Rule 4(a)) |
| --- | --- |

1c.

EUR 725

| 2. | Fee for the second class of goods and services for an individual mark (Article 26(2), Rule 4(b)) |
| --- | --- |

2.

EUR 50

| 2a. | Fee for the third class of goods and services for an individual mark (Article 26(2), Rule 4(b)) |
| --- | --- |

2a.

EUR 75

| 2b. | Fee for each class of goods and services exceeding three for an individual mark (Article 26(2), Rule 4(b)) |
| --- | --- |

2b.

EUR 150

| 3. | Basic fee for the application for a collective mark (Article 26(2) and Article 66(3), Rule 4(a) and Rule 42) |
| --- | --- |

3.

EUR 1 000

| 3a. | Basic fee for the application for a collective mark by electronic means, using the online classification database (Article 26(2) and Article 66(3), Rule 4(a) and Rule 42) |
| --- | --- |

3a.

EUR 950

| 4. | Fee for the second class of goods and services for a collective mark (Article 26(2) and Article 66(3), Rule 4(b) and Rule 42) |
| --- | --- |

4.

EUR 50

| 4a. | Fee for the third class of goods and services for a collective mark (Article 26(2) and Article 66(3), Rule 4(b) and Rule 42) |
| --- | --- |

4a.

EUR 75

| 4b. | Fee for each class of goods and services exceeding three for a collective mark (Article 26(2) and 66(3), Rule 4(b) and Rule 42) |
| --- | --- |

4b.

EUR 150

| 5. | Opposition fee (Article 41(3); Rule 17(1)) |
| --- | --- |

5.

EUR 350

| 7. | Basic fee for the registration of an individual mark (Article 45) |
| --- | --- |

7.

EUR 0

| 8. | Fee for each class of goods and services exceeding three for an individual mark (Article 45) |
| --- | --- |

8.

EUR 0

| 9. | Basic fee for the registration of a collective mark (Article 45 and Article 66(3)) |
| --- | --- |

9.

EUR 0

| 10. | Fee for each class of goods and services exceeding three for a collective mark (Article 45 and Article 64(3)) |
| --- | --- |

10.

EUR 0

| 11. | Additional fee for late payment of the registration fee (point 2 of Article 162(2)) |
| --- | --- |

11.

EUR 0

| 12. | Basic fee for the renewal of an individual mark (Article 47(1), Rule 30(2)(a)) |
| --- | --- |

12.

EUR 1 150

| 12a. | Basic fee for the renewal of an individual mark by electronic means (Article 47(1), Rule 30(2)(a)) |
| --- | --- |

12a.

EUR 1 000

| 13. | Fee for the renewal of the second class of goods and services for an individual mark (Article 47(1), Rule 30(2)(b)) |
| --- | --- |

13.

EUR 100

| 13a. | Fee for the renewal of the third class of goods and services for an individual mark (Article 47(1), Rule 30(2)(b)) |
| --- | --- |

13a.

EUR 150

| 13b. | Fee for the renewal of each class of goods and services exceeding three for an individual mark (Article 47(1), Rule 30(2)(b)) |
| --- | --- |

13b.

EUR 300

| 14. | Basic fee for the renewal of a collective mark (Article 47(1) and Article 66(3), Rule 30(2)(a) and Rule 42) |
| --- | --- |

14.

EUR 1 275

| 15. | Fee for the renewal of the second class of goods and services for a collective mark (Article 47(1) and Article 66(3), Rule 30(2)(b) and Rule 42) |
| --- | --- |

15.

EUR 100

| 15a. | Fee for the renewal of the third class of goods and services for a collective mark (Article 47(1) and Article 66(3), Rule 30(2)(b) and Rule 42) |
| --- | --- |

15a.

EUR 150

| 15b. | Fee for the renewal of each class of goods and services exceeding three for a collective mark (Article 47(1) and Article 66(3), Rule 30(2)(b) and Rule 42) |
| --- | --- |

15b.

EUR 300

| 16. | Additional fee for late payment of the renewal fee or late submission of the request for renewal (Article 47(3), Rule 30(2)(c)) |
| --- | --- |

16.

25 % of the belated renewal fee, subject to a maximum of EUR 1 150

| 17. | Fee for the application for revocation or for a declaration of invalidity (Article 56(2), Rule 39(1)) |
| --- | --- |

17.

EUR 700

| 18. | Appeal fee (Article 60, Rule 49(3)) |
| --- | --- |

18.

EUR 800

| 19. | Fee for the application for restitutio in integrum (Article 81(3)) |
| --- | --- |

19.

EUR 200

| 20. | Fee for the application for the conversion of a European Union trade mark application or a European Union trade mark (Article 113(1), also in conjunction with Article 159(1); Rule 45(2), also in conjunction with Rule 123(2)) |
| --- | --- |

20.

EUR 200

| (a) | into a national trade mark application; |
| --- | --- |

(a)

into a national trade mark application;

| (b) | into a designation of Member States under the Madrid Agreement |
| --- | --- |

(b)

into a designation of Member States under the Madrid Agreement

| 21. | Fee for continuation of proceedings (Article 82(1)) |
| --- | --- |

21.

EUR 400

| 22. | Fee for the declaration of division of a registered European Union trade mark (Article 49(4)) or an application for a European Union trade mark (Article 44(4)): |
| --- | --- |

22.

EUR 250

| 23. | Fee for the application for the registration of a licence or another right in respect of a registered European Union trade mark (Article 162(2)(c), Rule 33(2)) or an application for a European Union trade mark (Article 157(2)(d), Rule 33(4)): |
| --- | --- |

23.

EUR 200 per registration, but, where multiple requests are submitted in the same application or at the same time, not to exceed a total of EUR 1 000

| (a) | grant of a licence; |
| --- | --- |

(a)

grant of a licence;

| (b) | transfer of a licence; |
| --- | --- |

(b)

transfer of a licence;

| (c) | creation of a right in rem; |
| --- | --- |

(c)

creation of a right in rem;

| (d) | transfer of a right in rem; |
| --- | --- |

(d)

transfer of a right in rem;

| (e) | levy of execution; |
| --- | --- |

(e)

levy of execution;

| 24. | Fee for the cancellation of the registration of a licence or other right (Article 162(2)(e), Rule 35(3)) |
| --- | --- |

24.

EUR 200 per cancellation, but, where multiple requests are submitted in the same application or at the same time, not to exceed a total of EUR 1 000

| 25. | Fee for the alteration of a registered European Union trade mark (Article 162(2)(f), Rule 25(2)) |
| --- | --- |

25.

EUR 200

| 26. | Fee for the issue of a copy of the application for a European Union trade mark (Article 162 (2)(j), Rule 89 (5)), a copy of the certificate of registration (Article 162(2)(b), Rule 24(2)), or an extract from the register (Article 162(2)(g), Rule 84(6)): |
| --- | --- |

26.

| (a) | uncertified copy or extract; |
| --- | --- |

(a)

uncertified copy or extract;

EUR 10

| (b) | certified copy or extract |
| --- | --- |

(b)

certified copy or extract

EUR 30

| 27. | Fee for the inspection of the files (Article 162 (2)(h), Rule 89 (1)) |
| --- | --- |

27.

EUR 30

| 28. | Fee for the issue of copies of file documents (Article 162(2)(i), Rule 89(5)): |
| --- | --- |

28.

| (a) | uncertified copy; |
| --- | --- |

(a)

uncertified copy;

EUR 10

| (b) | certified copy, |
| --- | --- |

(b)

certified copy,

EUR 30

plus per page, exceeding 10

EUR 1

| 29. | Fee for the communication of information in a file (Article 162(2)(k), Rule 90) |
| --- | --- |

29.

EUR 10

| 30. | Fee for the review of the determination of the procedural costs to be refunded (Article 162(2)(l), Rule 94 (4)) |
| --- | --- |

30.

EUR 100

| 31. | Fee for the filing of an international application at the Agency (Article 147(5))’ |
| --- | --- |

31.

EUR 300

[Am. 111]

Article 1a

Regulation (EC) No 2868/95 is amended as follows:

| (1) | Rule 4 is deleted; |
| --- | --- |

(1)

Rule 4 is deleted;

| (2) | Rule 30(2) is deleted. [Am. 113] |
| --- | --- |

(2)

Rule 30(2) is deleted. [Am. 113]

Article 1b

Regulation (EC) No 2869/95 is repealed.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table set out in the Annex

   (*14)
  . [Am. 114]

Article 2

This Regulation shall enter into force on [specify date 90 days after its publication in the Official Journal of the European Union].

Article 1(9), (10)(b), (21), (22), (23), (25), (26), (27), (29), (30), (31), (34), (37), (38), (41), (44), (46), (57), (58), (59), (60), (61), (63), (64), (66), (67), (68), (69), (70), (71), (72), (73), (75), (76), (77), (78), (79), (88), (89), (93), (94), (99) insofar as it relates to Article 128(4)(n), (101), (103)(b), (105)(d), (112), (113), (114), (115), (117), (120), (123) and (124) shall apply from [specify the first day of the first month after 18 months following the date specified in the first paragraph].

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  Position of the European Parliament of 25 February 2014.

1

(2)  Council Regulation (EC) No 40/94 of 20 December 1993 on the Community trade mark (OJ L 11, 14.1.1994, p. 1).

2

(3)  Council Regulation (EC) No 207/2009 of 26 February 2009 on the Community trade mark (OJ L 78, 24.3.2009, p. 1).

3

(4)  Council Directive 89/104/EEC of 21 December 1988 to approximate the laws of the Member States relating to trade marks (OJ L 40, 11.2.1989, p. 1).

4

(5)  Directive 2008/95/EC of the European Parliament and of the Council of 22 October 2008 to approximate the laws of the Member States relating to trade marks (OJ L 299, 8.11.2008, p. 25).

5

(6)  COM(2008)0465.

6

(7)  OJ C 140, 29.5.2010, p. 22.

7

(8)  COM(2011)0287.

8

(9)  OJ L 336, 23.12.1994, p. 214.

9

(10)  Directive 2006/114/EC of the European Parliament and of the Council of 12 December 2006 concerning misleading and comparative advertising (OJ L 376, 27.12.2006, p. 21).

10

(11)  
  Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15).

11

Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15).

(12)  
  Commission Regulation (EC) No 2869/95 of 13 December 1995 on the fees payable to the Office for Harmonization in the Internal Market (Trade Marks and Designs) (OJ L 303, 15.12.1995, p. 33).

12

Commission Regulation (EC) No 2869/95 of 13 December 1995 on the fees payable to the Office for Harmonization in the Internal Market (Trade Marks and Designs) (OJ L 303, 15.12.1995, p. 33).

(13)  
  Commission Regulation (EC) No 2868/95 of 13 December 1995 implementing Council Regulation (EC) No 40/94 on the Community trade mark (OJ L 303, 15.12.1995, p. 1).

13

Commission Regulation (EC) No 2868/95 of 13 December 1995 implementing Council Regulation (EC) No 40/94 on the Community trade mark (OJ L 303, 15.12.1995, p. 1).

(14)  
  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1)

14

Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1)

(15)  

  OJ C 32, 4.2.2014, p. 23.

15

OJ C 32, 4.2.2014, p. 23.

(*14)  
  The correlation table will be drawn up upon conclusion of an interinstitutional agreement on this Regulation.

*14

The correlation table will be drawn up upon conclusion of an interinstitutional agreement on this Regulation.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/262 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/262

---

P7_TA(2014)0119

Laws of the Member States relating to trade marks ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast) (COM(2013)0162 — C7-0088/2013 — 2013/0089(COD))

(Ordinary legislative procedure — recast)

(2017/C 285/35)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0162), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0162),

| — | having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0088/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0088/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1),

| — | having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (2), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (2),

| — | having regard to Rules 87 and 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 87 and 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade and the Committee on the Internal Market and Consumer Protection (A7-0032/2014), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on International Trade and the Committee on the Internal Market and Consumer Protection (A7-0032/2014),

| A. | whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
| --- | --- |

A.

whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

| 1. | Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

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

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

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 42.

(2)  OJ C 77, 28.3.2002, p. 1.

---

P7_TC1-COD(2013)0089

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council to approximate the laws of the Member States relating to trade marks (recast)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114
  (1)
  thereof, [Am. 1]

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | A number of amendments are to be made to Directive 2008/95/EC of the European Parliament and of the Council (3). In the interests of clarity, that Directive should be recast. |
| --- | --- |

(1)

A number of amendments are to be made to Directive 2008/95/EC of the European Parliament and of the Council (3). In the interests of clarity, that Directive should be recast.

| (2) | Directive 2008/95/EC has harmonised central provisions of substantive trade mark law which at the time of adoption were considered as most directly affecting the functioning of the internal market by impeding the free movement of goods and the freedom to provide services in the Union. |
| --- | --- |

(2)

Directive 2008/95/EC has harmonised central provisions of substantive trade mark law which at the time of adoption were considered as most directly affecting the functioning of the internal market by impeding the free movement of goods and the freedom to provide services in the Union.

| (3) | Trade mark protection in the Member States coexists with protection available at Union level through Community trade marks which are intellectual property rights unitary in character and valid throughout the Union as laid down in Council Regulation (EC) No 207/2009 (4). Coexistence of trade mark systems at national and Union level in fact constitutes a cornerstone of the Union’s approach to intellectual property protection. |
| --- | --- |

(3)

Trade mark protection in the Member States coexists with protection available at Union level through Community trade marks which are intellectual property rights unitary in character and valid throughout the Union as laid down in Council Regulation (EC) No 207/2009 (4). Coexistence of trade mark systems at national and Union level in fact constitutes a cornerstone of the Union’s approach to intellectual property protection.

| (4) | Further to the Commission's Communication of 16 July 2008 on an Industrial Property Rights Strategy for Europe (5), the Commission carried out a comprehensive evaluation of the overall functioning of the trade mark system in Europe as a whole, covering Union and national levels and the interrelation between each other. |
| --- | --- |

(4)

Further to the Commission's Communication of 16 July 2008 on an Industrial Property Rights Strategy for Europe (5), the Commission carried out a comprehensive evaluation of the overall functioning of the trade mark system in Europe as a whole, covering Union and national levels and the interrelation between each other.

| (5) | In its conclusions of 25 May 2010 on the future revision of the Trade Mark system in the European Union (6), the Council called on the Commission to present proposals for the revision of Regulation (EC) No 207/2009 and Directive 2008/95/EC. In doing so, the revision of the latter should include measures to make it more consistent with Regulation (EC) No 207/2009 and

  , which
  would thus reduce the areas of divergence within the trade mark system in Europe as a whole
  , while maintaining national trade mark protection as an attractive option for applicants. In this context, the complementary relationship between the European Union trade mark system and national trade mark systems should be ensured
  . [Am. 2] |
| --- | --- |

(5)

In its conclusions of 25 May 2010 on the future revision of the Trade Mark system in the European Union (6), the Council called on the Commission to present proposals for the revision of Regulation (EC) No 207/2009 and Directive 2008/95/EC. In doing so, the revision of the latter should include measures to make it more consistent with Regulation (EC) No 207/2009 and

  , which
  would thus reduce the areas of divergence within the trade mark system in Europe as a whole
  , while maintaining national trade mark protection as an attractive option for applicants. In this context, the complementary relationship between the European Union trade mark system and national trade mark systems should be ensured
  . [Am. 2]

| (6) | The Commission concluded in its Communication ‘A Single Market for Intellectual Property Rights’ of 24 May 2011 (7) that in order to meet increased demands from stakeholders for faster, higher quality, more streamlined trade mark registration systems, which are more consistent, user friendly, publicly accessible and technologically up-to-date, there is a necessity to modernise the trade mark system in the Union as a whole and adapt it to the Internet era. |
| --- | --- |

(6)

The Commission concluded in its Communication ‘A Single Market for Intellectual Property Rights’ of 24 May 2011 (7) that in order to meet increased demands from stakeholders for faster, higher quality, more streamlined trade mark registration systems, which are more consistent, user friendly, publicly accessible and technologically up-to-date, there is a necessity to modernise the trade mark system in the Union as a whole and adapt it to the Internet era.

| (7) | Consultation and evaluation for the purpose of this Directive has revealed that in spite of the previous partial harmonisation of national laws, the European business environment remains very heterogeneous, limiting the accessibility to trade mark protection overall and thus having a detrimental effect on competitiveness and growth. |
| --- | --- |

(7)

Consultation and evaluation for the purpose of this Directive has revealed that in spite of the previous partial harmonisation of national laws, the European business environment remains very heterogeneous, limiting the accessibility to trade mark protection overall and thus having a detrimental effect on competitiveness and growth.

| (8) | In order to serve the objective of fostering and creating a well functioning single market and to facilitate acquiring and protecting trade marks in the Union, it is therefore necessary to go beyond the limited scope of approximation achieved by Directive 2008/95/EC and extend approximation to all aspects of substantive trade mark law governing trade marks protected through registration as covered by Regulation (EC) No 207/2009. |
| --- | --- |

(8)

In order to serve the objective of fostering and creating a well functioning single market and to facilitate acquiring and protecting trade marks in the Union, it is therefore necessary to go beyond the limited scope of approximation achieved by Directive 2008/95/EC and extend approximation to all aspects of substantive trade mark law governing trade marks protected through registration as covered by Regulation (EC) No 207/2009.

| (9) | For the purpose of making trade mark registrations throughout the Union easier to obtain and administer, it is essential to approximate not only provisions of substantive law but also procedural rules. Therefore, principal procedural rules in the Member States and in the European
  Union
  trade mark system, including those in respect of which divergences cause major problems for the functioning of the internal market, should be aligned. As regards procedures under national law it is sufficient to lay down general principles, leaving the Member States free to establish more specific rules. |
| --- | --- |

(9)

For the purpose of making trade mark registrations throughout the Union easier to obtain and administer, it is essential to approximate not only provisions of substantive law but also procedural rules. Therefore, principal procedural rules in the Member States and in the European
  Union
  trade mark system, including those in respect of which divergences cause major problems for the functioning of the internal market, should be aligned. As regards procedures under national law it is sufficient to lay down general principles, leaving the Member States free to establish more specific rules.

| (10) | It is fundamental to ensure that registered trade marks enjoy the same protection under the legal systems of all the Member States, and that the protection of trade marks at the national level is the same as the protection of European
  Union
  trade marks. In line with the extensive protection granted to European
  Union
  trade marks which have a reputation in the Union, extensive protection should also be granted at national level to all registered trade marks which have a reputation in the Member State concerned. [Am. 3. This amendment applies throughout the text] |
| --- | --- |

(10)

It is fundamental to ensure that registered trade marks enjoy the same protection under the legal systems of all the Member States, and that the protection of trade marks at the national level is the same as the protection of European
  Union
  trade marks. In line with the extensive protection granted to European
  Union
  trade marks which have a reputation in the Union, extensive protection should also be granted at national level to all registered trade marks which have a reputation in the Member State concerned. [Am. 3. This amendment applies throughout the text]

| (11) | This Directive should not deprive the Member States of the right to continue to protect trade marks acquired through use but should take them into account only in regard to their relationship with trade marks acquired by registration. |
| --- | --- |

(11)

This Directive should not deprive the Member States of the right to continue to protect trade marks acquired through use but should take them into account only in regard to their relationship with trade marks acquired by registration.

| (12) | Attainment of the objectives at which this approximation of laws is aiming requires that the conditions for obtaining and continuing to hold a registered trade mark be, in general, identical in all Member States. |
| --- | --- |

(12)

Attainment of the objectives at which this approximation of laws is aiming requires that the conditions for obtaining and continuing to hold a registered trade mark be, in general, identical in all Member States.

| (13) | To this end, it is necessary to list examples of signs which may constitute a trade mark, provided that such signs are capable of distinguishing the goods or services of one undertaking from those of other undertakings. In order to fulfil the objectives of the registration system for trade marks, which are to ensure legal certainty and sound administration, it is also essential to require that the sign is

  be
  capable of being represented
  in the register
  in a manner which allows for a

  is clear,
  precise determination of the subject of protection

  , self-contained, easily accessible, durable and objective
  . A sign should therefore be permitted to be represented in any appropriate form, and thus not necessarily by graphic means, as long as the representation
  uses generally available technology and
  offers satisfactory guarantees to that effect. [Am. 4] |
| --- | --- |

(13)

To this end, it is necessary to list examples of signs which may constitute a trade mark, provided that such signs are capable of distinguishing the goods or services of one undertaking from those of other undertakings. In order to fulfil the objectives of the registration system for trade marks, which are to ensure legal certainty and sound administration, it is also essential to require that the sign is

  be
  capable of being represented
  in the register
  in a manner which allows for a

  is clear,
  precise determination of the subject of protection

  , self-contained, easily accessible, durable and objective
  . A sign should therefore be permitted to be represented in any appropriate form, and thus not necessarily by graphic means, as long as the representation
  uses generally available technology and
  offers satisfactory guarantees to that effect. [Am. 4]

| (14) | Furthermore, the grounds for refusal or invalidity concerning the trade mark itself, including the absence of any distinctive character, or concerning conflicts between the trade mark and earlier rights, should be listed in an exhaustive manner, even if some of these grounds are listed as an option for the Member States which should therefore be able to maintain or introduce those grounds in their legislation. |
| --- | --- |

(14)

Furthermore, the grounds for refusal or invalidity concerning the trade mark itself, including the absence of any distinctive character, or concerning conflicts between the trade mark and earlier rights, should be listed in an exhaustive manner, even if some of these grounds are listed as an option for the Member States which should therefore be able to maintain or introduce those grounds in their legislation.

| (15) | In order to ensure that the levels of protection afforded to geographical indications by other instruments of Union law are applied in a uniform and exhaustive manner in the examination of absolute and relative grounds for refusal throughout the Union, this Directive should include the same provisions in relation to geographical indications as contained in Regulation (EC) No 207/2009. |
| --- | --- |

(15)

In order to ensure that the levels of protection afforded to geographical indications by other instruments of Union law are applied in a uniform and exhaustive manner in the examination of absolute and relative grounds for refusal throughout the Union, this Directive should include the same provisions in relation to geographical indications as contained in Regulation (EC) No 207/2009.

| (16) | The protection afforded by the registered trade mark, the function of which is in particular to guarantee the trade mark as an indication of origin, should be absolute in the case of identity between the mark and the sign and the goods or services. The protection should apply also in the case of similarity between the mark and the sign and the goods or services. It is indispensable to give an interpretation of the concept of similarity in relation to the likelihood of confusion. The likelihood of confusion, the appreciation of which depends on numerous elements and, in particular, on the recognition of the trade mark on the market, the association which can be made with the used or registered sign, the degree of similarity between the trade mark and the sign and between the goods or services identified, should constitute the specific condition for such protection. The ways in which likelihood of confusion may be established, and in particular the onus of proof, should be a matter for national procedural rules which should not be prejudiced by this Directive. |
| --- | --- |

(16)

The protection afforded by the registered trade mark, the function of which is in particular to guarantee the trade mark as an indication of origin, should be absolute in the case of identity between the mark and the sign and the goods or services. The protection should apply also in the case of similarity between the mark and the sign and the goods or services. It is indispensable to give an interpretation of the concept of similarity in relation to the likelihood of confusion. The likelihood of confusion, the appreciation of which depends on numerous elements and, in particular, on the recognition of the trade mark on the market, the association which can be made with the used or registered sign, the degree of similarity between the trade mark and the sign and between the goods or services identified, should constitute the specific condition for such protection. The ways in which likelihood of confusion may be established, and in particular the onus of proof, should be a matter for national procedural rules which should not be prejudiced by this Directive.

| (17) | In order to ensure legal certainty and full consistency with the principle of priority, under which an earlier registered trade mark takes precedence over later registered trade marks, it is necessary to lay down that the enforcement of rights conferred by a trade mark should be without prejudice to the rights of proprietors acquired prior to the filing or priority date of the trade mark. This is in conformity with Article 16(1) of the Agreement on trade related aspects of intellectual property rights of 15 April 1994 (hereinafter: ‘TRIPS Agreement’) (8). |
| --- | --- |

(17)

In order to ensure legal certainty and full consistency with the principle of priority, under which an earlier registered trade mark takes precedence over later registered trade marks, it is necessary to lay down that the enforcement of rights conferred by a trade mark should be without prejudice to the rights of proprietors acquired prior to the filing or priority date of the trade mark. This is in conformity with Article 16(1) of the Agreement on trade related aspects of intellectual property rights of 15 April 1994 (hereinafter: ‘TRIPS Agreement’) (8).

| (18) | It is appropriate to provide that an infringement of a trade mark can only be established if there is a finding that the infringing mark or sign is used in the course of trade for purposes of distinguishing goods or services as to their commercial origin. Uses for other purposes should be subject to the provisions of national law. |
| --- | --- |

(18)

It is appropriate to provide that an infringement of a trade mark can only be established if there is a finding that the infringing mark or sign is used in the course of trade for purposes of distinguishing goods or services as to their commercial origin. Uses for other purposes should be subject to the provisions of national law.

| (19) | In order to ensure legal certainty and clarity, it is necessary to clarify that not only in the case of similarity but also in case of an identical sign being used for identical goods or services, protection should be granted to a trade mark only if and to the extent that the main function of the trade mark, which is to guarantee the commercial origin of the goods or services, is adversely affected.
  [Am. 5] |
| --- | --- |

(19)

In order to ensure legal certainty and clarity, it is necessary to clarify that not only in the case of similarity but also in case of an identical sign being used for identical goods or services, protection should be granted to a trade mark only if and to the extent that the main function of the trade mark, which is to guarantee the commercial origin of the goods or services, is adversely affected.
  [Am. 5]

| (20) | Infringement of a trade mark should also comprise the use of the sign as a trade name or similar designation as long as the use is made for the purposes of distinguishing goods or services as to their commercial origin. |
| --- | --- |

(20)

Infringement of a trade mark should also comprise the use of the sign as a trade name or similar designation as long as the use is made for the purposes of distinguishing goods or services as to their commercial origin.

| (21) | In order to ensure legal certainty and full consistency with specific Union legislation, it is appropriate to provide that the proprietor of a trade mark should be entitled to prohibit a third party from using a sign in a comparative advertising where such comparative advertising is contrary to Directive 2006/114/EC of the European Parliament and of the Council (9). |
| --- | --- |

(21)

In order to ensure legal certainty and full consistency with specific Union legislation, it is appropriate to provide that the proprietor of a trade mark should be entitled to prohibit a third party from using a sign in a comparative advertising where such comparative advertising is contrary to Directive 2006/114/EC of the European Parliament and of the Council (9).

| (22) | With the aim of strengthening trade mark protection and combatting counterfeiting more effectively,
  and without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a registered trade mark should be entitled to prevent third parties from bringing goods into the customs territory of the Member State without being released for free circulation there, where such goods come from third countries and bear without authorization

  authorisation
  a trade mark which is essentially identical to the trade mark registered in respect of such goods.
  This should be without prejudice to the smooth transit of generic medicines, in compliance with the international obligations of the European Union, in particular as reflected in the ‘Declaration on the TRIPS agreement and public health’ adopted by the Doha WTO Ministerial Conference on 14 November 2001. [Am. 55] |
| --- | --- |

(22)

With the aim of strengthening trade mark protection and combatting counterfeiting more effectively,
  and without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a registered trade mark should be entitled to prevent third parties from bringing goods into the customs territory of the Member State without being released for free circulation there, where such goods come from third countries and bear without authorization

  authorisation
  a trade mark which is essentially identical to the trade mark registered in respect of such goods.
  This should be without prejudice to the smooth transit of generic medicines, in compliance with the international obligations of the European Union, in particular as reflected in the ‘Declaration on the TRIPS agreement and public health’ adopted by the Doha WTO Ministerial Conference on 14 November 2001. [Am. 55]

| (22a) | The proprietor of a trade mark should have the right to take relevant legal actions, including inter alia the right to request national customs authorities to take action in respect of goods which allegedly infringe the proprietor's rights, such as detention and destruction in accordance with Regulation (EU) No 608/2013 of the European Parliament and of the Council

   (10)

  . Customs authorities should carry out the relevant procedures laid down in Regulation (EU) No 608/2013 at the request of a rightholder and on the basis of risk analysis criteria. [Am. 7] |
| --- | --- |

(22a)

The proprietor of a trade mark should have the right to take relevant legal actions, including inter alia the right to request national customs authorities to take action in respect of goods which allegedly infringe the proprietor's rights, such as detention and destruction in accordance with Regulation (EU) No 608/2013 of the European Parliament and of the Council

   (10)

  . Customs authorities should carry out the relevant procedures laid down in Regulation (EU) No 608/2013 at the request of a rightholder and on the basis of risk analysis criteria. [Am. 7]

| (22b) | Article 28 of Regulation (EU) No 608/2013 provides that a right holder is to be liable in damages towards the holder of the goods where, inter alia, the goods in question are subsequently found not to infringe an intellectual property right. [Am. 8] |
| --- | --- |

(22b)

Article 28 of Regulation (EU) No 608/2013 provides that a right holder is to be liable in damages towards the holder of the goods where, inter alia, the goods in question are subsequently found not to infringe an intellectual property right. [Am. 8]

| (22c) | Member States should take appropriate measures with a view to ensuring the smooth transit of generic medicines. Therefore, a proprietor of a trade mark should not have the right to prevent any third party from bringing goods, in the context of commercial activity, into the customs territory of the Member State based upon similarities, perceived or actual, between the international non-proprietary name (INN) for the active ingredient in the medicines and a registered trademark. [Am. 9] |
| --- | --- |

(22c)

Member States should take appropriate measures with a view to ensuring the smooth transit of generic medicines. Therefore, a proprietor of a trade mark should not have the right to prevent any third party from bringing goods, in the context of commercial activity, into the customs territory of the Member State based upon similarities, perceived or actual, between the international non-proprietary name (INN) for the active ingredient in the medicines and a registered trademark. [Am. 9]

| (23) | In order to more effectively prevent the entry of infringing

  counterfeit
  goods, particularly in the context of sales over the Internet,

  internet delivered in small consignments as defined by Regulation (EU) No 608/2013
  the proprietor
  of a validly registered trade mark
  should be entitled to prohibit the importing of such goods into the Union where it is only the consignor of the
  counterfeit
  goods who acts for commercial purposes

  in the course of trade
  .
  In cases where such measures are taken, the individuals or entities that had ordered the goods are informed of the reason for the measures as well as of their legal rights vis-a-vis the consignor. [Am. 10] |
| --- | --- |

(23)

In order to more effectively prevent the entry of infringing

  counterfeit
  goods, particularly in the context of sales over the Internet,

  internet delivered in small consignments as defined by Regulation (EU) No 608/2013
  the proprietor
  of a validly registered trade mark
  should be entitled to prohibit the importing of such goods into the Union where it is only the consignor of the
  counterfeit
  goods who acts for commercial purposes

  in the course of trade
  .
  In cases where such measures are taken, the individuals or entities that had ordered the goods are informed of the reason for the measures as well as of their legal rights vis-a-vis the consignor. [Am. 10]

| (24) | In order to enable proprietors of registered trade marks to fight counterfeiting more effectively, they should be entitled to prohibit the affixing of an infringing trade mark to goods and certain preparatory acts prior to the affixing. |
| --- | --- |

(24)

In order to enable proprietors of registered trade marks to fight counterfeiting more effectively, they should be entitled to prohibit the affixing of an infringing trade mark to goods and certain preparatory acts prior to the affixing.

| (25) | The exclusive rights conferred by a trade mark should not entitle the proprietor to prohibit the use of signs or indications which are used fairly and in accordance with honest practices in industrial and commercial matters. In order to create equal conditions for trade names and trade marks against the background that trade names are regularly granted unrestricted protection against later trade marks, such use should be considered to include the use of one’s own personal name. It should further include the use of descriptive or non-distinctive signs or indications in general. Furthermore, the proprietor should not be entitled to prevent the general fair and honest use of the mark for identifying or referring to the goods or services as those of the proprietor. |
| --- | --- |

(25)

The exclusive rights conferred by a trade mark should not entitle the proprietor to prohibit the use of signs or indications which are used fairly and in accordance with honest practices in industrial and commercial matters. In order to create equal conditions for trade names and trade marks against the background that trade names are regularly granted unrestricted protection against later trade marks, such use should be considered to include the use of one’s own personal name. It should further include the use of descriptive or non-distinctive signs or indications in general. Furthermore, the proprietor should not be entitled to prevent the general fair and honest use of the mark for identifying or referring to the goods or services as those of the proprietor.

| (26) | It follows from the principle of free movement of goods that the proprietor of a trade mark must not be entitled to prohibit its use by a third party in relation to goods which have been put into circulation in the Union, under the trade mark, by him or with his consent, unless the proprietor has legitimate reasons to oppose further commercialisation of the goods. |
| --- | --- |

(26)

It follows from the principle of free movement of goods that the proprietor of a trade mark must not be entitled to prohibit its use by a third party in relation to goods which have been put into circulation in the Union, under the trade mark, by him or with his consent, unless the proprietor has legitimate reasons to oppose further commercialisation of the goods.

| (27) | It is important, for reasons of legal certainty and without inequitably prejudicing the interests of a proprietor of an earlier trade mark, to provide that the latter may no longer request a declaration of invalidity nor may he oppose the use of a trade mark subsequent to his own of which he has knowingly tolerated the use for a substantial length of time, unless the application for the subsequent trade mark was made in bad faith. |
| --- | --- |

(27)

It is important, for reasons of legal certainty and without inequitably prejudicing the interests of a proprietor of an earlier trade mark, to provide that the latter may no longer request a declaration of invalidity nor may he oppose the use of a trade mark subsequent to his own of which he has knowingly tolerated the use for a substantial length of time, unless the application for the subsequent trade mark was made in bad faith.

| (28) | In order to ensure legal certainty and safeguard trade mark rights legitimately acquired, it is appropriate and necessary to lay down, without affecting the principle that the later trade mark cannot be enforced against the earlier trade mark, that proprietors of earlier trade marks should not be entitled to obtain refusal or invalidation or to oppose the use of a later trade mark when the later trade mark was acquired at a time when the earlier trade mark was liable to be declared invalid or revoked, for example because it had not yet acquired distinctiveness through use, or when the earlier trade mark could not be enforced against the later trade mark because the necessary conditions were not applicable, for example when the earlier mark had not yet obtained reputation. |
| --- | --- |

(28)

In order to ensure legal certainty and safeguard trade mark rights legitimately acquired, it is appropriate and necessary to lay down, without affecting the principle that the later trade mark cannot be enforced against the earlier trade mark, that proprietors of earlier trade marks should not be entitled to obtain refusal or invalidation or to oppose the use of a later trade mark when the later trade mark was acquired at a time when the earlier trade mark was liable to be declared invalid or revoked, for example because it had not yet acquired distinctiveness through use, or when the earlier trade mark could not be enforced against the later trade mark because the necessary conditions were not applicable, for example when the earlier mark had not yet obtained reputation.

| (29) | Trade marks fulfil their purpose of distinguishing goods or services and allowing consumers to make informed choices only when they are actually used on the market. A requirement of use is also necessary in order to reduce the total number of trade marks registered and protected in the Union and, consequently, the number of conflicts which arise between them. It is therefore essential to require that registered trade marks must actually be used in connection with the goods or services for which they are registered, or, if not used
  within five years of the date of registration
  , must be liable to be revoked. [Am. 11] |
| --- | --- |

(29)

Trade marks fulfil their purpose of distinguishing goods or services and allowing consumers to make informed choices only when they are actually used on the market. A requirement of use is also necessary in order to reduce the total number of trade marks registered and protected in the Union and, consequently, the number of conflicts which arise between them. It is therefore essential to require that registered trade marks must actually be used in connection with the goods or services for which they are registered, or, if not used
  within five years of the date of registration
  , must be liable to be revoked. [Am. 11]

| (30) | Consequently a registered trade mark should only be protected in so far as it is actually used and an earlier registered trade mark should not enable its proprietor to oppose or invalidate a later trade mark if that proprietor has not put its trade mark to genuine use. Furthermore, Member States should provide that a trade mark may not be successfully invoked in infringement proceedings if it is established as a result of a plea that the trade mark could be revoked or, when the action is brought against a later right, could have been revoked at the time when the later right was acquired. |
| --- | --- |

(30)

Consequently a registered trade mark should only be protected in so far as it is actually used and an earlier registered trade mark should not enable its proprietor to oppose or invalidate a later trade mark if that proprietor has not put its trade mark to genuine use. Furthermore, Member States should provide that a trade mark may not be successfully invoked in infringement proceedings if it is established as a result of a plea that the trade mark could be revoked or, when the action is brought against a later right, could have been revoked at the time when the later right was acquired.

| (31) | It is appropriate to provide that, where the seniority of a national mark has been claimed for a European
  Union
  trade mark and the national mark has thereafter been surrendered or allowed to lapse, the validity of that national mark may still be challenged. The challenge should be limited to situations where the national mark could have been declared invalid or revoked at the time the mark was removed from the register. |
| --- | --- |

(31)

It is appropriate to provide that, where the seniority of a national mark has been claimed for a European
  Union
  trade mark and the national mark has thereafter been surrendered or allowed to lapse, the validity of that national mark may still be challenged. The challenge should be limited to situations where the national mark could have been declared invalid or revoked at the time the mark was removed from the register.

| (32) | For reasons of coherence and in order to facilitate the commercial exploitation of trade marks in the Union, the rules applicable to trade marks as objects of property should be aligned with those already in place for European
  Union
  trade marks, and should include rules on assignment and transfer, licensing, rights in rem, levy of execution and insolvency proceedings. |
| --- | --- |

(32)

For reasons of coherence and in order to facilitate the commercial exploitation of trade marks in the Union, the rules applicable to trade marks as objects of property should be aligned with those already in place for European
  Union
  trade marks, and should include rules on assignment and transfer, licensing, rights in rem, levy of execution and insolvency proceedings.

| (33) | Collective trade marks have proven a useful instrument for promoting goods or services with specific common properties. It is therefore appropriate to subject national collective trade marks to rules similar to the rules applicable to European collective marks. |
| --- | --- |

(33)

Collective trade marks have proven a useful instrument for promoting goods or services with specific common properties. It is therefore appropriate to subject national collective trade marks to rules similar to the rules applicable to European collective marks.

| (34) | In order to improve and facilitate access to trade mark protection and to increase legal certainty and predictability, the procedure for the registration of trade marks in the Member States should be efficient and transparent and should follow rules similar to those applicable to European
  Union
  trade marks. With a view to achieving a consistent and balanced trade mark system both at national and Union level, all the central industrial property offices of the Member States should therefore limit their examination ex officio of whether a trade mark application is eligible for registration to the absence of absolute grounds for refusal only. This should however not prejudice the right of those offices to provide, upon request of applicants, searches for earlier rights on a purely informative basis and without any prejudice to or binding effect on the further registration process, including subsequent opposition proceedings.

  Member States should be free to decide whether to conduct an ex officio examination for refusal on relative grounds. [Am. 12] |
| --- | --- |

(34)

In order to improve and facilitate access to trade mark protection and to increase legal certainty and predictability, the procedure for the registration of trade marks in the Member States should be efficient and transparent and should follow rules similar to those applicable to European
  Union
  trade marks. With a view to achieving a consistent and balanced trade mark system both at national and Union level, all the central industrial property offices of the Member States should therefore limit their examination ex officio of whether a trade mark application is eligible for registration to the absence of absolute grounds for refusal only. This should however not prejudice the right of those offices to provide, upon request of applicants, searches for earlier rights on a purely informative basis and without any prejudice to or binding effect on the further registration process, including subsequent opposition proceedings.

  Member States should be free to decide whether to conduct an ex officio examination for refusal on relative grounds. [Am. 12]

| (35) | In order to ensure legal certainty with regard to the scope of trade mark rights and to facilitate access to trade mark protection, the designation and classification of goods and services covered by a trade mark application should follow the same rules in all Member States and should be aligned on those applicable to European
  Union
  trade marks. In order to enable the competent authorities and economic operators to determine the extent of the trade mark protection sought on the basis of the application alone, the designation of goods and services should be sufficiently clear and precise. The use of general terms should be interpreted as including only goods and services clearly covered by the literal meaning of the term. |
| --- | --- |

(35)

In order to ensure legal certainty with regard to the scope of trade mark rights and to facilitate access to trade mark protection, the designation and classification of goods and services covered by a trade mark application should follow the same rules in all Member States and should be aligned on those applicable to European
  Union
  trade marks. In order to enable the competent authorities and economic operators to determine the extent of the trade mark protection sought on the basis of the application alone, the designation of goods and services should be sufficiently clear and precise. The use of general terms should be interpreted as including only goods and services clearly covered by the literal meaning of the term.

| (36) | For the purpose of ensuring effective trade mark protection, Member States should make available an efficient administrative opposition procedure, allowing proprietors of earlier trade mark rights to oppose the registration of a trade mark application. Furthermore, in order to offer efficient means of revoking or declaring invalid trade marks, Member States should provide for an administrative procedure for revocation or declaration of invalidity similar to that applicable to European
  Union
  trade marks at Union level. |
| --- | --- |

(36)

For the purpose of ensuring effective trade mark protection, Member States should make available an efficient administrative opposition procedure, allowing proprietors of earlier trade mark rights to oppose the registration of a trade mark application. Furthermore, in order to offer efficient means of revoking or declaring invalid trade marks, Member States should provide for an administrative procedure for revocation or declaration of invalidity similar to that applicable to European
  Union
  trade marks at Union level.

| (37) | Member States' central industrial property offices should cooperate with each other and with the European Union Trade Marks and Designs

  Intellectual Property
  Agency (‘the Agency’) in all fields of trade mark registration and administration in order to promote convergence of practices and tools, such as the creation and updating of common or connected databases and portals for consultation and search purposes. The offices of the Member States and the Agency should further cooperate in all other areas of their activities which are relevant for the protection of trade marks in the Union. |
| --- | --- |

(37)

Member States' central industrial property offices should cooperate with each other and with the European Union Trade Marks and Designs

  Intellectual Property
  Agency (‘the Agency’) in all fields of trade mark registration and administration in order to promote convergence of practices and tools, such as the creation and updating of common or connected databases and portals for consultation and search purposes. The offices of the Member States and the Agency should further cooperate in all other areas of their activities which are relevant for the protection of trade marks in the Union.

| (38) | This Directive should not exclude the application to trade marks of provisions of law of the Member States other than trade mark law, such as the provisions relating to unfair competition, civil liability or consumer protection. |
| --- | --- |

(38)

This Directive should not exclude the application to trade marks of provisions of law of the Member States other than trade mark law, such as the provisions relating to unfair competition, civil liability or consumer protection.

| (39) | All Member States are bound by the Paris Convention for the Protection of Industrial Property (Paris Convention) and the TRIPS Agreement. It is necessary that the provisions of this Directive should be entirely consistent with those of the said Convention and Agreement. The obligations of the Member States resulting from that Convention and Agreement should not be affected by this Directive. Where appropriate, the second paragraph of Article 351 of the Treaty should apply. |
| --- | --- |

(39)

All Member States are bound by the Paris Convention for the Protection of Industrial Property (Paris Convention) and the TRIPS Agreement. It is necessary that the provisions of this Directive should be entirely consistent with those of the said Convention and Agreement. The obligations of the Member States resulting from that Convention and Agreement should not be affected by this Directive. Where appropriate, the second paragraph of Article 351 of the Treaty should apply.

| (40) | The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive amendment as compared with the earlier Directive. The obligation to transpose the provisions which are unchanged arises under the earlier Directive. |
| --- | --- |

(40)

The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive amendment as compared with the earlier Directive. The obligation to transpose the provisions which are unchanged arises under the earlier Directive.

| (41) | This Directive should be without prejudice to the obligations of the Member States relating to the time limit for transposition into national law of the Directive set out in Part B of Annex I to Directive 2008/95/EC. |
| --- | --- |

(41)

This Directive should be without prejudice to the obligations of the Member States relating to the time limit for transposition into national law of the Directive set out in Part B of Annex I to Directive 2008/95/EC.

| (41a) | The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001
  of the European Parliament and of the Council (11)

  and delivered an opinion on 11 July 2013

   (12)
  , [Am. 13] |
| --- | --- |

(41a)

The European Data Protection Supervisor was consulted in accordance with Article 28(2) of Regulation (EC) No 45/2001
  of the European Parliament and of the Council (11)

  and delivered an opinion on 11 July 2013

   (12)
  , [Am. 13]

HAVE ADOPTED THIS DIRECTIVE:

Chapter 1

General provisions

Article 1

Scope

This Directive shall apply to every trade mark in respect of goods or services which is the subject of registration or of an application in a Member State for registration
  in a Member State
  as an individual trade mark, a collective mark or a guarantee or certification mark, or which is the subject of a registration or an application for registration in the Benelux Office for Intellectual Property or of an international registration having effect in a Member State. [Am. not concerning all languages]

Article 2

Definitions

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

| (a) | ‘office’ means the central industrial property office of the Member State or the Benelux Office for Intellectual Property entrusted with the registration of trade marks; |
| --- | --- |

(a)

‘office’ means the central industrial property office of the Member State or the Benelux Office for Intellectual Property entrusted with the registration of trade marks;

| (b) | ‘Agency’ means the European Union Trade Marks and Designs

  Intellectual Property
  Agency established in accordance with Article 2 of Regulation (EC) No 207/2009; [Am. 15. This amendment applies throughout the text] |
| --- | --- |

(b)

‘Agency’ means the European Union Trade Marks and Designs

  Intellectual Property
  Agency established in accordance with Article 2 of Regulation (EC) No 207/2009; [Am. 15. This amendment applies throughout the text]

| (c) | ‘register’ means the register of trade marks kept by an office; |
| --- | --- |

(c)

‘register’ means the register of trade marks kept by an office;

| (ca) | ‘earlier trade marks’ means:










  (i) | trade marks of the following kinds with a date of application for registration which is earlier than the date of application for registration of the trade mark, taking account, where appropriate, of the priorities claimed in respect of those trade marks:








  — | European Union trade marks; |
| --- | --- | --- | --- |

(ca)

‘earlier trade marks’ means:

(i)

trade marks of the following kinds with a date of application for registration which is earlier than the date of application for registration of the trade mark, taking account, where appropriate, of the priorities claimed in respect of those trade marks:

—

European Union trade marks;

| — | trade marks registered in the Member State or, in the case of Belgium, Luxembourg or the Netherlands, at the Benelux Office for Intellectual Property; |
| --- | --- |

—

trade marks registered in the Member State or, in the case of Belgium, Luxembourg or the Netherlands, at the Benelux Office for Intellectual Property;

| — | trade marks registered under international arrangements which have effect in the Member State; |
| --- | --- |

—

trade marks registered under international arrangements which have effect in the Member State;

| (ii) | European Union trade marks which validly claim seniority, in accordance with Regulation (EC) No 207/2009, to a trade mark referred to in the second and third indents of point (i), even when the latter trade mark has been surrendered or allowed to lapse; |
| --- | --- |

(ii)

European Union trade marks which validly claim seniority, in accordance with Regulation (EC) No 207/2009, to a trade mark referred to in the second and third indents of point (i), even when the latter trade mark has been surrendered or allowed to lapse;

| (iii) | applications for the trade marks referred to in points (i) and (ii), subject to their registration; |
| --- | --- |

(iii)

applications for the trade marks referred to in points (i) and (ii), subject to their registration;

| (iv) | trade marks which, on the date of application for registration of the trade mark, or, where appropriate, of the priority claimed in respect of the application for registration of the trade mark, are well known in a Member State, in the sense in which the words ‘well known’ are used in Article 6 bis of the Paris Convention; [Am. 16] |
| --- | --- |

(iv)

trade marks which, on the date of application for registration of the trade mark, or, where appropriate, of the priority claimed in respect of the application for registration of the trade mark, are well known in a Member State, in the sense in which the words ‘well known’ are used in Article 6 bis of the Paris Convention; [Am. 16]

| (cb) | ‘guarantee or certification mark’ means a trade mark which is described as such when the mark is applied for and which is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristics from those goods and services which are not; [Am. 17] |
| --- | --- |

(cb)

‘guarantee or certification mark’ means a trade mark which is described as such when the mark is applied for and which is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristics from those goods and services which are not; [Am. 17]

| (cc) | ‘collective mark’ means a trade mark which is described as such when the mark is applied for and which is capable of distinguishing the goods or services of the members of an association which is the proprietor of the mark from the goods or services of other undertakings. [Am. 18] |
| --- | --- |

(cc)

‘collective mark’ means a trade mark which is described as such when the mark is applied for and which is capable of distinguishing the goods or services of the members of an association which is the proprietor of the mark from the goods or services of other undertakings. [Am. 18]

Chapter 2

The law on trade marks

Section 1

Signs of which a trade mark may consist

Article 3

Signs of which a trade mark may consist

A trade mark may consist of any signs, in particular words, including personal names, designs, letters, numerals, colours as such, the shape of goods or of their packaging, or sounds, provided that
  generally available technology is used and
  such signs are capable of:

| (a) | distinguishing the goods or services of one undertaking from those of other undertakings;
  and |
| --- | --- |

(a)

distinguishing the goods or services of one undertaking from those of other undertakings;
  and

| (b) | being represented in
  the register in
  a manner which enables the competent authorities and the public to determine the precise subject of the protection afforded to its proprietor. [Am. 19] |
| --- | --- |

(b)

being represented in
  the register in
  a manner which enables the competent authorities and the public to determine the precise subject of the protection afforded to its proprietor. [Am. 19]

Section 2

Grounds for refusal or invalidity

Article 4

Absolute grounds for refusal or invalidity

1.   The following shall not be registered or, if registered, shall be liable to be declared invalid:

| (a) | signs which cannot constitute a trade mark; |
| --- | --- |

(a)

signs which cannot constitute a trade mark;

| (b) | trade marks which are devoid of any distinctive character; |
| --- | --- |

(b)

trade marks which are devoid of any distinctive character;

| (c) | trade marks which consist exclusively of signs or indications which may serve, in trade, to designate the kind, quality, quantity, intended purpose, value, geographical origin, or the time of production of the goods or of rendering of the service, or other characteristics of the goods or services; |
| --- | --- |

(c)

trade marks which consist exclusively of signs or indications which may serve, in trade, to designate the kind, quality, quantity, intended purpose, value, geographical origin, or the time of production of the goods or of rendering of the service, or other characteristics of the goods or services;

| (d) | trade marks which consist exclusively of signs or indications which have become customary in the current language or in the bona fide and established practices of the trade; |
| --- | --- |

(d)

trade marks which consist exclusively of signs or indications which have become customary in the current language or in the bona fide and established practices of the trade;

| (e) | signs which consist exclusively of:






  (i) | the shape which results from the nature of the goods themselves; |
| --- | --- | --- |

(e)

signs which consist exclusively of:

(i)

the shape which results from the nature of the goods themselves;

| (ii) | the shape of goods which is necessary to obtain a technical result; |
| --- | --- |

(ii)

the shape of goods which is necessary to obtain a technical result;

| (iii) | the shape which gives substantial value to the goods; |
| --- | --- |

(iii)

the shape which gives substantial value to the goods;

| (f) | trade marks which are contrary to public policy or to accepted principles of morality; |
| --- | --- |

(f)

trade marks which are contrary to public policy or to accepted principles of morality;

| (g) | trade marks which are of such a nature as to deceive the public, for instance as to the nature, quality or geographical origin of the goods or service; |
| --- | --- |

(g)

trade marks which are of such a nature as to deceive the public, for instance as to the nature, quality or geographical origin of the goods or service;

| (h) | trade marks which have not been authorised by the competent authorities and are to be refused or invalidated pursuant to Article 6 ter of the Paris Convention for the Protection of Industrial Property, hereinafter referred to as the ‘Paris Convention’; |
| --- | --- |

(h)

trade marks which have not been authorised by the competent authorities and are to be refused or invalidated pursuant to Article 6 ter of the Paris Convention for the Protection of Industrial Property, hereinafter referred to as the ‘Paris Convention’;

| (i) | trade marks which are excluded from registration and shall not continue to be used pursuant to Union legislation or international agreements to which the Union is party, providing for protection of designations of origin and geographical indications; |
| --- | --- |

(i)

trade marks which are excluded from registration and shall not continue to be used pursuant to Union legislation or international agreements to which the Union is party, providing for protection of designations of origin and geographical indications;

| (j) | trade marks which are excluded from registration pursuant to Union legislation or international agreements to which the Union is party, providing for protection of
  spirit drinks,
  traditional terms for wine and traditional specialities guaranteed; [Am. 20] |
| --- | --- |

(j)

trade marks which are excluded from registration pursuant to Union legislation or international agreements to which the Union is party, providing for protection of
  spirit drinks,
  traditional terms for wine and traditional specialities guaranteed; [Am. 20]

| (ja) | trade marks which contain or consist of an earlier variety denomination registered in accordance with Council Regulation (EC) No 2100/94

   (13)

  with respect to the same type of product. [Am. 21] |
| --- | --- |

(ja)

trade marks which contain or consist of an earlier variety denomination registered in accordance with Council Regulation (EC) No 2100/94

   (13)

  with respect to the same type of product. [Am. 21]

2.   Paragraph 1 shall apply notwithstanding that the grounds of non-registrability obtain:

| (a) | in other Member States than those where the application for registration was filed; |
| --- | --- |

(a)

in other Member States than those where the application for registration was filed;

| (b) | only where a trade mark in a foreign language is translated or transcribed in any script or official language of the Member States.
  [Am. 22] |
| --- | --- |

(b)

only where a trade mark in a foreign language is translated or transcribed in any script or official language of the Member States.
  [Am. 22]

3.   A trade mark shall be liable to be declared invalid where the application for registration of the trade mark was made in bad faith by the applicant. Any Member State may also provide that such a trade mark shall not be registered.

4.   Any Member State may provide that a trade mark shall not be registered or, if registered, shall be liable to be declared invalid where and to the extent that:

| (a) | the use of that trade mark may be prohibited pursuant to provisions of law other than trade mark law of the Member State concerned or of the Union; |
| --- | --- |

(a)

the use of that trade mark may be prohibited pursuant to provisions of law other than trade mark law of the Member State concerned or of the Union;

| (b) | the trade mark covers a sign of high symbolic value, in particular a religious symbol; |
| --- | --- |

(b)

the trade mark covers a sign of high symbolic value, in particular a religious symbol;

| (c) | the trade mark includes badges, emblems and escutcheons other than those covered by Article 6 ter of the Paris Convention and which are of public interest, unless the consent of the competent authority to their registration has been given in conformity with the legislation of the Member State. |
| --- | --- |

(c)

the trade mark includes badges, emblems and escutcheons other than those covered by Article 6 ter of the Paris Convention and which are of public interest, unless the consent of the competent authority to their registration has been given in conformity with the legislation of the Member State.

5.   A trade mark shall not be refused registration or be declared invalid in accordance with paragraph 1(b), (c) or (d) if, before the date of application for registration or after the date of registration, and following the use which has been made of it, it has acquired a distinctive character.
  A trade mark shall not be declared invalid in accordance with paragraph 1(b), (c) or (d) if, before the date of application for invalidity, and following the use which has been made of it, it has acquired a distinctive character. [Am. 23]

6.   Any Member State may provide that paragraph 5 shall also apply where the distinctive character was acquired after the date of application for registration and before the date of registration.

Article 5

Relative grounds for refusal or invalidity

1.   A trade mark shall not be registered or, if registered, shall be liable to be declared invalid:

| (a) | if it is identical with an earlier trade mark, and the goods or services for which the trade mark is applied for or is registered are identical with the goods or services for which the earlier trade mark is protected; |
| --- | --- |

(a)

if it is identical with an earlier trade mark, and the goods or services for which the trade mark is applied for or is registered are identical with the goods or services for which the earlier trade mark is protected;

| (b) | if because of its identity with, or similarity to, the earlier trade mark and the identity or similarity of the goods or services covered by the trade marks, there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association with the earlier trade mark. |
| --- | --- |

(b)

if because of its identity with, or similarity to, the earlier trade mark and the identity or similarity of the goods or services covered by the trade marks, there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association with the earlier trade mark.

2.   ‘Earlier trade marks’ within the meaning of paragraph 1 means:

| (a) | trade marks of the following kinds with a date of application for registration which is earlier than the date of application for registration of the trade mark, taking account, where appropriate, of the priorities claimed in respect of those trade marks;








  (i) | European trade marks; |
| --- | --- | --- |

(a)

trade marks of the following kinds with a date of application for registration which is earlier than the date of application for registration of the trade mark, taking account, where appropriate, of the priorities claimed in respect of those trade marks;

(i)

European trade marks;

| (ii) | trade marks registered in the Member State or, in the case of Belgium, Luxembourg or the Netherlands, at the Benelux Office for Intellectual Property; |
| --- | --- |

(ii)

trade marks registered in the Member State or, in the case of Belgium, Luxembourg or the Netherlands, at the Benelux Office for Intellectual Property;

| (iii) | trade marks registered under international arrangements which have effect in the Member State; |
| --- | --- |

(iii)

trade marks registered under international arrangements which have effect in the Member State;

| (b) | European trade marks which validly claim seniority, in accordance with Regulation (EC) No 207/2009, from a trade mark referred to in points (a)(ii) and (iii), even when the latter trade mark has been surrendered or allowed to lapse; |
| --- | --- |

(b)

European trade marks which validly claim seniority, in accordance with Regulation (EC) No 207/2009, from a trade mark referred to in points (a)(ii) and (iii), even when the latter trade mark has been surrendered or allowed to lapse;

| (c) | applications for the trade marks referred to in points (a) and (b), subject to their registration; |
| --- | --- |

(c)

applications for the trade marks referred to in points (a) and (b), subject to their registration;

| (d) | trade marks which, on the date of application for registration of the trade mark, or, where appropriate, of the priority claimed in respect of the application for registration of the trade mark, are well known in a Member State, in the sense in which the words ‘well known’ are used in Article 6 bis of the Paris Convention.
  [Am. 24] |
| --- | --- |

(d)

trade marks which, on the date of application for registration of the trade mark, or, where appropriate, of the priority claimed in respect of the application for registration of the trade mark, are well known in a Member State, in the sense in which the words ‘well known’ are used in Article 6 bis of the Paris Convention.
  [Am. 24]

3.   A trade mark shall not be registered or, if registered, shall be liable to be declared invalid:

| (a) | if it is identical with, or similar to, an earlier trade mark irrespective of whether the goods or services for which it is applied or registered are identical with, similar to or not similar to those for which the earlier trade mark is registered, where the earlier trade mark has a reputation in a

  the
  Member State
  in respect of which registration is applied for or in which the trade mark is registered
  or, in
  the
  case of a European
  Union
  trade mark, has a reputation in the Union and the use of the later trade mark without due cause would take unfair advantage of, or be detrimental to, the distinctive character or the repute of the earlier trade mark; [Am. 25] |
| --- | --- |

(a)

if it is identical with, or similar to, an earlier trade mark irrespective of whether the goods or services for which it is applied or registered are identical with, similar to or not similar to those for which the earlier trade mark is registered, where the earlier trade mark has a reputation in a

  the
  Member State
  in respect of which registration is applied for or in which the trade mark is registered
  or, in
  the
  case of a European
  Union
  trade mark, has a reputation in the Union and the use of the later trade mark without due cause would take unfair advantage of, or be detrimental to, the distinctive character or the repute of the earlier trade mark; [Am. 25]

| (b) | where an agent or representative of the proprietor of the trade mark applies for registration thereof in his own name without the proprietor’s authorisation, unless the agent or representative justifies his action; |
| --- | --- |

(b)

where an agent or representative of the proprietor of the trade mark applies for registration thereof in his own name without the proprietor’s authorisation, unless the agent or representative justifies his action;

| (c) | where the trade mark is liable to be confused with an earlier mark protected outside the Union, provided that the mark was still in genuine use at the date of the application and the applicant was acting in bad faith. |
| --- | --- |

(c)

where the trade mark is liable to be confused with an earlier mark protected outside the Union, provided that the mark was still in genuine use at the date of the application and the applicant was acting in bad faith.

| (d) | if it is excluded from registration and shall not continue to be used pursuant to Union legislation providing for protection of designations of origin and geographical indications.
  [Am. 26] |
| --- | --- |

(d)

if it is excluded from registration and shall not continue to be used pursuant to Union legislation providing for protection of designations of origin and geographical indications.
  [Am. 26]

4.   Any Member State may provide that a trade mark shall not be registered or, if registered, shall be liable to be declared invalid where, and to the extent that:

| (a) | rights to a non-registered trade mark or to another sign used in the course of trade were acquired prior to the date of application for registration of the subsequent trade mark, or the date of the priority claimed for the application for registration of the subsequent trade mark, and that non-registered trade mark or other sign confers on its proprietor the right to prohibit the use of a subsequent trade mark; |
| --- | --- |

(a)

rights to a non-registered trade mark or to another sign used in the course of trade were acquired prior to the date of application for registration of the subsequent trade mark, or the date of the priority claimed for the application for registration of the subsequent trade mark, and that non-registered trade mark or other sign confers on its proprietor the right to prohibit the use of a subsequent trade mark;

| (b) | the use of the trade mark may be prohibited by virtue of an earlier right other than the rights referred to in paragraph 2 and point (a) of this paragraph and in particular:






  (i) | a right to a name; |
| --- | --- | --- |

(b)

the use of the trade mark may be prohibited by virtue of an earlier right other than the rights referred to in paragraph 2 and point (a) of this paragraph and in particular:

(i)

a right to a name;

| (ii) | a right of personal portrayal; |
| --- | --- |

(ii)

a right of personal portrayal;

| (iii) | a copyright; |
| --- | --- |

(iii)

a copyright;

| (iv) | an industrial property right. |
| --- | --- |

(iv)

an industrial property right.

5.   The Member States may

  shall
  permit that in appropriate circumstances registration need not be refused or the trade mark need not be declared invalid where the proprietor of the earlier trade mark or other earlier right consents to the registration of the later trade mark. [Am. 27]

6.   Any Member State may provide that, by derogation from paragraphs 1 to 5, the grounds for refusal of registration or invalidity in force in that State prior to the date of the entry into force of the provisions necessary to comply with Directive 89/104/EEC, shall apply to trade marks for which application has been made prior to that date.

Article 6

Establishment a posteriori of invalidity or revocation of a trade mark

Where the seniority of a national trade mark which has been surrendered or allowed to lapse is claimed for a European
  Union
  trade mark, the invalidity or revocation of the national trade mark may be established a posteriori, provided that the invalidity or revocation could also have been declared at the time the mark was surrendered or allowed to lapse. In such a case the seniority shall cease to produce its effects.

Article 7

Grounds for refusal or invalidity relating to only some of the goods or services

Where grounds for refusal of registration or for invalidity of a trade mark exist in respect of only some of the goods or services for which that trade mark has been applied or registered, refusal of registration or invalidity shall cover those goods or services only.

Article 8

Lack of distinctive character or of reputation of an earlier trade mark precluding a declaration of invalidity of a registered trade mark

A registered trade mark shall not be declared invalid on the basis of an earlier trade mark in any of the following cases:

| (a) | where the earlier trade mark, liable to be declared invalid pursuant to Article 4(1)(b), (c) or (d), had not acquired a distinctive character in accordance with Article 4(5) at the filing date or the priority date of the registered trade mark; |
| --- | --- |

(a)

where the earlier trade mark, liable to be declared invalid pursuant to Article 4(1)(b), (c) or (d), had not acquired a distinctive character in accordance with Article 4(5) at the filing date or the priority date of the registered trade mark;

| (b) | where the application for a declaration of invalidity is based on Article 5(1)(b) and the earlier trade mark had not become sufficiently distinctive to support a finding of likelihood of confusion within the meaning of Article 5(1)(b) at the filing date or the priority date of the registered trade mark; |
| --- | --- |

(b)

where the application for a declaration of invalidity is based on Article 5(1)(b) and the earlier trade mark had not become sufficiently distinctive to support a finding of likelihood of confusion within the meaning of Article 5(1)(b) at the filing date or the priority date of the registered trade mark;

| (c) | where the application for a declaration of invalidity is based on
  point (a) of
  Article 5(3) and the earlier trade mark did not have a reputation within the meaning of
  point (a) of
  Article 5(3) at the filing date or the priority date of the registered trade mark. [Am. 28] |
| --- | --- |

(c)

where the application for a declaration of invalidity is based on
  point (a) of
  Article 5(3) and the earlier trade mark did not have a reputation within the meaning of
  point (a) of
  Article 5(3) at the filing date or the priority date of the registered trade mark. [Am. 28]

Article 9

Preclusion of a declaration of invalidity in consequence of acquiescence

1.   Where, in a Member State, the proprietor of an earlier trade mark as referred to in Article 5(2)
  and point (a) of Article 5(3)
  has acquiesced, for a period of five successive years, in the use of a later trade mark registered in that Member State while being aware of such use, he shall no longer be entitled on the basis of the earlier trade mark to apply for a declaration that the later trade mark is invalid in respect of the goods or services for which the later trade mark has been used, unless registration of the later trade mark was applied for in bad faith. [Am. 29]

2.   Any Member State may provide that paragraph 1 shall apply to the proprietor of any other earlier right referred to in Article 5(4)(a) or (b).

3.   In the cases referred to in paragraphs 1 and 2, the proprietor of a later registered trade mark shall not be entitled to oppose the use of the earlier right, even though that right may no longer be invoked against the later trade mark.

Section 3

Rights conferred and limitations

Article 10

Rights conferred by a trade mark

1.   The registration of a trade mark shall confer on the proprietor exclusive rights.

2.   Without prejudice to the rights of proprietors acquired before the filing date or the priority date of the registered trade mark, the proprietor of a registered trade mark shall be entitled to prevent all third parties not having his consent from using in the course of trade any sign in relation to goods or services where:

| (a) | the sign is identical with the trade mark and is used in relation to goods or services which are identical with those for which the trade mark is registered and where such use affects or is liable to affect the function of the trade mark to guarantee to consumers the origin of the goods or services; |
| --- | --- |

(a)

the sign is identical with the trade mark and is used in relation to goods or services which are identical with those for which the trade mark is registered and where such use affects or is liable to affect the function of the trade mark to guarantee to consumers the origin of the goods or services;

| (b) | without prejudice to point (a),
  the sign is identical, or similar to, the trade mark and is used for goods or services which are identical with or similar to the goods or services for which the trade mark is registered, if there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association between the sign and the trade mark; |
| --- | --- |

(b)

without prejudice to point (a),
  the sign is identical, or similar to, the trade mark and is used for goods or services which are identical with or similar to the goods or services for which the trade mark is registered, if there exists a likelihood of confusion on the part of the public; the likelihood of confusion includes the likelihood of association between the sign and the trade mark;

| (c) | the sign is identical with, or similar to, the trade mark irrespective of whether it is used in relation to goods or services which are identical with, similar or not similar to those for which the trade mark is registered, where the latter has a reputation in the Member State and where use of that sign without due cause takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the trade mark. |
| --- | --- |

(c)

the sign is identical with, or similar to, the trade mark irrespective of whether it is used in relation to goods or services which are identical with, similar or not similar to those for which the trade mark is registered, where the latter has a reputation in the Member State and where use of that sign without due cause takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the trade mark.

3.   The following, in particular, may be prohibited under paragraph 2:

| (a) | affixing the sign to the goods or to the packaging thereof; |
| --- | --- |

(a)

affixing the sign to the goods or to the packaging thereof;

| (b) | offering the goods, or putting them on the market or stocking them for these purposes under that sign, or offering or supplying services thereunder; |
| --- | --- |

(b)

offering the goods, or putting them on the market or stocking them for these purposes under that sign, or offering or supplying services thereunder;

| (c) | importing or exporting the goods under the sign; |
| --- | --- |

(c)

importing or exporting the goods under the sign;

| (d) | using the sign as a trade or company name or part of a trade or company name; |
| --- | --- |

(d)

using the sign as a trade or company name or part of a trade or company name;

| (e) | using the sign on business papers and in advertising; |
| --- | --- |

(e)

using the sign on business papers and in advertising;

| (f) | using the sign in comparative advertising in a way which is contrary to Directive 2006/114/EC. |
| --- | --- |

(f)

using the sign in comparative advertising in a way which is contrary to Directive 2006/114/EC.

4.   The proprietor of a registered trade mark shall also be entitled to prevent the importing
  into the Union
  of goods pursuant to paragraph 3(c)

  delivered in small consignments as defined by Regulation (EU) No 608/2013
  where only the consignor of the goods acts for commercial purposes

  in the course of trade and where such goods, including packaging, bear without authorisation a trade mark which is identical to the trade mark registered in respect of such goods, or which cannot be distinguished in its essential aspects from that trade mark
  .
  In cases where such measures are taken, Member States shall ensure that the individual or entity that ordered the goods is informed of the reason for the measures as well as of their legal rights vis-à-vis the consignor.

5.   
  Without prejudice to WTO rules, in particular Article V of the GATT on freedom of transit,
  the proprietor of a registered trade mark shall also be entitled to prevent all third parties from bringing goods, in the context of commercial activity, into the customs territory of the Member State where the trade mark is registered without being released for free circulation there, where such goods, including packaging, come from third countries and bear without authorization a trade mark which is identical to the trade mark registered in respect of such goods, or which cannot be distinguished in its essential aspects from that trade mark. [Ams 30 and 56]

6.   Where, under the law of a Member State, the use of a sign under the conditions referred to in paragraph 2, point (b) or (c) could not be prohibited before the date of entry into force of the provisions necessary to comply with First Council Directive 89/104/EEC (14) in the Member State concerned, the rights conferred by the trade mark may not be relied on to prevent the continued use of the sign.

7.   Paragraphs 1, 2, 3 and 6 shall not affect provisions in any Member State relating to the protection against the use of a sign other than for the purposes of distinguishing goods or services, where use of that sign without due cause takes unfair advantage of, or is detrimental to, the distinctive character or the repute of the trade mark.

Article 11

Infringement of the rights of the proprietor by use of get-up, packaging or other means

Where it is likely that the get-up, packaging or other means to which the mark is affixed will be used in relation to goods or services and the use in relation to those goods or services would constitute an infringement of the rights of the proprietor under Article 10(2) and (3), the proprietor shall have the right to prohibit the following:

| (a) | affixing in the course of trade a sign
  that is, as specified in Article 5(1) of this Directive,
  identical with or similar to the trade mark on get-up, packaging or

  , labels, tags, security features, authenticity devices or any
  other means on which the mark may be affixed; [Am. 31] |
| --- | --- |

(a)

affixing in the course of trade a sign
  that is, as specified in Article 5(1) of this Directive,
  identical with or similar to the trade mark on get-up, packaging or

  , labels, tags, security features, authenticity devices or any
  other means on which the mark may be affixed; [Am. 31]

| (b) | offering or placing on the market, or stocking for those purposes, or importing or exporting get-up, packaging or,
  labels, tags, security features, authenticity devices or any
  other means on which the mark is affixed. [Am. 32] |
| --- | --- |

(b)

offering or placing on the market, or stocking for those purposes, or importing or exporting get-up, packaging or,
  labels, tags, security features, authenticity devices or any
  other means on which the mark is affixed. [Am. 32]

Article 12

Reproduction of trade marks in dictionaries

If the reproduction of a trade mark in a dictionary, encyclopaedia or similar reference work gives the impression that it constitutes the generic name of the goods or services for which the trade mark is registered, the publisher of the work shall, at the request of the proprietor of the trade mark, ensure that the reproduction of the trade mark at the latest in the next edition of the publication is accompanied by an indication that it is a registered trade mark.

Article 13

Prohibition of the use of a trade mark registered in the name of an agent or representative

1.   Where a trade mark is registered in the name of the agent or representative of a person who is the proprietor of that trade mark, without the proprietor's consent, the latter shall be entitled to either of the following:

| (a) | to oppose the use of his mark by his agent or representative; |
| --- | --- |

(a)

to oppose the use of his mark by his agent or representative;

| (b) | to demand from the agent or representative the assignment of the trade mark in his favour. |
| --- | --- |

(b)

to demand from the agent or representative the assignment of the trade mark in his favour.

2.   Paragraph 1 shall not apply where the agent or representative justifies his action.

Article 14

Limitation of the effects of a trade mark

1.   The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade:

| (a) | his own personal name or address; |
| --- | --- |

(a)

his own personal name or address;

| (b) | signs or indications which are not distinctive or which concern the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of goods or services; |
| --- | --- |

(b)

signs or indications which are not distinctive or which concern the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of goods or services;

| (c) | the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of the trade mark, in particular where the use of the trade mark:








  (i) | is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts; |
| --- | --- | --- |

(c)

the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of the trade mark, in particular where the use of the trade mark:

(i)

is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts;

| (ii) | is made in comparative advertising satisfying all conditions set forth in Directive 2006/114/EC; |
| --- | --- |

(ii)

is made in comparative advertising satisfying all conditions set forth in Directive 2006/114/EC;

| (iii) | is made to bring to the attention of consumers the resale of genuine goods that have originally been sold by or with the consent of the proprietor of the trade mark; |
| --- | --- |

(iii)

is made to bring to the attention of consumers the resale of genuine goods that have originally been sold by or with the consent of the proprietor of the trade mark;

| (iv) | is made to put forward a legitimate alternative to the goods or services of the proprietor of the trade mark; |
| --- | --- |

(iv)

is made to put forward a legitimate alternative to the goods or services of the proprietor of the trade mark;

| (v) | is made for the purposes of parody, artistic expression, criticism or comment. |
| --- | --- |

(v)

is made for the purposes of parody, artistic expression, criticism or comment.

The first subparagraph

  This paragraph
  shall only apply where the use made by the third party is in accordance with honest practices in industrial or commercial matters. [Am. 33]

2.   The use by the third party shall be considered not to be in accordance with honest practices, in particular in the following cases:

| (a) | it gives the impression that there is a commercial connection between the third party and the proprietor of the trade mark; |
| --- | --- |

(a)

it gives the impression that there is a commercial connection between the third party and the proprietor of the trade mark;

| (b) | it takes unfair advantage of or is detrimental to, the distinctive character or the repute of the trade mark without due cause.
  [Am. 34] |
| --- | --- |

(b)

it takes unfair advantage of or is detrimental to, the distinctive character or the repute of the trade mark without due cause.
  [Am. 34]

2a.
     
  The trade mark shall not entitle the proprietor to prohibit a third party from using the trade mark for a due cause for any non-commercial use of a mark. [Am. 35]

3.   The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade, an earlier right which only applies in a particular locality if that right is recognised by the laws of the Member State in question and within the limits of the territory in which it is recognised.

Article 15

Exhaustion of the rights conferred by a trade mark

1.   The trade mark shall not entitle the proprietor to prohibit its use in relation to goods which have been put on the market in the Union under that trade mark by the proprietor or with his consent.

2.   Paragraph 1 shall not apply where there exist legitimate reasons for the proprietor to oppose further commercialisation of the goods, especially where the condition of the goods is changed or impaired after they have been put on the market.

Article 16

Use of trade marks

1.   If, within a period of five years following the date of registration, the proprietor has not put the trade mark to genuine use in the Member State in connection with the goods or services in respect of which it is registered, or if such use has been suspended during an uninterrupted period of five years, the trade mark shall be subject to the limits and sanctions provided for in Article 17, Article 19(1), Article 46(1), and Article 48(3) and (4), unless there are proper reasons for non-use.

2.   Where a Member State provides for opposition proceedings following registration, the five years referred to in paragraph 1 shall be calculated from the date when the mark can no longer be opposed or, in case an opposition has been lodged and not withdrawn, from the date when a decision terminating the opposition proceedings has become final.

3.   With regard to trade marks registered under international arrangements which have effect in the Member State, the five years referred to in paragraph 1 shall be calculated from the date when the mark can no longer be rejected or opposed. Where an opposition has been lodged and not withdrawn, the period shall be calculated from the date when a decision terminating the opposition proceedings has become final.

3a.
     
  The date of commencement of the period of five years referred to in paragraphs 1, 2 and 3 shall be entered in the register. [Am. 36]

4.   The following shall also constitute use within the meaning of paragraph 1:

| (a) | use of the trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it was registered, regardless of whether or not the trade mark in the form as used is also registered in the name of the proprietor; |
| --- | --- |

(a)

use of the trade mark in a form differing in elements which do not alter the distinctive character of the mark in the form in which it was registered, regardless of whether or not the trade mark in the form as used is also registered in the name of the proprietor;

| (b) | affixing of the trade mark to goods or to the packaging thereof in the Member State concerned solely for export purposes. |
| --- | --- |

(b)

affixing of the trade mark to goods or to the packaging thereof in the Member State concerned solely for export purposes.

5.   Use of the trade mark with the consent of the proprietor shall be deemed to constitute use by the proprietor.

Article 17

Non-use as defence in infringement proceedings

The proprietor of a trade mark shall be entitled to prohibit the use of a sign only to the extent that his rights are not liable to be revoked pursuant to Article 19 at the time the infringement action is brought.

Article 18

Intervening right of the proprietor of a later registered trade mark as defence in infringement proceedings

1.   In infringement proceedings, the proprietor of a trade mark shall not be entitled to prohibit the use of a later registered mark where that later trade mark shall not be declared invalid pursuant to Articles 8, 9(1) and (2) and 48(3).

2.   In infringement proceedings, the proprietor of a trade mark shall not be entitled to prohibit the use of a later registered European
  Union
  trade mark where that later trade mark shall not be declared invalid pursuant to Article 53(3) and (4), Article 54(1) and (2) or Article 57(2) of Regulation (EC) No 207/2009.

3.   Where the proprietor of a trade mark shall not be entitled to prohibit the use of a later registered mark pursuant to paragraphs 1 or 2, the proprietor of that later registered trade mark shall not be entitled to prohibit the use of the earlier trade mark in infringement proceedings, even though that right may no longer be invoked against the later trade mark.

Section 4

revocation of trade mark rights

Article 19

Absence of genuine use as ground for revocation

1.   A trade mark shall be liable to revocation if, within a continuous period of five years, it has not been put to genuine use in the Member State in connection with the goods or services in respect of which it is registered, and there are no proper reasons for non-use.

2.   No person may claim that the proprietor’s rights in a trade mark should be revoked where, during the interval between expiry of the five-year period and filing of the application for revocation, genuine use of the trade mark has been started or resumed.

3.   The commencement or resumption of use within a period of three months preceding the filing of the application for revocation which began at the earliest on expiry of the continuous period of five years of non-use shall be disregarded where preparations for the commencement or resumption occur only after the proprietor becomes aware that the application for revocation may be filed.

Article 20

Development into a common name or misleading indication as grounds for revocation

A trade mark shall be liable to revocation if, after the date on which it was registered:

| (a) | in consequence of acts or inactivity of the proprietor, it has become the common name in the trade for a product or service in respect of which it is registered; |
| --- | --- |

(a)

in consequence of acts or inactivity of the proprietor, it has become the common name in the trade for a product or service in respect of which it is registered;

| (b) | in consequence of the use made of it by the proprietor of the trade mark or with his consent in respect of the goods or services for which it is registered, it is liable to mislead the public, particularly as to the nature, quality or geographical origin of those goods or services. |
| --- | --- |

(b)

in consequence of the use made of it by the proprietor of the trade mark or with his consent in respect of the goods or services for which it is registered, it is liable to mislead the public, particularly as to the nature, quality or geographical origin of those goods or services.

Article 21

Revocation relating to only some of the goods or services

Where grounds for revocation of a trade mark exist in respect of only some of the goods or services for which that trade mark has been registered, revocation shall cover those goods or services only.

Section 5

Trade marks as objects of property

Article 22

Transfer of registered trade marks

1.   A trade mark may be transferred, separately from any transfer of the undertaking, in respect of some or all of the goods or services for which it is registered.

2.   A transfer of the whole of the undertaking shall include the transfer of the trade mark except where there is agreement to the contrary or circumstances clearly dictate otherwise. This provision shall apply to the contractual obligation to transfer the undertaking.

3.   Without prejudice to paragraph 2, an assignment of the trade mark shall be made in writing and shall require the signature of the parties to the contract, except when it is a result of a judgment; otherwise it shall be void.
  [Am. 37]

4.   On request of one of the parties a transfer shall be entered in the register and published
  , if the requesting party has provided to the office documentary evidence of the transfer
  . [Am. 38]

5.   As long as the
  application for registration of the
  transfer has not been entered in the register

  received by the office
  , the successor in title may not invoke the rights arising from the registration of the trade mark against third parties. [Am. 39]

6.   Where there are time limits to be observed vis-à-vis the office, the successor in title may make the corresponding statements to the office once the request for registration of the transfer has been received by the office.

Article 23

Rights in rem

1.   A trade mark may, independently of the undertaking, be given as security or be the subject of rights in rem.

2.   On request of one of the parties, the rights referred to in paragraph 1 shall be entered in the register and published.

Article 24

Levy of execution

1.   A trade mark may be levied in execution.

2.   On request of one of the parties, levy of execution shall be entered in the register and published.

Article 25

Insolvency proceedings

Where a trade mark is involved in insolvency proceedings, on request of the competent authority an entry to this effect shall be made in the register and published.

Article 26

Licensing

1.   A trade mark may be licensed for some or all of the goods or services for which it is registered and for the whole or part of the Member State concerned. A licence may be exclusive or non-exclusive.

2.   The proprietor of a trade mark may invoke the rights conferred by that trade mark against a licensee who contravenes any provision in his licensing contract with regard to:

| (a) | its duration; |
| --- | --- |

(a)

its duration;

| (b) | the form covered by the registration in which the trade mark may be used; |
| --- | --- |

(b)

the form covered by the registration in which the trade mark may be used;

| (c) | the scope of the goods or services for which the licence is granted; |
| --- | --- |

(c)

the scope of the goods or services for which the licence is granted;

| (d) | the territory in which the trade mark may be affixed; or |
| --- | --- |

(d)

the territory in which the trade mark may be affixed; or

| (e) | the quality of the goods manufactured or of the services provided by the licensee. |
| --- | --- |

(e)

the quality of the goods manufactured or of the services provided by the licensee.

3.   Without prejudice to the provisions of the licensing contract, the licensee may bring proceedings for infringement of a trade mark only if its proprietor consents thereto. However, the holder of an exclusive licence may bring such proceedings if the proprietor of the trade mark, after formal notice, does not himself bring infringement proceedings within an appropriate period.

4.   A licensee shall, for the purpose of obtaining compensation for damage suffered by him, be entitled to intervene in infringement proceedings brought by the proprietor of the trade mark.

5.   On request of one of the parties the grant or transfer of a licence in respect of a trade mark shall be entered in the register and published.

Article 27

The application for a trade mark as an object of property

Articles 22 to 26 shall apply to applications for trade marks.

Section 6

Guarantee marks, certification marks and collective marks

Article 28

Definitions

For the purposes of this section, the following shall apply:

| (1) | ‘Guarantee or certification mark’ means a trade mark which is described as such when the mark is applied for and is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristics from goods and services which are not so certified; |
| --- | --- |

(1)

‘Guarantee or certification mark’ means a trade mark which is described as such when the mark is applied for and is capable of distinguishing goods or services which are certified by the proprietor of the mark in respect of geographical origin, material, mode of manufacture of goods or performance of services, quality, accuracy or other characteristics from goods and services which are not so certified;

| (2) | ‘Collective mark’ means a trade mark which is described as such when the mark is applied for and is capable of distinguishing the goods or services of the members of an association which is the proprietor of the mark from the goods or services of other undertakings.
  [Am. 40] |
| --- | --- |

(2)

‘Collective mark’ means a trade mark which is described as such when the mark is applied for and is capable of distinguishing the goods or services of the members of an association which is the proprietor of the mark from the goods or services of other undertakings.
  [Am. 40]

Article 29

Guarantee marks and certification marks

1.   Member States may provide for the registration of guarantee or certification marks.

2.   Member States may provide that guarantee or certification marks shall not be registered, or shall be revoked or declared invalid, on grounds other than those specified in Articles 3, 19 and 20 where the function of those marks so requires.

3.   A guarantee or certification mark consisting of signs or indications which may serve, in trade, to designate the geographical origin of the goods or services shall not entitle the proprietor to prohibit a third party from using in the course of trade such signs or indications, provided he uses them in accordance with honest practices in industrial or commercial matters. In particular, such a mark may not be invoked against a third party who is entitled to use a geographical name.

Article 30

Collective marks

1.   Member States shall provide for the registration of collective marks.

2.   Associations of manufacturers, producers, suppliers of services, or traders which, under the terms of the law governing them, have the capacity in their own name to have rights and obligations of all kinds, to make contracts or accomplish other legal acts and to sue and be sued, as well as legal persons governed by public law, may apply for collective marks.

3.   By way of derogation from Article 4(1)(c), signs or indications which may serve, in trade, to designate the geographical origin of the goods or services may constitute collective marks.

A collective mark shall not entitle the proprietor to prohibit a third party from using in the course of trade such signs or indications, provided he uses them in accordance with honest practices in industrial or commercial matters. In particular, such a mark may not be invoked against a third party who is entitled to use a geographical name.

Article 31

Regulations governing use of the collective mark

1.   An applicant for a collective mark shall submit the regulations governing its use
  to the office
  . [Am. 41]

2.   The regulations governing use shall specify the persons authorised to use the mark, the conditions of membership of the association and the conditions of use of the mark, including sanctions. The regulations governing use of a mark referred to in Article 30(3) shall authorise any person whose goods or services originate in the geographical area concerned to become a member of the association which is the proprietor of the mark.

Article 32

Refusal of the application

1.   In addition to the grounds for refusal of a trade mark application provided for in Articles 4 and 5, an application for a collective mark shall be refused where the provisions of Articles 28(2), 30 or 31 are not satisfied, or where the regulations governing use are contrary to public policy or to accepted principles of morality.

2.   An application for a collective mark shall also be refused if the public is liable to be misled as regards the character or the significance of the mark, in particular if it is likely to be taken to be something other than a collective mark.

3.   An application shall not be refused if the applicant, as a result of amendment of the regulations governing use, meets the requirements of paragraphs 1 and 2.

Article 33

Use of collective marks

The requirements of Article 16 shall be satisfied where genuine use of a collective mark in accordance with Article 16 is made by any person who has authority to use it.

Article 34

Amendment to the regulations governing use of the collective mark

1.   The proprietor of a collective mark shall submit to the office any amended regulations governing use.

2.   The amendment shall be mentioned in the register unless the amended regulations do not satisfy the requirements of Article 31 or involve one of the grounds for refusal referred to in Article 32.

3.   Article 42(2) shall apply to amended regulations governing use.

4.   For the purposes of this Directive, amendments to the regulations governing use shall take effect only from the date of entry of the mention of the amendment in the register.

Article 35

Persons who are entitled to bring an action for infringement

1.   Article 26(3) and (4) shall apply to every person who has authority to use a collective mark.

2.   The proprietor of a collective mark shall be entitled to claim compensation on behalf of persons who have authority to use the mark where those persons have sustained damage in consequence of unauthorised use of the mark.

Article 36

Additional grounds for revocation

In addition to the grounds for revocation provided for in Articles 19 and 20, the rights of the proprietor of a collective mark shall be revoked on application to the office or on the basis of a counterclaim in infringement proceedings on the following grounds:

| (a) | the proprietor does not take reasonable steps to prevent the mark being used in a manner incompatible with the conditions of use laid down in the regulations governing use, amendments to which have, where appropriate, been mentioned in the register; |
| --- | --- |

(a)

the proprietor does not take reasonable steps to prevent the mark being used in a manner incompatible with the conditions of use laid down in the regulations governing use, amendments to which have, where appropriate, been mentioned in the register;

| (b) | the manner in which the mark has been used by authorised persons has caused it to become liable to mislead the public in the manner referred to in Article 32(2); |
| --- | --- |

(b)

the manner in which the mark has been used by authorised persons has caused it to become liable to mislead the public in the manner referred to in Article 32(2);

| (c) | an amendment to the regulations governing use of the mark has been mentioned in the register in breach of Article 34(2), unless the proprietor of the mark, by further amending the regulations governing use, complies with the requirements of that Article. |
| --- | --- |

(c)

an amendment to the regulations governing use of the mark has been mentioned in the register in breach of Article 34(2), unless the proprietor of the mark, by further amending the regulations governing use, complies with the requirements of that Article.

Article 37

Additional grounds for invalidity

In addition to the grounds for invalidity provided for in Articles 4 and 5, a collective mark which is registered in breach of the provisions of Article 32 shall be declared invalid unless the proprietor of the mark, by amending the regulations governing use, complies with the requirements of Article 32.

Chapter 3

Procedures

Section 1

Application and registration

Article 38

Conditions with which applications must comply

1.   An application for registration of a trade mark shall contain
  at least
  : [Am. 42]

| (a) | a request for the registration, |
| --- | --- |

(a)

a request for the registration,

| (b) | information identifying the applicant, |
| --- | --- |

(b)

information identifying the applicant,

| (c) | a list of the goods or services in respect of which the registration is requested, |
| --- | --- |

(c)

a list of the goods or services in respect of which the registration is requested,

| (d) | a representation of the trade mark. |
| --- | --- |

(d)

a representation of the trade mark.

2.   The application for a trade mark shall be subject to the payment of an application fee and, where appropriate, one or more class fees.

Article 39

Date of filing

1.   The date of filing of a trade mark application shall be the date on which the documents containing the information specified in Article 38 are filed with the office by the applicant.

2.   Member States may, in addition, provide that the accordance of the date of filing shall be subject to the payment of the basic application or registration fee.

Article 40

Designation and classification of goods and services

1.   The goods and services in respect of which registration is applied for shall be classified in conformity with the system of classification established by the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957 (hereinafter referred to as the ‘Nice Classification’).

2.   The goods and services for which the protection is sought shall be identified by the applicant with sufficient clarity and precision to enable the competent authorities and economic operators, on that sole basis, to determine the extent of the protection sought. The list of goods and services shall allow each item to be classified in only one class of the Nice Classification.

3.   For the purposes of paragraph 2, the general indications included in the class headings of the Nice Classification or other general terms may be used, provided that they comply with the requisite standards of clarity and precision.

4.   The office shall reject the application in respect of terms which are unclear or imprecise if the applicant does not suggest an acceptable wording within a period set by the office to that effect. In the interest of clarity and legal certainty, the offices in cooperation with each other shall compile a list reflecting their respective administrative practices with regard to the classification of goods and services.

5.   The use of general terms, including the general indications of the class headings of the Nice Classification, shall be interpreted as including all the goods or services clearly covered by the literal meaning of the indication or term. The use of such terms or indications shall not be interpreted as comprising a claim to goods or services which cannot be so understood.

6.   Where the applicant requests registration for more than one class, the goods and services shall be grouped

  applicant shall group the goods and services
  according to the classes of the Nice classification, each group being preceded by the number of the class to which that group of goods or services belongs, and presented

  shall present them
  in the order of the classes. [Am. 43]

7.   The classification of goods and services shall serve exclusively administrative purposes. Goods and services shall not be regarded as being similar to each other on the ground that they appear in the same class under the Nice Classification, and goods and services shall not be regarded as being dissimilar from each other on the ground that they appear in different classes under the Nice Classification.

Article 41

Ex officio examination

The offices shall limit their examination

  ex officio

  of whether a trade mark application is eligible for registration to the absence of the absolute grounds for refusal provided for in Article 4.
  [Am. 44]

Article 42

Observations by third parties

1.   Prior to registration of a trade mark, any natural or legal person and any group or body representing manufacturers, producers, suppliers of services, traders or consumers may submit to the office written observations, explaining on which of the grounds listed in Article 4 the trade mark shall not be registered ex officio. They shall not be parties to the proceedings before the office.

2.   In addition to the grounds referred to in paragraph 1, any natural or legal person and any group or body representing manufacturers, producers, suppliers of services, traders or consumers may submit to the office written observations based on the particular grounds on which the application for a collective mark should be refused under Article 32(1) and (2).

2a.
     
  Member States which have established opposition procedures based on absolute grounds provided for by Article 4 shall not be required to implement this Article. [Am. 45]

Article 43

Division of applications and registrations

The applicant or proprietor may divide a trade mark application or registration into one or more separate applications or registrations by submitting a declaration to the office.

Article 44

Fees

The registration and renewal of a trade mark shall be subject to an additional fee for each class of goods and services beyond the first class.

Section 2

Procedures for opposition, revocation and invalidity

Article 45

Opposition procedure

1.   Member States shall provide for an efficient and expeditious administrative procedure before their offices for opposing the registration of a trade mark application on the grounds provided for in Article 5.

2.   The administrative procedure referred to in paragraph 1 shall provide that at least the proprietor of an earlier right referred to in
  Article 4(1)(i),

  Article 5(2) and
  point (a) of Article 5
  (3) shall be able to file a notice of opposition.
  A notice of opposition may be filed on the basis of one or more earlier rights, provided that they all belong to the same proprietor, and on the basis of a part or of the totality of the goods or services in respect of which the earlier right is registered or applied for, and may be directed against a part or the totality of the goods or services in respect of which the contested mark is applied for. [Am. 46]

3.   The parties shall,
  at their joint request,
  be granted a period of time of at least

  a minimum of
  two months before

  within
  the opposition proceedings commence in order to negotiate the possibility of an amicable settlement between the opposing party and the applicant. [Am. 47]

Article 46

Non-use as defence in opposition proceedings

1.   In administrative opposition proceedings, where at the filing date or date of priority of the later trade mark, the period of five years within which the earlier trade mark must have been put to genuine use as provided for in Article 16 had expired, upon request of the applicant the proprietor of the earlier trade mark who has given notice of opposition shall furnish proof that the earlier trade mark has been put to genuine use as provided for in Article 16 during the period of five years preceding the filing date or date of priority of the later trade mark, or that proper reasons for non-use existed. In the absence of proof to this effect the opposition shall be rejected.

2.   If the earlier trade mark has been used in relation to only part of the goods or services for which it is registered, it shall, for the purpose of the examination of the opposition as provided for in paragraph 1, be deemed to be registered in respect only of that part of the goods or services.

3.   Paragraphs 1 and 2 shall apply where the earlier trade mark is a European
  Union
  trade mark. In such a case, the genuine use of the European
  Union
  trade mark shall be determined in accordance with Article 15 of Regulation (EC) No 207/2009.

Article 47

Procedure for revocation or declaration of invalidity

1.   Member States shall provide for an
  efficient and expeditious
  administrative procedure before their offices for revocation or declaration of invalidity of a trade mark. [Am. 48]

2.   The administrative procedure for revocation shall provide that the trade mark shall be revoked on the grounds provided for in Articles 19 and 20.

3.   The administrative procedure for invalidity shall provide that the trade mark shall be declared invalid at least on the following grounds:

| (a) | the trade mark should not have been registered because it does not comply with the requirements provided for in Article 4; |
| --- | --- |

(a)

the trade mark should not have been registered because it does not comply with the requirements provided for in Article 4;

| (b) | the trade mark should not have been registered because of the existence of an earlier right within the meaning of Article 5(2) and (3). |
| --- | --- |

(b)

the trade mark should not have been registered because of the existence of an earlier right within the meaning of Article 5(2) and (3).

4.   The administrative procedure shall provide that at least the following shall be able to file an application for revocation or for a declaration of invalidity:

| (a) | in the case of paragraph 2 and of point (a) of paragraph 3, any natural or legal person and any group or body set up for the purpose of representing the interests of manufacturers, producers, suppliers of services, traders or consumers, which under the terms of the law governing it has the capacity to sue in its own name and to be sued; |
| --- | --- |

(a)

in the case of paragraph 2 and of point (a) of paragraph 3, any natural or legal person and any group or body set up for the purpose of representing the interests of manufacturers, producers, suppliers of services, traders or consumers, which under the terms of the law governing it has the capacity to sue in its own name and to be sued;

| (b) | in the case of point (b) of paragraph 3, the proprietor of an earlier right referred to in Article 5(2) and (3). |
| --- | --- |

(b)

in the case of point (b) of paragraph 3, the proprietor of an earlier right referred to in Article 5(2) and (3).

4a.
     
  An application for revocation or for a declaration of invalidity may be directed against a part or the totality of the goods or services in respect of which the contested mark is registered. [Am. 49]

4b.
     
  An application for a declaration of invalidity may be filed on the basis of one or more earlier rights, provided they all belong to the same proprietor. [Am. 50]

Article 48

Non-use as defence in proceedings seeking a declaration of invalidity

1.   In administrative proceedings for a declaration of invalidity based on a registered trade mark with an earlier filing date or priority date, if the proprietor of the later trade mark so requests, the proprietor of the earlier trade mark shall furnish proof that, during the period of five years preceding the date of the application for a declaration of invalidity, the earlier trade mark has been put to genuine use as provided for in Article 16 in connection with the goods or services in respect of which it is registered and which he cites as justification for his application, or that there are proper reasons for non-use, provided that the period of five years within which the earlier trade mark must have been put to genuine use has expired at the date of the application for a declaration of invalidity. [Am. 51]

2.   Where, at the filing date or date of priority of the later trade mark, the period of five years within which the earlier trade mark must have been put to genuine use as provided for in Article 16 had expired, the proprietor of the earlier trade mark shall, in addition to the proof required in paragraph 1, furnish proof that the trade mark has been put to genuine use during the period of five years preceding the filing date or date of priority, or that proper reasons for non-use existed.

3.   In the absence of the proofs referred to in paragraphs 1 and 2, the application for a declaration of invalidity on the basis of an earlier trade mark shall be rejected.

4.   If the earlier trade mark has been used in accordance with Article 16 in relation to only part of the goods or services for which it is registered, it shall, for the purpose of the examination of the application for a declaration of invalidity, be deemed to be registered in respect only of that part of the goods or services.

5.   Paragraphs 1 to 4 shall apply where the earlier trade mark is a European
  Union
  trade mark. In such a case, genuine use of the European
  Union
  trade mark shall be determined in accordance with Article 15 of Regulation (EC) No 207/2009.

Article 49

Consequences of revocation and invalidity

1.   A registered trade mark shall be deemed not to have had, as from the date of the application for revocation, the effects specified in this Directive, to the extent that the rights of the proprietor have been revoked. An earlier date, on which one of the grounds for revocation occurred, may be fixed in the decision at the request of one of the parties.

2.   A registered trade mark shall be deemed not to have had, as from the outset, the effects specified in this Directive, to the extent that the trade mark has been declared invalid.

Section 3

Duration and renewal of registration

Article 50

Duration of registration

1.   Trade marks shall be registered for a period of 10 years from the date of filing of the application.

2.   Registration may be renewed in accordance with Article 51 for further periods of 10 years.

Article 51

Renewal

1.   Registration of a trade mark shall be renewed at the request of the proprietor of the trade mark or any person authorised by him, provided that the renewal fees have been paid.

2.   The office shall inform the proprietor of the trade mark, and any person having a registered right in respect of the trade mark, of the expiry of the registration in good time before the said expiry. Failure to give such information shall not involve the responsibility of the office.

3.   The request for renewal shall be submitted and the renewal fees shall be paid within a period of six months ending on the last day of the month in which protection ends. Failing this, the request may be submitted within a further period of six months following the day referred to in the first sentence. The renewal fees and an additional fee shall be paid within that further period.

4.   Where the request is submitted or the fees paid in respect of only some of the goods or services for which the trade mark is registered, registration shall be renewed for those goods or services only.

5.   Renewal shall take effect from the day following the date on which the existing registration expires. The renewal shall be registered and published.

Section 3a

Communication with the office

Article 51a

Communication with the office

Parties to the proceedings or, where appointed, their representatives, shall designate an official address within one of the Member States for all official communication with the office. [Am. 53]

Chapter 4

Administrative cooperation

Article 52

Cooperation in the area of trade mark registration and administration

Member States shall ensure that the offices cooperate
  effectively
  with each other and with the Agency in order to promote convergence of practices and tools and achieve

  with a view to achieving more
  coherent results in the examination and registration of trade marks. [Am. 52]

Article 53

Cooperation in other areas

Member States shall ensure that the offices
  effectively
  cooperate with the Agency in all areas of their activities other than those referred to in Article 52 which are of relevance for the protection of trade marks in the Union. [Am. 54]

Chapter 5

Final provisions

Article 54

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Articles 2 to 6, 8 to 14, 16, 17, 18, 22 to 28, and 30 to 53 by 24 months after entry into force of this Directive at the latest. They shall forthwith communicate to the Commission the text of those provisions.

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. They shall also include a statement that references in existing laws, regulations and administrative provisions to the directive repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field governed by this Directive.

Article 55

Repeal

Directive 2008/95/EC is repealed with effect from [day after the date set out in the first subparagraph of Article 54(1) of this Directive], without prejudice to the obligations of the Member States relating to the time limit for the transposition into national law of the Directive set out in Part B of Annex I to Directive 2008/95/EC.

References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table in the Annex.

Article 56

Entry into force

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

Articles 1, 7, 15, 19, 20, 21 and 54 to 57 shall apply from [day after the date set out in the first subparagraph of Article 54(1) of this Directive].’

Article 57

Addressees

This Directive is addressed to the Member States.

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 42.

1

(2)  Position of the European Parliament of 25 February 2014.

2

(3)  Directive 2008/95/EC of the European Parliament and of the Council of 22 October 2008 to approximate the laws of the Member States relating to trade marks (OJ L 299, 8.11.2008, p. 25).

3

(4)  Council Regulation (EC) No 207/2009 of 26 February 2009 on the Community trade mark (OJ L 78, 24.3.2009, p. 1).

4

(5)  COM(2008)0465.

5

(6)  OJ C 140, 29.5.2010, p. 22.

6

(7)  COM(2011)0287.

7

(8)  OJ L 336, 23.12.1994, p. 213.

8

(9)  Directive 2006/114/EC of the European Parliament and of the Council of 12 December 2006 concerning misleading and comparative advertising (OJ L 376, 27.12.2006, p. 21).

9

(10)  
  Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15).

10

Regulation (EU) No 608/2013 of the European Parliament and of the Council of 12 June 2013 concerning customs enforcement of intellectual property rights and repealing Council Regulation (EC) No 1383/2003 (OJ L 181, 29.6.2013, p. 15).

(11)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

11

(12)  OJ C 32, 4.2.2014, p. 23.

12

(13)  
  Council Regulation (EC) No 2100/94 of 27 July 1994 on Community plant variety rights (OJ L 227, 1.9.1994, p. 1).

13

Council Regulation (EC) No 2100/94 of 27 July 1994 on Community plant variety rights (OJ L 227, 1.9.1994, p. 1).

(14)  First Council Directive 89/104/EEC of 21 December 1988 to approximate the laws of the Member States relating to trade marks (OJ L 40, 11.2.1989, p. 1).

14

ANNEX

Correlation table

| Directive 2008/95/EC | This Directive |
| --- | --- |
| Article 1 | Article 1 |
| --- | Article 2 |
| Article 2 | Article 3 |
| Article 3(1)(a) to (h) | Article 4(1)(a) to (h) |
| --- | Article 4(1)(i) and (j) |
| --- | Article 4(2) and (3), first sentence |
| Article 3(2)(a) to (c) | Article 4(4)(a) to (c) |
| Article 3(2)(d) | Article 4(3), second sentence |
| Article 3(3), first sentence | Article 4(5) |
| Article 3(3), second sentence | Article 4(6) |
| Article 4(1) and (2) | Article 5(1) and (2) |
| Article 4(3) and (4)(a) | Article 5(3)(a) |
| --- | Article 5(3)(b) |
| Article 4(4)(g) | Article 5(3)(c) |
| --- | Article 5(3)(d) |
| Article 4(4)(b) and (c) | Article 5(4)(a) and (b) |
| Article 4(4)(d) to (f) | --- |
| Article 4(5) and (6) | Article 5(5) and (6) |
| --- | Article 8 |
| Article 5(1), first introductory sentence | Article 10(1) |
| Article 5(1), second introductory sentence | Article 10(2), introductory sentence |
| Article 5(1)(a) and (b) | Article 10(2)(a) and (b) |
| Article 5(2) | Article 10(2) |
| Article 5(3)(a) to (c) | Article 10(3)(a) to (c) |
| --- | Article 10(3)(d) |
| Article 5(3)(d) | Article 10(3)(e) |
| --- | Article 10(3)(f) |
| --- | Article 10(4) and (5) |
| Article 5(4) and (5) | Article 10(6) and (7) |
| --- | Article 11 |
| --- | Article 12 |
| --- | Article 13 |
| Article 6(1)(a) to (c) | Article 14(1)(a) to (c) |
| --- | Article 14(2) |
| Article 6(2) | Article 14(3) |
| Article 7 | Article 15 |
| Article 8(1) and (2) | Article 26(1) and (2) |
| --- | Article 26(3) to (5) |
| Article 9 | Article 9 |
| Article 10(1), first subparagraph | Article 16(1) |
| --- | Article 16(2) and (3) |
| Article 10(1), second subparagraph | Article 10(4) |
| Article 10(2) | Article 10(5) |
| Article 10(3) | --- |
| Article 11(1) | Article 48(1) to (3) |
| Article 11(2) | Article 46(1) |
| Article 11(3) | Article 17 |
| Article 11(4) | Articles 17, 46(2) and Article 48(4) |
| --- | Article 18 |
| Article 12(1), first subparagraph | Article 19(1) |
| Article 12(1), second subparagraph | Article 19(2) |
| Article 12(1), third subparagraph | Article 19(3) |
| Article 12(2) | Article 20 |
| Article 13 | Article 7 and Article 21 |
| Article 14 | Article 6 |
| --- | Articles 22 to 25 |
| --- | Article 27 |
| --- | Article 28 |
| Article 15(1) | 29(1) and (2) |
| Article 15(2) | Article 29(3) |
| --- | Articles 30 to 54(1) |
| Article 16 | Article 54(2) |
| Article 17 | Article 55 |
| Article 18 | Article 56 |
| Article 19 | Article 57 |

Directive 2008/95/EC

This Directive

Article 1

Article 1

---

Article 2

Article 2

Article 3

Article 3(1)(a) to (h)

Article 4(1)(a) to (h)

---

Article 4(1)(i) and (j)

---

Article 4(2) and (3), first sentence

Article 3(2)(a) to (c)

Article 4(4)(a) to (c)

Article 3(2)(d)

Article 4(3), second sentence

Article 3(3), first sentence

Article 4(5)

Article 3(3), second sentence

Article 4(6)

Article 4(1) and (2)

Article 5(1) and (2)

Article 4(3) and (4)(a)

Article 5(3)(a)

---

Article 5(3)(b)

Article 4(4)(g)

Article 5(3)(c)

---

Article 5(3)(d)

Article 4(4)(b) and (c)

Article 5(4)(a) and (b)

Article 4(4)(d) to (f)

---

Article 4(5) and (6)

Article 5(5) and (6)

---

Article 8

Article 5(1), first introductory sentence

Article 10(1)

Article 5(1), second introductory sentence

Article 10(2), introductory sentence

Article 5(1)(a) and (b)

Article 10(2)(a) and (b)

Article 5(2)

Article 10(2)

Article 5(3)(a) to (c)

Article 10(3)(a) to (c)

---

Article 10(3)(d)

Article 5(3)(d)

Article 10(3)(e)

---

Article 10(3)(f)

---

Article 10(4) and (5)

Article 5(4) and (5)

Article 10(6) and (7)

---

Article 11

---

Article 12

---

Article 13

Article 6(1)(a) to (c)

Article 14(1)(a) to (c)

---

Article 14(2)

Article 6(2)

Article 14(3)

Article 7

Article 15

Article 8(1) and (2)

Article 26(1) and (2)

---

Article 26(3) to (5)

Article 9

Article 9

Article 10(1), first subparagraph

Article 16(1)

---

Article 16(2) and (3)

Article 10(1), second subparagraph

Article 10(4)

Article 10(2)

Article 10(5)

Article 10(3)

---

Article 11(1)

Article 48(1) to (3)

Article 11(2)

Article 46(1)

Article 11(3)

Article 17

Article 11(4)

Articles 17, 46(2) and Article 48(4)

---

Article 18

Article 12(1), first subparagraph

Article 19(1)

Article 12(1), second subparagraph

Article 19(2)

Article 12(1), third subparagraph

Article 19(3)

Article 12(2)

Article 20

Article 13

Article 7 and Article 21

Article 14

Article 6

---

Articles 22 to 25

---

Article 27

---

Article 28

Article 15(1)

29(1) and (2)

Article 15(2)

Article 29(3)

---

Articles 30 to 54(1)

Article 16

Article 54(2)

Article 17

Article 55

Article 18

Article 56

Article 19

Article 57

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/287 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/287

---

P7_TA(2014)0120

Freezing and confiscation of proceeds of crime ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the freezing and confiscation of proceeds of crime in the European Union (COM(2012)0085 — C7-0075/2012 — 2012/0036(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/36)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0085), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0085),

| — | having regard to Article 294(2) and Articles 82(2) and 83(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0075/2012), |
| --- | --- |

—

having regard to Article 294(2) and Articles 82(2) and 83(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0075/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 July 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 10 October 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 10 October 2012 (2),

| — | having regard to the opinion of the European Union Agency for Fundamental Rights of 4 December 2012, |
| --- | --- |

—

having regard to the opinion of the European Union Agency for Fundamental Rights of 4 December 2012,

| — | having regard to the undertaking given by the Council representative by letter of 3 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 3 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0178/2013), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0178/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 299, 4.10.2012, p. 128.

(2)  OJ C 391, 18.12.2012, p. 134.

---

P7_TC1-COD(2012)0036

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the freezing and confiscation of instrumentalities and proceeds of crime in the European Union

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2014/42/EU.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/288 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/288

---

P7_TA(2014)0121

European Union Agency for Law Enforcement Cooperation and Training (Europol) ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions 2009/371/JHA and 2005/681/JHA (COM(2013)0173 — C7-0094/2013 — 2013/0091(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/37)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0173), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0173),

| — | having regard to Article 294(2) and Article 88 and Article 87(2)(b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0094/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 88 and Article 87(2)(b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0094/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Belgian Chamber of Representatives, the German Bundesrat and the Spanish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Belgian Chamber of Representatives, the German Bundesrat and the Spanish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Constitutional Affairs (A7-0096/2014), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Constitutional Affairs (A7-0096/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Stresses that point 31 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (1) shall apply for the extension of the mandate of Europol; emphasises that any decision of the legislative authority in favour of such an extension shall be without prejudice to the decisions of the budgetary authority in the context of the annual budgetary procedure; |
| --- | --- |

2.

Stresses that point 31 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (1) shall apply for the extension of the mandate of Europol; emphasises that any decision of the legislative authority in favour of such an extension shall be without prejudice to the decisions of the budgetary authority in the context of the annual budgetary procedure;

| 3. | Requests the Commission, once the Regulation is agreed upon by the European Parliament and the Council, to fully take the agreement into account in order to meet the budgetary and staff requirements of Europol and its new tasks, in particular the European Cybercrime Centre, in accordance with paragraph 42 of the Joint Statement of the European Parliament, the Council, and the Commission of 19 July 2012 on decentralised agencies; |
| --- | --- |

3.

Requests the Commission, once the Regulation is agreed upon by the European Parliament and the Council, to fully take the agreement into account in order to meet the budgetary and staff requirements of Europol and its new tasks, in particular the European Cybercrime Centre, in accordance with paragraph 42 of the Joint Statement of the European Parliament, the Council, and the Commission of 19 July 2012 on decentralised agencies;

| 4. | 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; |
| --- | --- |

4.

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;

| 5. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

5.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 373, 20.12.2013, p. 1.

---

P7_TC1-COD(2013)0091

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of the European Union Agency for Law Enforcement Cooperation and Training (Europol) and repealing Decisions Council Decision 2009/371/JHA and 2005/681/JHA [Am. 1]

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 88 and Article 87(2)(b) thereof, [Am. 2]

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

After having consulted the European Data Protection Supervisor,

Acting in accordance with the ordinary legislative procedure (1),

Whereas:

| (1) | Europol was set up by Council Decision 2009/371/JHA (2) as an entity of the Union funded from the general budget of the Union to support and strengthen action by competent authorities of the Member States and their mutual cooperation in preventing and combating organised crime, terrorism and other forms of serious crime affecting two or more Member States. Decision 2009/371/JHA replaced the Convention based on Article K.3 of the Treaty on European Union (TEU), on the establishment of a European Police Office (Europol Convention) (3). |
| --- | --- |

(1)

Europol was set up by Council Decision 2009/371/JHA (2) as an entity of the Union funded from the general budget of the Union to support and strengthen action by competent authorities of the Member States and their mutual cooperation in preventing and combating organised crime, terrorism and other forms of serious crime affecting two or more Member States. Decision 2009/371/JHA replaced the Convention based on Article K.3 of the Treaty on European Union (TEU), on the establishment of a European Police Office (Europol Convention) (3).

| (2) | Article 88 of the Treaty on the Functioning of the European Union (TFEU) provides for Europol to be governed by a regulation to be adopted in accordance with the ordinary legislative procedure. It also requires the establishment of procedures for the scrutiny of Europol’s activities by the European Parliament, together with national parliaments,
  in accordance with Article 12(c) TEU and Article 9 of Protocol No 1 on the role of national parliaments in the European Union, in order to enhance the democratic legitimacy and accountability of Europol to the European citizens
  . Therefore, it is necessary to replace the Decision 2009/371/JHA by a regulation laying down rules on parliamentary scrutiny. [Am. 3] |
| --- | --- |

(2)

Article 88 of the Treaty on the Functioning of the European Union (TFEU) provides for Europol to be governed by a regulation to be adopted in accordance with the ordinary legislative procedure. It also requires the establishment of procedures for the scrutiny of Europol’s activities by the European Parliament, together with national parliaments,
  in accordance with Article 12(c) TEU and Article 9 of Protocol No 1 on the role of national parliaments in the European Union, in order to enhance the democratic legitimacy and accountability of Europol to the European citizens
  . Therefore, it is necessary to replace the Decision 2009/371/JHA by a regulation laying down rules on parliamentary scrutiny. [Am. 3]

| (3) | The European Police College (‘CEPOL’) was established by Decision 2005/681/JHA

   (4)

  to facilitate cooperation between national police forces by organising and coordinating training activities with a European policing dimension.
  [Am. 4] |
| --- | --- |

(3)

The European Police College (‘CEPOL’) was established by Decision 2005/681/JHA

   (4)

  to facilitate cooperation between national police forces by organising and coordinating training activities with a European policing dimension.
  [Am. 4]

| (4) | The ‘Stockholm Programme — An open and secure Europe serving and protecting citizens’ (5) calls for Europol to evolve and become a ‘hub for information exchange between the law enforcement authorities of the Member States, a service provider and a platform for law enforcement services.’ On the basis of an assessment of Europol’s functioning, further enhancement of its operational effectiveness is needed to meet this objective. The Stockholm Programme also sets the aim of creating a genuine European law enforcement culture by setting up European training schemes and exchange programmes for all relevant law enforcement professionals at national and Union level.
  [Am. 5] |
| --- | --- |

(4)

The ‘Stockholm Programme — An open and secure Europe serving and protecting citizens’ (5) calls for Europol to evolve and become a ‘hub for information exchange between the law enforcement authorities of the Member States, a service provider and a platform for law enforcement services.’ On the basis of an assessment of Europol’s functioning, further enhancement of its operational effectiveness is needed to meet this objective. The Stockholm Programme also sets the aim of creating a genuine European law enforcement culture by setting up European training schemes and exchange programmes for all relevant law enforcement professionals at national and Union level.
  [Am. 5]

| (5) | Large-scale criminal and terrorist networks pose a significant threat to the internal security of the Union and to the safety and livelihood of its citizens. Available threat assessments show that criminal groups are becoming increasingly poly-criminal and cross-border in their activities. National law enforcement authorities therefore need to cooperate more closely with their counterparts in other Member States. In this context, it is necessary to equip Europol to support Member States more in Union-wide crime prevention, analyses and investigations. This has also been confirmed in the evaluations

  evaluation
  of Decisions

  Decision
  2009/371/JHA and 2005/681/JHA. [Am. 6] |
| --- | --- |

(5)

Large-scale criminal and terrorist networks pose a significant threat to the internal security of the Union and to the safety and livelihood of its citizens. Available threat assessments show that criminal groups are becoming increasingly poly-criminal and cross-border in their activities. National law enforcement authorities therefore need to cooperate more closely with their counterparts in other Member States. In this context, it is necessary to equip Europol to support Member States more in Union-wide crime prevention, analyses and investigations. This has also been confirmed in the evaluations

  evaluation
  of Decisions

  Decision
  2009/371/JHA and 2005/681/JHA. [Am. 6]

| (6) | Given the links between the tasks of Europol and CEPOL, integrating and rationalising the functions of the two agencies would enhance the effectiveness of operational activity, the relevance of training and the efficiency of Union police cooperation.
  [Am. 7] |
| --- | --- |

(6)

Given the links between the tasks of Europol and CEPOL, integrating and rationalising the functions of the two agencies would enhance the effectiveness of operational activity, the relevance of training and the efficiency of Union police cooperation.
  [Am. 7]

| (7) | Decisions

  Decision
  2009/371/JHA and 2005/681/JHA should therefore be repealed and replaced by this regulation, which draws on the lessons learnt from the implementation of both Decisions

  that Decision
  .
  The
  Europol
  agency
  as established by this regulation should replace and assume the functions of Europol and CEPOL as established by the two repealed Decisions

  Decision
  . [Am. 8] |
| --- | --- |

(7)

Decisions

  Decision
  2009/371/JHA and 2005/681/JHA should therefore be repealed and replaced by this regulation, which draws on the lessons learnt from the implementation of both Decisions

  that Decision
  .
  The
  Europol
  agency
  as established by this regulation should replace and assume the functions of Europol and CEPOL as established by the two repealed Decisions

  Decision
  . [Am. 8]

| (8) | As crime often occurs across internal borders, Europol should support and strengthen Member State actions and their cooperation in preventing and combating serious crime affecting two or more Member States. As terrorism is one of the most important threats

  presents a threat
  for the security of the Union, Europol should assist Member States in facing common challenges in this regard. As the EU law enforcement agency, Europol should also support and strengthen actions and cooperation on tackling forms of crime that affect the interests of the EU. It should also offer support in preventing and combating related criminal offences which are committed in order to procure the means, to facilitate, to carry out or to ensure the impunity of acts in respect of which Europol is competent. [Am. 9] |
| --- | --- |

(8)

As crime often occurs across internal borders, Europol should support and strengthen Member State actions and their cooperation in preventing and combating serious crime affecting two or more Member States. As terrorism is one of the most important threats

  presents a threat
  for the security of the Union, Europol should assist Member States in facing common challenges in this regard. As the EU law enforcement agency, Europol should also support and strengthen actions and cooperation on tackling forms of crime that affect the interests of the EU. It should also offer support in preventing and combating related criminal offences which are committed in order to procure the means, to facilitate, to carry out or to ensure the impunity of acts in respect of which Europol is competent. [Am. 9]

| (9) | Europol should ensure better quality, coherent and consistent training for law enforcement officers of all ranks within a clear framework in accordance with identified training needs.
  [Am. 10] |
| --- | --- |

(9)

Europol should ensure better quality, coherent and consistent training for law enforcement officers of all ranks within a clear framework in accordance with identified training needs.
  [Am. 10]

| (10) | Europol should be able to request Member States to initiate, conduct or coordinate criminal investigations in specific cases where cross-border cooperation would add value. Europol should inform Eurojust of such requests.
  Europol should justify the request. [Am. 11] |
| --- | --- |

(10)

Europol should be able to request Member States to initiate, conduct or coordinate criminal investigations in specific cases where cross-border cooperation would add value. Europol should inform Eurojust of such requests.
  Europol should justify the request. [Am. 11]

| (10a) | Europol should keep a record of collaboration in the operations of joint investigation teams targeting criminal activities falling within its remit. [Am. 12] |
| --- | --- |

(10a)

Europol should keep a record of collaboration in the operations of joint investigation teams targeting criminal activities falling within its remit. [Am. 12]

| (10b) | Whenever a cooperation between Europol and Member States has been established regarding a specific investigation, clear provisions should be drawn up between Europol and those Member States involved, outlining the specific tasks to be carried out, the degree of participation with the investigative or judicial proceedings of the Member states, and the division of responsibilities and the applicable law for the purposes of judicial oversight. [Am. 13] |
| --- | --- |

(10b)

Whenever a cooperation between Europol and Member States has been established regarding a specific investigation, clear provisions should be drawn up between Europol and those Member States involved, outlining the specific tasks to be carried out, the degree of participation with the investigative or judicial proceedings of the Member states, and the division of responsibilities and the applicable law for the purposes of judicial oversight. [Am. 13]

| (11) | To increase the effectiveness of Europol as a hub for information exchange in the Union, clear obligations for Member States to provide Europol with the data necessary for it to fulfil its objectives should be laid down. While implementing such obligations, Member States should

  must
  pay particular attention to providing
  only
  data relevant for the fight against crimes considered to be strategic and operational priorities within relevant policy instruments of the Union. Member States should also provide Europol with a copy of bilateral and multilateral exchanges of information with other Member States on crime falling under Europol’s objectives
  and also indicate the source of this information
  . At the same time, Europol should increase the level of its support to Member States, so as to enhance mutual cooperation and sharing of information. Europol should

  must
  submit an annual report to all Union institutions and to national parliaments on the extent to which individual Member States provide it with information. [Am. 14] |
| --- | --- |

(11)

To increase the effectiveness of Europol as a hub for information exchange in the Union, clear obligations for Member States to provide Europol with the data necessary for it to fulfil its objectives should be laid down. While implementing such obligations, Member States should

  must
  pay particular attention to providing
  only
  data relevant for the fight against crimes considered to be strategic and operational priorities within relevant policy instruments of the Union. Member States should also provide Europol with a copy of bilateral and multilateral exchanges of information with other Member States on crime falling under Europol’s objectives
  and also indicate the source of this information
  . At the same time, Europol should increase the level of its support to Member States, so as to enhance mutual cooperation and sharing of information. Europol should

  must
  submit an annual report to all Union institutions and to national parliaments on the extent to which individual Member States provide it with information. [Am. 14]

| (12) | To ensure effective cooperation between Europol and Member States, a national unit should be set up in each Member State. It should be the principal liaison between national law enforcement authorities and training institutes and Europol.

  The role of the national Europol units as guarantors and defenders of national interests in the Agency should be maintained under the Regulation. National units should also continue to be the contact point between Europol and the competent authorities, thereby giving them a centralised and coordinating role in respect of all Member State cooperation with and through Europol, and thus ensuring that each Member State responds in a uniform way to Europol requests.
  To ensure continuous, effective exchange of information between Europol and national units and to facilitate their cooperation, each national unit should second at least one liaison officer to Europol. [Am. 15] |
| --- | --- |

(12)

To ensure effective cooperation between Europol and Member States, a national unit should be set up in each Member State. It should be the principal liaison between national law enforcement authorities and training institutes and Europol.

  The role of the national Europol units as guarantors and defenders of national interests in the Agency should be maintained under the Regulation. National units should also continue to be the contact point between Europol and the competent authorities, thereby giving them a centralised and coordinating role in respect of all Member State cooperation with and through Europol, and thus ensuring that each Member State responds in a uniform way to Europol requests.
  To ensure continuous, effective exchange of information between Europol and national units and to facilitate their cooperation, each national unit should second at least one liaison officer to Europol. [Am. 15]

| (13) | Taking into account the decentralised structure of some Member States and the need to ensure in certain cases rapid exchanges of information, Europol should be allowed to cooperate directly with law enforcement authorities in Member States in individual investigations, while keeping Europol national units informed. |
| --- | --- |

(13)

Taking into account the decentralised structure of some Member States and the need to ensure in certain cases rapid exchanges of information, Europol should be allowed to cooperate directly with law enforcement authorities in Member States in individual investigations, while keeping Europol national units informed.

| (14) | To ensure that Union-level law enforcement training is of high quality, coherent and consistent, Europol should act in line with Union law enforcement training policy. Union-level training should be available to law enforcement officers of all ranks. Europol should ensure that training is evaluated and that conclusions from training needs assessments are part of planning to reduce duplication. Europol should promote the recognition in Member States of training provided at Union level.
  [Am. 16] |
| --- | --- |

(14)

To ensure that Union-level law enforcement training is of high quality, coherent and consistent, Europol should act in line with Union law enforcement training policy. Union-level training should be available to law enforcement officers of all ranks. Europol should ensure that training is evaluated and that conclusions from training needs assessments are part of planning to reduce duplication. Europol should promote the recognition in Member States of training provided at Union level.
  [Am. 16]

| (15) | It is also necessary to improve the governance of Europol, by seeking efficiency gains and streamlining procedures. |
| --- | --- |

(15)

It is also necessary to improve the governance of Europol, by seeking efficiency gains and streamlining procedures.

| (16) | The Commission and the Member States should be represented on the Management Board of Europol to effectively supervise its work. To reflect the dual mandate of the new agency, operational support and training for law enforcement, the full

  The
  members of the Management Board should be appointed on the basis of their knowledge of law enforcement cooperation, whereas alternate members should be appointed on the basis of their knowledge of training for law enforcement officers. Alternate members should act as full members in the absence of the full member and in any case when training is discussed or decided. The Management Board should be advised by a scientific committee on technical training issues. [Am. 17] |
| --- | --- |

(16)

The Commission and the Member States should be represented on the Management Board of Europol to effectively supervise its work. To reflect the dual mandate of the new agency, operational support and training for law enforcement, the full

  The
  members of the Management Board should be appointed on the basis of their knowledge of law enforcement cooperation, whereas alternate members should be appointed on the basis of their knowledge of training for law enforcement officers. Alternate members should act as full members in the absence of the full member and in any case when training is discussed or decided. The Management Board should be advised by a scientific committee on technical training issues. [Am. 17]

| (17) | The Management Board should be given the necessary powers, in particular to set the budget, verify its execution, adopt the appropriate financial rules and planning documents,
  adopt measures to protect the financial interests of the Union and to fight against fraud, as well as adopt rules for the prevention and management of conflicts of interests,
  establish transparent working procedures for decision-making by the Executive Director of Europol, and adopt the annual activity report. It should exercise the powers of appointing authority towards staff of the agency including the Executive Director. To streamline the decision making process, and to reinforce supervision of administrative and budgetary management, the Management Board should be also entitled to establish an Executive Board. [Am. 18] |
| --- | --- |

(17)

The Management Board should be given the necessary powers, in particular to set the budget, verify its execution, adopt the appropriate financial rules and planning documents,
  adopt measures to protect the financial interests of the Union and to fight against fraud, as well as adopt rules for the prevention and management of conflicts of interests,
  establish transparent working procedures for decision-making by the Executive Director of Europol, and adopt the annual activity report. It should exercise the powers of appointing authority towards staff of the agency including the Executive Director. To streamline the decision making process, and to reinforce supervision of administrative and budgetary management, the Management Board should be also entitled to establish an Executive Board. [Am. 18]

| (18) | To ensure the efficient day-to-day functioning of Europol, the Executive Director should be its legal representative and manager, acting in complete independence in the performance of all tasks and ensuring that Europol carries out the tasks provided for by this Regulation. In particular, the Executive Director should be responsible for preparing budgetary and planning documents submitted for the decision of the Management Board, implementing the annual and multiannual work programmes of Europol and other planning documents. |
| --- | --- |

(18)

To ensure the efficient day-to-day functioning of Europol, the Executive Director should be its legal representative and manager, acting in complete independence in the performance of all tasks and ensuring that Europol carries out the tasks provided for by this Regulation. In particular, the Executive Director should be responsible for preparing budgetary and planning documents submitted for the decision of the Management Board, implementing the annual and multiannual work programmes of Europol and other planning documents.

| (19) | For the purposes of preventing and combating crime falling under its objectives, it is necessary for Europol to have the fullest and most up-to-date information possible. Therefore, Europol should be able to process data provided to it by Member States, third countries, international organisations and Union bodies as well as coming from publicly available sources
  , as long as Europol can be considered to be lawful recipient of that data,
  to develop an understanding of criminal phenomena and trends, to gather information about criminal networks, and to detect links between different offences. [Am. 19] |
| --- | --- |

(19)

For the purposes of preventing and combating crime falling under its objectives, it is necessary for Europol to have the fullest and most up-to-date information possible. Therefore, Europol should be able to process data provided to it by Member States, third countries, international organisations and Union bodies as well as coming from publicly available sources
  , as long as Europol can be considered to be lawful recipient of that data,
  to develop an understanding of criminal phenomena and trends, to gather information about criminal networks, and to detect links between different offences. [Am. 19]

| (20) | To improve Europol’s effectiveness in providing accurate crime analyses to the Member States’ law enforcement authorities, it should use new technologies to process data. Europol should be able to swiftly detect links between investigations and common modi operandi across different criminal groups, to check cross-matches of data and to have a clear overview of trends, while maintaining

  guaranteeing
  high level of protection of personal data for individuals. Therefore, Europol databases should not be pre-defined, allowing Europol to choose the most efficient IT structure. To ensure a high level of data protection, the purpose of processing operations and access rights as well as specific additional safeguards should be laid down.
  The principles of relevance and proportionality must be observed with regard to personal data processing. [Am. 20] |
| --- | --- |

(20)

To improve Europol’s effectiveness in providing accurate crime analyses to the Member States’ law enforcement authorities, it should use new technologies to process data. Europol should be able to swiftly detect links between investigations and common modi operandi across different criminal groups, to check cross-matches of data and to have a clear overview of trends, while maintaining

  guaranteeing
  high level of protection of personal data for individuals. Therefore, Europol databases should not be pre-defined, allowing Europol to choose the most efficient IT structure. To ensure a high level of data protection, the purpose of processing operations and access rights as well as specific additional safeguards should be laid down.
  The principles of relevance and proportionality must be observed with regard to personal data processing. [Am. 20]

| (21) | To respect ownership of data and protection of information, Member States and authorities in third countries and international organisations should be able to determine the purpose for which Europol may process the data they provide and to restrict access rights.
  Purpose limitation contributes to transparency, legal certainty and predictability and is especially of high importance in the area of police cooperation, where data subjects are usually unaware when their personal data are being collected and processed and where the use of personal data may have a very significant impact on the lives and freedoms of individuals. [Am. 21] |
| --- | --- |

(21)

To respect ownership of data and protection of information, Member States and authorities in third countries and international organisations should be able to determine the purpose for which Europol may process the data they provide and to restrict access rights.
  Purpose limitation contributes to transparency, legal certainty and predictability and is especially of high importance in the area of police cooperation, where data subjects are usually unaware when their personal data are being collected and processed and where the use of personal data may have a very significant impact on the lives and freedoms of individuals. [Am. 21]

| (22) | To ensure that data are accessed only by those for whom access is necessary to perform their tasks, this Regulation should lay down detailed rules on different degrees of right of access to data processed by Europol. Such rules should be without prejudice to restrictions on access imposed by data providers, as the principle of ownership of data should be respected. In order to increase efficiency of preventing and combating crime falling under Europol’s objectives, Europol should notify Member States of information which concerns them. |
| --- | --- |

(22)

To ensure that data are accessed only by those for whom access is necessary to perform their tasks, this Regulation should lay down detailed rules on different degrees of right of access to data processed by Europol. Such rules should be without prejudice to restrictions on access imposed by data providers, as the principle of ownership of data should be respected. In order to increase efficiency of preventing and combating crime falling under Europol’s objectives, Europol should notify Member States of information which concerns them.

| (23) | To enhance operational cooperation between the agencies, and particularly to establish links between data already in possession of the different agencies, Europol should enable Eurojust and the European Anti-Fraud Office (OLAF) to have access to and be able to search against data available at Europol
  , on the basis of specific safeguards
  . [Am. 22] |
| --- | --- |

(23)

To enhance operational cooperation between the agencies, and particularly to establish links between data already in possession of the different agencies, Europol should enable Eurojust and the European Anti-Fraud Office (OLAF) to have access to and be able to search against data available at Europol
  , on the basis of specific safeguards
  . [Am. 22]

| (24) | Europol should maintain cooperative relations with other Union bodies,
  and
  law enforcement authorities and law enforcement training institutes of third countries, international organisations, and private parties to the extent required for the accomplishment of its tasks. [Am. 23] |
| --- | --- |

(24)

Europol should maintain cooperative relations with other Union bodies,
  and
  law enforcement authorities and law enforcement training institutes of third countries, international organisations, and private parties to the extent required for the accomplishment of its tasks. [Am. 23]

| (25) | To ensure operational effectiveness, Europol should be able to exchange all information, with the exception of personal data, with other Union bodies, law enforcement authorities and law enforcement training institutes of third countries, and international organisations to the extent necessary for the performance of its tasks. Since companies, firms, business associations, non-governmental organisations and other private parties hold expertise and data of direct relevance to the prevention and combating of serious crime and terrorism, Europol should also be able to exchange such data with private parties. To prevent and combat cybercrime, as related to network and information security incidents, Europol should, pursuant to Directive [name of adopted Directive] of the European Parliament and of the Council concerning measures to ensure a high common level of network and information security across the Union (*1), cooperate and exchange information, with the exception of personal data, with national authorities competent for the security of network and information systems. [Am. 24] |
| --- | --- |

(25)

To ensure operational effectiveness, Europol should be able to exchange all information, with the exception of personal data, with other Union bodies, law enforcement authorities and law enforcement training institutes of third countries, and international organisations to the extent necessary for the performance of its tasks. Since companies, firms, business associations, non-governmental organisations and other private parties hold expertise and data of direct relevance to the prevention and combating of serious crime and terrorism, Europol should also be able to exchange such data with private parties. To prevent and combat cybercrime, as related to network and information security incidents, Europol should, pursuant to Directive [name of adopted Directive] of the European Parliament and of the Council concerning measures to ensure a high common level of network and information security across the Union (*1), cooperate and exchange information, with the exception of personal data, with national authorities competent for the security of network and information systems. [Am. 24]

| (26) | Europol should be able to exchange personal data with other Union bodies to the extent necessary for the accomplishment of its tasks.
  The European Data Protection Supervisor should ensure that this exchange of information concerns only persons who have committed or who are thought likely to commit offences in respect of which Europol has competence. [Am. 25] |
| --- | --- |

(26)

Europol should be able to exchange personal data with other Union bodies to the extent necessary for the accomplishment of its tasks.
  The European Data Protection Supervisor should ensure that this exchange of information concerns only persons who have committed or who are thought likely to commit offences in respect of which Europol has competence. [Am. 25]

| (27) | Serious crime and terrorism often have links beyond the territory of the EU. Europol should therefore be able to exchange personal data with law enforcement authorities of third countries and with international organisations such as Interpol to the extent necessary for the accomplishment of its tasks.
  In exchanging personal data with third countries and international organisations, it is necessary to strike an appropriate balance between the need for effective enforcement and personal data protection. [Am. 26] |
| --- | --- |

(27)

Serious crime and terrorism often have links beyond the territory of the EU. Europol should therefore be able to exchange personal data with law enforcement authorities of third countries and with international organisations such as Interpol to the extent necessary for the accomplishment of its tasks.
  In exchanging personal data with third countries and international organisations, it is necessary to strike an appropriate balance between the need for effective enforcement and personal data protection. [Am. 26]

| (28) | Europol should be able to transfer personal data to an authority of a third country or an international organisation on the basis of a Commission decision finding that the country or international organisation in question ensures an adequate level of data protection, or, in the absence of an adequacy decision, an international agreement concluded by the Union pursuant to Article 218 TFEU, or a cooperation agreement concluded between Europol and this third country prior to the entry into force of this Regulation. In view of Article 9 of Protocol 36 on transitional provisions attached to the Treaty, legal effects of such agreements should be preserved until those agreements are repealed, annulled or amended in the implementation of the Treaty. |
| --- | --- |

(28)

Europol should be able to transfer personal data to an authority of a third country or an international organisation on the basis of a Commission decision finding that the country or international organisation in question ensures an adequate level of data protection, or, in the absence of an adequacy decision, an international agreement concluded by the Union pursuant to Article 218 TFEU, or a cooperation agreement concluded between Europol and this third country prior to the entry into force of this Regulation. In view of Article 9 of Protocol 36 on transitional provisions attached to the Treaty, legal effects of such agreements should be preserved until those agreements are repealed, annulled or amended in the implementation of the Treaty.

| (29) | Where a transfer of personal data cannot be based on an adequacy decision taken by the Commission, or, an international agreement concluded by the Union, or an existing cooperation agreement, the Management Board and the European Data Protection Supervisor should be allowed to authorise a transfer or a set of transfers, provided adequate safeguards are ensured. Where none of the above applies, the Executive Director should be allowed to authorise the transfer of data in exceptional cases on a case-by-case basis, if it is necessary to safeguard the essential interests of a Member State, to prevent an imminent danger associated with crime or terrorism, if the transfer is otherwise necessary or legally required on important public grounds, if the data subject has consented, or if vital interests of the data subject are at stake. |
| --- | --- |

(29)

Where a transfer of personal data cannot be based on an adequacy decision taken by the Commission, or, an international agreement concluded by the Union, or an existing cooperation agreement, the Management Board and the European Data Protection Supervisor should be allowed to authorise a transfer or a set of transfers, provided adequate safeguards are ensured. Where none of the above applies, the Executive Director should be allowed to authorise the transfer of data in exceptional cases on a case-by-case basis, if it is necessary to safeguard the essential interests of a Member State, to prevent an imminent danger associated with crime or terrorism, if the transfer is otherwise necessary or legally required on important public grounds, if the data subject has consented, or if vital interests of the data subject are at stake.

| (30) | Europol should be able to process personal data originating from private parties and private persons only if transferred to Europol by a Europol national unit of a Member State in accordance with its national law or, by a contact point in a third country with which there is established cooperation through a cooperation agreement concluded in accordance with Article 23 of Decision 2009/371/JHA prior to the entry into force of this Regulation or an authority of a third country or an international organisation with which the Union has concluded and international agreement pursuant to Article 218 TFEU. |
| --- | --- |

(30)

Europol should be able to process personal data originating from private parties and private persons only if transferred to Europol by a Europol national unit of a Member State in accordance with its national law or, by a contact point in a third country with which there is established cooperation through a cooperation agreement concluded in accordance with Article 23 of Decision 2009/371/JHA prior to the entry into force of this Regulation or an authority of a third country or an international organisation with which the Union has concluded and international agreement pursuant to Article 218 TFEU.

| (31) | Any information which has clearly been obtained by a third country or international organisation in violation of human rights shall not be processed. [Am. 27] |
| --- | --- |

(31)

Any information which has clearly been obtained by a third country or international organisation in violation of human rights shall not be processed. [Am. 27]

| (32) | Data protection rules at Europol should be strengthened and
  aligned with other relevant data protection instruments applicable to processing of personal data in the area of police cooperation in the Union to ensure a high level of protection of individuals with regard to processing of personal data. While Decision 2009/371/JHA provides for a robust data protection regime for Europol, it should be further elaborated to align Europol with the requirements of the Lisbon Treaty, reflect the growing role of Europol, improve the rights of data subjects and further enhance the trust between Member States and Europol which is necessary for a successful exchange of information. Data protection rules at Europol should be strengthened and
  draw on the principles underpinning Regulation (EC) No 45/2001 of the European Parliament and of the Council (6)

  or the instrument replacing Regulation (EC) No 45/2001
  to ensure a high level of protection of individuals with regard to processing of personal data
  , as well as on other data protection principles, including accountability principle, data protection impact assessment, privacy by design and by default and notification of personal data breaches. As soon as the new data protection framework of the EU institutions and bodies will be adopted, it should be applicable to Europol
  .
  As Declaration 21 attached to the Treaty recognizes

  acknowledges, the specific nature of
  the specificity of personal data processing
  of personal data
  in the law enforcement context, the data

  proves necessary that specific rules on the
  protection rules of

  of personal data and the free movement of such data are established for
  Europol should be autonomous

  based on Article 16 TFEU
  and aligned with other relevant data protection instruments applicable in the area of police cooperation in the Union, in particular Convention No. 108 (7)

  and its Additional Protocol of 8 November 2001
  and Recommendation No R(87) of the Council of Europe (8) and
  the robust data protection regime laid down in
  Council Framework Decision 2008/977/JHA on the protection of personal data processed in the framework of police and judicial cooperation in criminal matters
   (9) [to be replaced by the relevant Directive in force at the moment of adoption].
  Transparency is a crucial part of data protection since it enables other data protection principles and rights to be exercised. To enhance transparency, Europol should have transparent data protection policies that it should make easily publicly available setting out in an intelligible form and using clear and plain language the provisions regarding the processing of personal data and the means available for the exercise of the rights of data subjects, as well as publish a list of the international and cooperation agreements it has with third countries, Union bodies and international organisations. [Am. 28] |
| --- | --- |

(32)

Data protection rules at Europol should be strengthened and
  aligned with other relevant data protection instruments applicable to processing of personal data in the area of police cooperation in the Union to ensure a high level of protection of individuals with regard to processing of personal data. While Decision 2009/371/JHA provides for a robust data protection regime for Europol, it should be further elaborated to align Europol with the requirements of the Lisbon Treaty, reflect the growing role of Europol, improve the rights of data subjects and further enhance the trust between Member States and Europol which is necessary for a successful exchange of information. Data protection rules at Europol should be strengthened and
  draw on the principles underpinning Regulation (EC) No 45/2001 of the European Parliament and of the Council (6)

  or the instrument replacing Regulation (EC) No 45/2001
  to ensure a high level of protection of individuals with regard to processing of personal data
  , as well as on other data protection principles, including accountability principle, data protection impact assessment, privacy by design and by default and notification of personal data breaches. As soon as the new data protection framework of the EU institutions and bodies will be adopted, it should be applicable to Europol
  .

As Declaration 21 attached to the Treaty recognizes

  acknowledges, the specific nature of
  the specificity of personal data processing
  of personal data
  in the law enforcement context, the data

  proves necessary that specific rules on the
  protection rules of

  of personal data and the free movement of such data are established for
  Europol should be autonomous

  based on Article 16 TFEU
  and aligned with other relevant data protection instruments applicable in the area of police cooperation in the Union, in particular Convention No. 108 (7)

  and its Additional Protocol of 8 November 2001
  and Recommendation No R(87) of the Council of Europe (8) and
  the robust data protection regime laid down in
  Council Framework Decision 2008/977/JHA on the protection of personal data processed in the framework of police and judicial cooperation in criminal matters
   (9) [to be replaced by the relevant Directive in force at the moment of adoption].
  Transparency is a crucial part of data protection since it enables other data protection principles and rights to be exercised. To enhance transparency, Europol should have transparent data protection policies that it should make easily publicly available setting out in an intelligible form and using clear and plain language the provisions regarding the processing of personal data and the means available for the exercise of the rights of data subjects, as well as publish a list of the international and cooperation agreements it has with third countries, Union bodies and international organisations. [Am. 28]

| (33) | As far as possible, personal

  Personal
  data should be distinguished according to the degree of their accuracy and reliability. Facts should

  must
  be distinguished from personal assessments, in order to ensure both the protection of individuals and the quality and reliability of the information processed by Europol. [Am. 29] |
| --- | --- |

(33)

As far as possible, personal

  Personal
  data should be distinguished according to the degree of their accuracy and reliability. Facts should

  must
  be distinguished from personal assessments, in order to ensure both the protection of individuals and the quality and reliability of the information processed by Europol. [Am. 29]

| (33a) | Bearing in mind the particular character of the Agency, it should have its own particular regime that should also guarantee data protection, which should on no account be at a lower level than the general regime applicable to the Union and its Agencies. Reforms relating to the general rules on data protection should thus apply to Europol as soon as possible and no later than two years after the entry into force of the new general rules; the legislative alignment between the particular data protection regimes of Europol and the EU should be completed before the end of two years following the adoption of any corresponding rules. [Am. 30] |
| --- | --- |

(33a)

Bearing in mind the particular character of the Agency, it should have its own particular regime that should also guarantee data protection, which should on no account be at a lower level than the general regime applicable to the Union and its Agencies. Reforms relating to the general rules on data protection should thus apply to Europol as soon as possible and no later than two years after the entry into force of the new general rules; the legislative alignment between the particular data protection regimes of Europol and the EU should be completed before the end of two years following the adoption of any corresponding rules. [Am. 30]

| (34) | Personal data relating to different categories of data subjects are processed in the area of police co-operation. Europol should make distinctions between personal data of different categories of data subjects as clear as possible. Personal data of persons such as victims, witnesses, persons possessing relevant information as well as personal data of minors should in particular be protected. Therefore, Europol should not process them unless it is strictly necessary for preventing and combating crime within its objectives, and if those data supplement other personal data already processed by Europol. |
| --- | --- |

(34)

Personal data relating to different categories of data subjects are processed in the area of police co-operation. Europol should make distinctions between personal data of different categories of data subjects as clear as possible. Personal data of persons such as victims, witnesses, persons possessing relevant information as well as personal data of minors should in particular be protected. Therefore, Europol should not process them unless it is strictly necessary for preventing and combating crime within its objectives, and if those data supplement other personal data already processed by Europol.

| (35) | In the light of fundamental rights to protection of personal data, Europol should not store personal data longer than necessary for the performance of its tasks.
  At the latest three years after the data has been recorded, the need for the continued storage thereof should be considered. [Am. 32] |
| --- | --- |

(35)

In the light of fundamental rights to protection of personal data, Europol should not store personal data longer than necessary for the performance of its tasks.
  At the latest three years after the data has been recorded, the need for the continued storage thereof should be considered. [Am. 32]

| (36) | To guarantee the security of personal data, Europol should

  must
  implement appropriate technical and organisational

  the necessary
  measures. [Am. 33] |
| --- | --- |

(36)

To guarantee the security of personal data, Europol should

  must
  implement appropriate technical and organisational

  the necessary
  measures. [Am. 33]

| (37) | Any person should have a right of access to personal data concerning them, to have inaccurate data concerning them rectified and to erase or block data concerning them, if the data is no longer required. The rights of the data subject and the exercise thereof should not affect the obligations placed on Europol and should be subject to the restrictions laid down in this Regulation. [Am. 34] |
| --- | --- |

(37)

Any person should have a right of access to personal data concerning them, to have inaccurate data concerning them rectified and to erase or block data concerning them, if the data is no longer required. The rights of the data subject and the exercise thereof should not affect the obligations placed on Europol and should be subject to the restrictions laid down in this Regulation. [Am. 34]

| (38) | The protection of the rights and freedoms of data subjects requires a clear attribution of the responsibilities under this Regulation. In particular, Member States should be responsible for accuracy and keeping up to date the data they have transferred to Europol and for the legality of such transfer. Europol should be responsible for accuracy and for keeping the data provided by other data suppliers up to date. Europol should

  must
  also ensure that data are processed fairly and lawfully, are collected and processed for a specific purpose, that they are adequate, relevant, not excessive in relation to the purposes for which they are processed, and stored no longer than is necessary for that purpose. [Am. 35] |
| --- | --- |

(38)

The protection of the rights and freedoms of data subjects requires a clear attribution of the responsibilities under this Regulation. In particular, Member States should be responsible for accuracy and keeping up to date the data they have transferred to Europol and for the legality of such transfer. Europol should be responsible for accuracy and for keeping the data provided by other data suppliers up to date. Europol should

  must
  also ensure that data are processed fairly and lawfully, are collected and processed for a specific purpose, that they are adequate, relevant, not excessive in relation to the purposes for which they are processed, and stored no longer than is necessary for that purpose. [Am. 35]

| (39) | Europol should keep records of collection, alteration, access, disclosure, combination or erasure of personal data for the purposes of verification of the lawfulness of the data processing, self-monitoring and ensuring proper data integrity and security. Europol should be

  is
  obliged to co-operate with the European Data Protection Supervisor and make the logs or documentation available upon request, so that they can be used for monitoring processing operations. [Am. 36] |
| --- | --- |

(39)

Europol should keep records of collection, alteration, access, disclosure, combination or erasure of personal data for the purposes of verification of the lawfulness of the data processing, self-monitoring and ensuring proper data integrity and security. Europol should be

  is
  obliged to co-operate with the European Data Protection Supervisor and make the logs or documentation available upon request, so that they can be used for monitoring processing operations. [Am. 36]

| (40) | Europol should designate a data protection officer to assist it in monitoring compliance with the provisions of this Regulation. The data protection officer should be in a position to perform his/her duties and tasks independently and effectively.
  The data protection officer should be given the resources necessary to fulfil his tasks. [Am. 37] |
| --- | --- |

(40)

Europol should designate a data protection officer to assist it in monitoring compliance with the provisions of this Regulation. The data protection officer should be in a position to perform his/her duties and tasks independently and effectively.
  The data protection officer should be given the resources necessary to fulfil his tasks. [Am. 37]

| (41) | An independent, sufficiently empowered, transparent, accountable and effective structure for supervision is essential for the protection of individuals with regard to the processing of personal data as required by Article 8 of the Charter of Fundamental Rights and Article 16 TFEU.
  National competent authorities for the supervision of the processing of personal data should monitor the lawfulness of the processing of personal data by Member States. The European Data Protection Supervisor should monitor the lawfulness of data processing by Europol exercising its functions with complete independence. [Am. 38] |
| --- | --- |

(41)

An independent, sufficiently empowered, transparent, accountable and effective structure for supervision is essential for the protection of individuals with regard to the processing of personal data as required by Article 8 of the Charter of Fundamental Rights and Article 16 TFEU.
  National competent authorities for the supervision of the processing of personal data should monitor the lawfulness of the processing of personal data by Member States. The European Data Protection Supervisor should monitor the lawfulness of data processing by Europol exercising its functions with complete independence. [Am. 38]

| (42) | The European Data Protection Supervisor and national supervisory authorities should co-operate with each other on specific issues requiring national involvement and to ensure coherent application of this Regulation throughout the Union. |
| --- | --- |

(42)

The European Data Protection Supervisor and national supervisory authorities should co-operate with each other on specific issues requiring national involvement and to ensure coherent application of this Regulation throughout the Union.

| (43) | As Europol is processing also non-operational personal data, not related to any criminal investigations,
  such as personal data of staff of Europol, services providers or visitors,
  processing of such data should be subject to Regulation (EC) No 45/2001. [Am. 40] |
| --- | --- |

(43)

As Europol is processing also non-operational personal data, not related to any criminal investigations,
  such as personal data of staff of Europol, services providers or visitors,
  processing of such data should be subject to Regulation (EC) No 45/2001. [Am. 40]

| (44) | The European Data Protection Supervisor should hear and investigate complaints lodged by data subjects. The investigation following a complaint should be carried out, subject to judicial review, to the extent that is appropriate

  necessary for full elucidation
  in the specific case. The supervisory authority should
  immediately
  inform the data subject of progress and the outcome of the complaint within a reasonable period. [Am. 41] |
| --- | --- |

(44)

The European Data Protection Supervisor should hear and investigate complaints lodged by data subjects. The investigation following a complaint should be carried out, subject to judicial review, to the extent that is appropriate

  necessary for full elucidation
  in the specific case. The supervisory authority should
  immediately
  inform the data subject of progress and the outcome of the complaint within a reasonable period. [Am. 41]

| (45) | Any individual should have the right to a judicial remedy against decisions of the European Data Protection Supervisor concerning him/her. |
| --- | --- |

(45)

Any individual should have the right to a judicial remedy against decisions of the European Data Protection Supervisor concerning him/her.

| (46) | Europol should be subject to general rules on contractual and non-contractual liability applicable to Union institutions, agencies and bodies, with the exception of liability for unlawful data processing. |
| --- | --- |

(46)

Europol should be subject to general rules on contractual and non-contractual liability applicable to Union institutions, agencies and bodies, with the exception of liability for unlawful data processing.

| (47) | It may be unclear for the individual concerned whether damage suffered as a result of unlawful data processing is a consequence of action by Europol or by a Member State. Europol and the Member State in which the event that gave rise to the damage occurred should therefore be jointly and severally liable. |
| --- | --- |

(47)

It may be unclear for the individual concerned whether damage suffered as a result of unlawful data processing is a consequence of action by Europol or by a Member State. Europol and the Member State in which the event that gave rise to the damage occurred should therefore be jointly and severally liable.

| (48) | To ensure

  To respect the role of the parliaments in the monitoring of the European area of freedom, security and justice and the political responsibilities of the national parliaments and of the European Parliament in respecting and exercising their respective powers in the legislation process, it is necessary
  that Europol is

  be
  a fully accountable and transparent internal organisation, it is necessary,

  . To that end
  , in the light of Article 88 TFEU, to lay down procedures for scrutiny of Europol activities by the European Parliament together with national parliaments
  should be established in accordance with the provisions on interparliamentary cooperation laid down in Title II of Protocol No 1 on the role of national parliaments in the European Union
  , taking into due account the need to safeguard confidentiality of operational information. [Am. 42] |
| --- | --- |

(48)

To ensure

  To respect the role of the parliaments in the monitoring of the European area of freedom, security and justice and the political responsibilities of the national parliaments and of the European Parliament in respecting and exercising their respective powers in the legislation process, it is necessary
  that Europol is

  be
  a fully accountable and transparent internal organisation, it is necessary,

  . To that end
  , in the light of Article 88 TFEU, to lay down procedures for scrutiny of Europol activities by the European Parliament together with national parliaments
  should be established in accordance with the provisions on interparliamentary cooperation laid down in Title II of Protocol No 1 on the role of national parliaments in the European Union
  , taking into due account the need to safeguard confidentiality of operational information. [Am. 42]

| (49) | The Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities laid down in Regulation (EEC, Euratom, ECSC) No 259/68 of the Council (10) should apply to Europol staff. Europol should be able to employ staff engaged from the competent authorities of the Member States as temporary agents whose period of service should be limited in order to maintain the principle of rotation, as the subsequent reintegration of staff members into the service of their competent authority facilitates close cooperation between Europol and the competent authorities of the Member States. Member States should take any measure necessary to ensure that staff engaged at Europol as temporary agents may, at the end of this service at Europol, return to the national civil service to which they belong. |
| --- | --- |

(49)

The Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities laid down in Regulation (EEC, Euratom, ECSC) No 259/68 of the Council (10) should apply to Europol staff. Europol should be able to employ staff engaged from the competent authorities of the Member States as temporary agents whose period of service should be limited in order to maintain the principle of rotation, as the subsequent reintegration of staff members into the service of their competent authority facilitates close cooperation between Europol and the competent authorities of the Member States. Member States should take any measure necessary to ensure that staff engaged at Europol as temporary agents may, at the end of this service at Europol, return to the national civil service to which they belong.

| (50) | Given the nature of the duties of Europol and the role of the Executive Director, the Executive Director may

  should
  be invited to make a statement to and to answer questions from the competent committee of the European Parliament

  Joint Parliamentary Scrutiny Group
  before his appointment, as well as before any extension of his term of office. The Executive Director should also present the annual report to the European Parliament

  Joint Parliamentary Scrutiny Group
  and to the Council. Furthermore, the European Parliament should be able to invite the Executive Director to report on the performance of his duties. [Am. 43] |
| --- | --- |

(50)

Given the nature of the duties of Europol and the role of the Executive Director, the Executive Director may

  should
  be invited to make a statement to and to answer questions from the competent committee of the European Parliament

  Joint Parliamentary Scrutiny Group
  before his appointment, as well as before any extension of his term of office. The Executive Director should also present the annual report to the European Parliament

  Joint Parliamentary Scrutiny Group
  and to the Council. Furthermore, the European Parliament should be able to invite the Executive Director to report on the performance of his duties. [Am. 43]

| (51) | To guarantee the full autonomy and independence of Europol, it should be granted an autonomous budget, with revenue coming essentially from a contribution from the budget of the Union. The Union budgetary procedure should be applicable as far as the Union contribution and any other subsidies chargeable to the general budget of the Union are concerned. The auditing of accounts should be undertaken by the Court of Auditors. |
| --- | --- |

(51)

To guarantee the full autonomy and independence of Europol, it should be granted an autonomous budget, with revenue coming essentially from a contribution from the budget of the Union. The Union budgetary procedure should be applicable as far as the Union contribution and any other subsidies chargeable to the general budget of the Union are concerned. The auditing of accounts should be undertaken by the Court of Auditors.

| (52) | Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (11) should apply to Europol. |
| --- | --- |

(52)

Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (11) should apply to Europol.

| (53) | Regulation (EC) No 1073/1999 of the European Parliament and of the Council (12) should apply to Europol. |
| --- | --- |

(53)

Regulation (EC) No 1073/1999 of the European Parliament and of the Council (12) should apply to Europol.

| (54) | Europol processes data that require particular protection as they include EU classified information and sensitive non-classified information. Europol should therefore draw up rules on confidentiality and processing of such information, taking into account the basic principles and minimum standards laid down in Council Decision 2011/292/EU (13). |
| --- | --- |

(54)

Europol processes data that require particular protection as they include EU classified information and sensitive non-classified information. Europol should therefore draw up rules on confidentiality and processing of such information, taking into account the basic principles and minimum standards laid down in Council Decision 2011/292/EU (13).

| (55) | It is appropriate to evaluate the application of this Regulation regularly. |
| --- | --- |

(55)

It is appropriate to evaluate the application of this Regulation regularly.

| (56) | The necessary provisions regarding accommodation for Europol in the Member State in which it has its headquarters, in the Netherlands, and the specific rules applicable to all Europol’s staff and members of their families should be laid down in a headquarters agreement. Furthermore, the host Member State should provide the best possible conditions to ensure the proper functioning of Europol, including schools for children and transport, so as to attract high-quality human resources from as wide a geographical area as possible.
  [Am. 44] |
| --- | --- |

(56)

The necessary provisions regarding accommodation for Europol in the Member State in which it has its headquarters, in the Netherlands, and the specific rules applicable to all Europol’s staff and members of their families should be laid down in a headquarters agreement. Furthermore, the host Member State should provide the best possible conditions to ensure the proper functioning of Europol, including schools for children and transport, so as to attract high-quality human resources from as wide a geographical area as possible.
  [Am. 44]

| (57) | Europol, as established by this Regulation, shall replace and succeed Europol as established by Decision 2009/371/JHA, and CEPOL as established by Decision 2005/681/JHA. It should therefore be a legal successor of all their contracts, including employment contracts, liabilities and properties acquired. International agreements concluded by Europol as established on the basis of Decision 2009/371/JHA and CEPOL as established on the basis of Decision 2005/681/JHA should remain in force, with the exception of the headquarters agreement concluded by CEPOL. [Am. 45] |
| --- | --- |

(57)

Europol, as established by this Regulation, shall replace and succeed Europol as established by Decision 2009/371/JHA, and CEPOL as established by Decision 2005/681/JHA. It should therefore be a legal successor of all their contracts, including employment contracts, liabilities and properties acquired. International agreements concluded by Europol as established on the basis of Decision 2009/371/JHA and CEPOL as established on the basis of Decision 2005/681/JHA should remain in force, with the exception of the headquarters agreement concluded by CEPOL. [Am. 45]

| (58) | To enable Europol to continue to fulfil the tasks of Europol as established on the basis of Decision 2009/371/JHA and CEPOL as established by Decision 2005/681/JHA to the best of its abilities, transitional measures should be laid down, in particular with regard to the Management Board,
  and
  the Executive Director and ring-fencing part of Europol’s budget for training for three years following the entry into force of this Regulation. [Am. 46] |
| --- | --- |

(58)

To enable Europol to continue to fulfil the tasks of Europol as established on the basis of Decision 2009/371/JHA and CEPOL as established by Decision 2005/681/JHA to the best of its abilities, transitional measures should be laid down, in particular with regard to the Management Board,
  and
  the Executive Director and ring-fencing part of Europol’s budget for training for three years following the entry into force of this Regulation. [Am. 46]

| (59) | Since the objective of this Regulation, namely the establishment of an entity responsible for law-enforcement cooperation and training at Union level, cannot be sufficiently achieved by the Member States and can, therefore

  but
  , by reason of the scale and effects of the action,
  can rather
  be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity, as set out in Article 5 TEU. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary to achieve that objective. [Am. 47] |
| --- | --- |

(59)

Since the objective of this Regulation, namely the establishment of an entity responsible for law-enforcement cooperation and training at Union level, cannot be sufficiently achieved by the Member States and can, therefore

  but
  , by reason of the scale and effects of the action,
  can rather
  be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity, as set out in Article 5 TEU. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary to achieve that objective. [Am. 47]

| (60) | [In accordance with Article 3 of the Protocol (No 21) on the position of United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the TEU and the TFEU, those Member States have notified their wish to participate in the adoption and application of this Regulation] OR [Without prejudice to Article 4 of the Protocol (No 21) on the position of the United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the TEU and the TFEU, those Member States will not participate in the adoption of this Regulation and will not be bound by or be subject to its application]. |
| --- | --- |

(60)

[In accordance with Article 3 of the Protocol (No 21) on the position of United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the TEU and the TFEU, those Member States have notified their wish to participate in the adoption and application of this Regulation] OR [Without prejudice to Article 4 of the Protocol (No 21) on the position of the United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the TEU and the TFEU, those Member States will not participate in the adoption of this Regulation and will not be bound by or be subject to its application].

| (61) | In accordance with Articles 1 and 2 of the Protocol (No 22) on the position of Denmark annexed to the TEU and the TFEU, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application. |
| --- | --- |

(61)

In accordance with Articles 1 and 2 of the Protocol (No 22) on the position of Denmark annexed to the TEU and the TFEU, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application.

| (62) | This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, in particular the right to the protection of personal data and the right to privacy as protected by Articles 8 and 7 of the Charter, as well as by Article 16 TFEU. |
| --- | --- |

(62)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, in particular the right to the protection of personal data and the right to privacy as protected by Articles 8 and 7 of the Charter, as well as by Article 16 TFEU.

HAVE ADOPTED THIS REGULATION:

Chapter I

GENERAL PROVISIONS AND OBJECTIVES OF EUROPOL

Article 1

Establishment of the European Union Agency for Law Enforcement Cooperation and Training
  [Am. 48]

1.   A European Union Agency for Law Enforcement Cooperation and Training (Europol) is hereby established to improve mutual cooperation among law enforcement authorities in the European Union
  and
  to strengthen and support their actions as well as to deliver a coherent European training policy. [Am. 49]

2.   Europol, as established by this Regulation, shall replace and succeed Europol as established by Decision 2009/371/JHA, and CEPOL as established by Decision 2005/681/JHA. [Am. 50]

2a.
     
  Europol shall liaise with a single national unit in each Member State, to be established or designated in accordance with Article 7. [Am. 51]

Article 2

Definitions

For the purposes of this Regulation:

| (a) | ‘the competent authorities of the Member States’ means all police

  public
  authorities and other law enforcement services existing in the Member States which are responsible under

  , in accordance with the applicable
  national law, for preventing and combating criminal offences
  in respect of which Europol is competent
  ; [Am. 52] |
| --- | --- |

(a)

‘the competent authorities of the Member States’ means all police

  public
  authorities and other law enforcement services existing in the Member States which are responsible under

  , in accordance with the applicable
  national law, for preventing and combating criminal offences
  in respect of which Europol is competent
  ; [Am. 52]

| (b) | ‘analysis’ means the assembly, processing or use of data

  careful examination of information to discover its specific meaning and particular features
  with the aim of assisting criminal investigations
  and carrying out any of the other tasks listed in Article 4
  ; [Am. 53] |
| --- | --- |

(b)

‘analysis’ means the assembly, processing or use of data

  careful examination of information to discover its specific meaning and particular features
  with the aim of assisting criminal investigations
  and carrying out any of the other tasks listed in Article 4
  ; [Am. 53]

| (c) | ‘Union bodies’ means institutions, entities, missions, offices and agencies set up by, or on the basis of the TEU and the TFEU; |
| --- | --- |

(c)

‘Union bodies’ means institutions, entities, missions, offices and agencies set up by, or on the basis of the TEU and the TFEU;

| (d) | ‘law enforcement officers’ means officers of police, customs and of other relevant services, including Union bodies, responsible for preventing and combating serious crime affecting two or more Member States, terrorism and forms of crime that affect a common interest covered by a Union policy and for civilian crisis management and international policing of major events; |
| --- | --- |

(d)

‘law enforcement officers’ means officers of police, customs and of other relevant services, including Union bodies, responsible for preventing and combating serious crime affecting two or more Member States, terrorism and forms of crime that affect a common interest covered by a Union policy and for civilian crisis management and international policing of major events;

| (e) | ‘third countries’ means countries that are not Member States of the European Union; |
| --- | --- |

(e)

‘third countries’ means countries that are not Member States of the European Union;

| (f) | ‘international organisations’ means international organisations and their subordinate bodies governed by public law or other bodies which are set up by, or on the basis of, an agreement between two or more countries; |
| --- | --- |

(f)

‘international organisations’ means international organisations and their subordinate bodies governed by public law or other bodies which are set up by, or on the basis of, an agreement between two or more countries;

| (g) | ‘private parties’ means entities and bodies established under the law of a Member State or a third country, in particular companies and firms, business associations, non-profit organizations and other legal persons that do not fall under point (f); |
| --- | --- |

(g)

‘private parties’ means entities and bodies established under the law of a Member State or a third country, in particular companies and firms, business associations, non-profit organizations and other legal persons that do not fall under point (f);

| (h) | ‘private persons’ means all natural persons; |
| --- | --- |

(h)

‘private persons’ means all natural persons;

| (i) | ‘personal data’ means any information relating to an identified or identifiable natural person hereinafter referred to as (‘data subject’); an identifiable person is one who can be identified, directly or indirectly, in particular by reference to an
  identifier such as a name,
  an identification number
  , location data, unique identifier
  or to one or more factors specific to
  the
  physical, physiological,
  genetic,
  mental, economic, cultural or social
  or gender
  identity
  of that person
  ; [Am. 54] |
| --- | --- |

(i)

‘personal data’ means any information relating to an identified or identifiable natural person hereinafter referred to as (‘data subject’); an identifiable person is one who can be identified, directly or indirectly, in particular by reference to an
  identifier such as a name,
  an identification number
  , location data, unique identifier
  or to one or more factors specific to
  the
  physical, physiological,
  genetic,
  mental, economic, cultural or social
  or gender
  identity
  of that person
  ; [Am. 54]

| (j) | ‘processing of personal data’ hereinafter referred to as ‘processing’ means any operation or set of operations which is performed upon personal data, whether or not by automatic means, such as collection, recording, organisation, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, blocking, erasure or destruction; |
| --- | --- |

(j)

‘processing of personal data’ hereinafter referred to as ‘processing’ means any operation or set of operations which is performed upon personal data, whether or not by automatic means, such as collection, recording, organisation, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, blocking, erasure or destruction;

| (k) | ‘recipient’ means a natural or legal person, public authority, agency or any other body to whom data are disclosed, whether a third party or not; however, authorities which may receive data in the framework of a particular inquiry shall not be regarded as recipients;
  [Am. 55] |
| --- | --- |

(k)

‘recipient’ means a natural or legal person, public authority, agency or any other body to whom data are disclosed, whether a third party or not; however, authorities which may receive data in the framework of a particular inquiry shall not be regarded as recipients;
  [Am. 55]

| (l) | ‘transfer of personal data’ means the communication of personal data, actively made available, between a limited number of identified parties, with the knowledge or intention of the sender to give the recipient access to the personal data; |
| --- | --- |

(l)

‘transfer of personal data’ means the communication of personal data, actively made available, between a limited number of identified parties, with the knowledge or intention of the sender to give the recipient access to the personal data;

| (m) | ‘personal data filing system’ hereinafter referred to as ‘filing system’ means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis; |
| --- | --- |

(m)

‘personal data filing system’ hereinafter referred to as ‘filing system’ means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis;

| (n) | ‘the data subject’s consent’ means any freely given specific
  , explicit
  and informed indication of his/her wishes by which the data subject
  clearly and unambiguously
  signifies his/her agreement to personal data relating to him/her being processed; [Am. 56] |
| --- | --- |

(n)

‘the data subject’s consent’ means any freely given specific
  , explicit
  and informed indication of his/her wishes by which the data subject
  clearly and unambiguously
  signifies his/her agreement to personal data relating to him/her being processed; [Am. 56]

| (o) | ‘administrative personal data’ means all personal data processed by Europol apart from those that are processed to meet the objectives laid down in Article 3(1) and (2). |
| --- | --- |

(o)

‘administrative personal data’ means all personal data processed by Europol apart from those that are processed to meet the objectives laid down in Article 3(1) and (2).

Article 3

Objectives

1.   Europol shall support and strengthen action by the competent authorities of the Member States and their mutual cooperation in preventing and combating
  organised crime, terrorism and other forms of
  serious crime
  , as specified in Annex 1 and
  affecting two or more Member States, terrorism and forms of crime which affect

  in such a way to require
  a common interest covered by a Union policy, as specified in Annex 1

  approach by the Member States taking in account the scale, significance and consequences of the offences
  . [Am. 57]

2.   Europol shall also support and strengthen action by the competent authorities of the Member States and their mutual cooperation in preventing and combating criminal offences related to the offences referred to under point (a). The following offences shall be regarded as related criminal offences:

| (a) | criminal offences committed in order to procure the means of perpetrating acts in respect of which Europol is competent; |
| --- | --- |

(a)

criminal offences committed in order to procure the means of perpetrating acts in respect of which Europol is competent;

| (b) | criminal offences committed in order to facilitate or carry out acts in respect of which Europol is competent; |
| --- | --- |

(b)

criminal offences committed in order to facilitate or carry out acts in respect of which Europol is competent;

| (c) | criminal offences committed in order to ensure the impunity of acts in respect of which Europol is competent. |
| --- | --- |

(c)

criminal offences committed in order to ensure the impunity of acts in respect of which Europol is competent.

3.   Europol shall support, develop, deliver and coordinate training activities for law enforcement officers.
  [Am. 58]

Chapter II

TASKS RELATED TO LAW ENFORCEMENT COOPERATION

Article 4

Tasks

1.   Europol is the European Union agency that shall perform the following tasks in accordance with this Regulation:

| (a) | to collect, store, process, analyse and exchange information; |
| --- | --- |

(a)

to collect, store, process, analyse and exchange information;

| (b) | to notify the Member States without delay
  , through the Europol national units, as referred to in Article 7,
  of information concerning them and of any connections between criminal offences; [Am. 59] |
| --- | --- |

(b)

to notify the Member States without delay
  , through the Europol national units, as referred to in Article 7,
  of information concerning them and of any connections between criminal offences; [Am. 59]

| (c) | to coordinate, organise and implement investigative and operational action






  (i) | carried out jointly with the Member States' competent authorities
  , either in investigations already started by Member States or as a result of a request from Europol to a Member State to initiate a criminal investigation
  ; or [Am. 60] |
| --- | --- | --- |

(c)

to coordinate, organise and implement investigative and operational action

(i)

carried out jointly with the Member States' competent authorities
  , either in investigations already started by Member States or as a result of a request from Europol to a Member State to initiate a criminal investigation
  ; or [Am. 60]

| (ii) | in the context of joint investigative teams, in accordance with Article 5, where appropriate in liaison with Eurojust; |
| --- | --- |

(ii)

in the context of joint investigative teams, in accordance with Article 5, where appropriate in liaison with Eurojust;

| (d) | to participate in joint investigative teams as well as to propose that they are set up in accordance with Article 5; |
| --- | --- |

(d)

to participate in joint investigative teams as well as to propose that they are set up in accordance with Article 5;

| (e) | to provide information and analytical support to Member States in connection with major international events; |
| --- | --- |

(e)

to provide information and analytical support to Member States in connection with major international events;

| (f) | to prepare threat assessments, strategic and operational analyses and general situation reports; |
| --- | --- |

(f)

to prepare threat assessments, strategic and operational analyses and general situation reports;

| (g) | to develop, share and promote specialist knowledge of crime prevention methods, investigative procedures and technical and forensic methods, and to provide advice to Member States; |
| --- | --- |

(g)

to develop, share and promote specialist knowledge of crime prevention methods, investigative procedures and technical and forensic methods, and to provide advice to Member States;

| (h) | to provide technical and financial support to Member States' cross-border operations and investigations, including
  through
  joint investigative teams
  in accordance with Article 5
  ; [Am. 61] |
| --- | --- |

(h)

to provide technical and financial support to Member States' cross-border operations and investigations, including
  through
  joint investigative teams
  in accordance with Article 5
  ; [Am. 61]

| (i) | to support, develop, deliver, coordinate and implement training for law enforcement officers in cooperation with the network of training institutes in Member States as set out in Chapter III;
  [Am. 62] |
| --- | --- |

(i)

to support, develop, deliver, coordinate and implement training for law enforcement officers in cooperation with the network of training institutes in Member States as set out in Chapter III;
  [Am. 62]

| (j) | to provide the Union bodies established on the basis of Title V of the Treaty and the European Anti-Fraud Office (OLAF) with criminal intelligence and analytical support in the areas that fall under their competence;
  [Am. 63] |
| --- | --- |

(j)

to provide the Union bodies established on the basis of Title V of the Treaty and the European Anti-Fraud Office (OLAF) with criminal intelligence and analytical support in the areas that fall under their competence;
  [Am. 63]

| (k) | to provide information and support to EU crisis management structures, and to EU crisis management missions established on the basis of the TEU; |
| --- | --- |

(k)

to provide information and support to EU crisis management structures, and to EU crisis management missions established on the basis of the TEU;

| (l) | to develop Union centres of specialised expertise for combating certain types of crime falling under Europol’s objectives, in particular the European Cybercrime Centre; |
| --- | --- |

(l)

to develop Union centres of specialised expertise for combating certain types of crime falling under Europol’s objectives, in particular the European Cybercrime Centre;

| (la) | to aid investigations in the Member States, in particular by forwarding all relevant information to the national units. [Am. 64] |
| --- | --- |

(la)

to aid investigations in the Member States, in particular by forwarding all relevant information to the national units. [Am. 64]

2.   Europol shall provide strategic analyses and threats assessments to assist the Council and the Commission in laying down strategic and operational priorities of the Union for fighting crime. Europol shall also assist in operational implementation of those priorities.

3.   Europol shall provide strategic intelligence to assist the efficient and effective use of the resources available at national and Union level for operational activities and the support of those activities.

4.   Europol shall act as the Central Office for combating euro counterfeiting in accordance with Council Decision 2005/511/JHA (14). Europol shall also encourage the coordination of measures carried out to fight euro counterfeiting by the competent authorities of the Member States or in the context of joint investigation teams, where appropriate in liaison with Union bodies and the authorities of third countries.

4a.
     
  Europol shall not apply coercive measures. [Am. 65]

Article 5

Participation in joint investigation teams

1.   Europol may participate in the activities of joint investigation teams dealing with crime that falls under Europol’s objectives.

2.   Europol may, within the limits provided by the law of the Member States in which joint investigative team is operating, assist in all activities and exchange of information with all members of the joint investigative team.
  Europol officers shall not take part in the application of coercive measures. [Am. 66]

3.   Where Europol has reasons to believe that setting up a joint investigation team would add value to an investigation, it may propose this to the Member States concerned and take measures to assist them in setting up the joint investigation team.

3a.
     
  Europol participation in a joint investigative team shall be agreed by the competent authorities of the Member States involved in that team and shall be recorded in a document signed in advance by the Director of Europol, which shall be annexed to the corresponding agreement on the setting-up of a joint investigative team. [Am. 67]

3b.
     
  The annex referred to in paragraph 3a shall lay down the conditions under which Europol officers are to take part in the joint investigative team, including rules governing the privileges and immunities of those officers and the liabilities arising from possible irregular activities on the part of those officers. [Am. 68]

3c.
     
  Europol officers taking part in a joint investigative team shall be subject, as regards any infringements against them or committed by them, to the national law of the Member State in which the joint investigative team is operating, applicable to members of the joint investigative team performing similar functions in that Member State. [Am. 69]

3d.
     
  Europol officers taking part in a joint investigative team may exchange information obtained from Europol's data storage systems with the members of the team. Given that this involves direct contact as regulated in Article 7, Europol shall simultaneously inform the Europol National Units in the Member States represented in the joint investigative team and the Europol National Units in the Member States which provided the information. [Am. 70]

3e.
     
  Information obtained by a Europol officer while taking part in a joint investigative team may be incorporated into any of Europol's data storage systems, through the Europol National Units, with the consent and under the responsibility of the competent authority which provided that information. [Am. 71]

4.   Europol shall not apply coercive measures.

Article 6

Requests by Europol for the initiation of criminal investigations

1.   In specific cases where Europol considers that a criminal investigation should be initiated into a crime that falls under its objectives, it shall inform Eurojust. [Am. 72]

2.   At the same time, Europol shall

  may
  request the National Units of the Member States concerned established on the basis of Article 7(2) to initiate, conduct or coordinate a criminal investigation. [Am. 73]

2a.
     
  In the case of a suspicion of a malicious attack on the network and information system of two or more Member States or Union bodies, carried out by a state or non-state actor located in a third country, Europol shall initiate an investigation on its own initiative. [Am. 74]

3.   The National Units

  Member States
  shall
  give such requests due consideration and shall, through their National Units,
  inform Europol without delay of the initiation of the

  whether an
  investigation
  will be initiated
  . [Am. 75]

4.   If the competent authorities of the Member States concerned decide not to comply with the request made by Europol, they shall provide Europol with the reasons for the decision, within one month of the request. The reasons may be withheld if giving them would:

| (a) | harm essential national security interests; or |
| --- | --- |

(a)

harm essential national security interests; or

| (b) | jeopardise the success of investigations under way or the safety of individuals. |
| --- | --- |

(b)

jeopardise the success of investigations under way or the safety of individuals.

5.   Europol shall inform Eurojust of the decision of a competent authority of a Member State to initiate or refuse to initiate an investigation.

Article 7

Member States’ cooperation with Europol

1.   Member States
  and Europol
  shall cooperate with Europol in the fulfilment of its

  Europol's
  tasks. [Am. 76]

2.   Each Member State shall establish or designate a National Unit which shall be the liaison body between Europol and the
  designated
  competent authorities in Member States as well as with training institutes for law enforcement officers. Each Member State shall appoint an official as the

  designate a
  head of the National Unit. [Am. 77]

3.   Member States shall ensure that their National Units are able to fulfil their tasks as set out in this Regulation, in particular that they have access to national law enforcement databases.

4.   
  The national unit shall be the only liaison body between Europol and the competent authorities of the Member States. However
  Europol may directly cooperate with competent authorities of the Member States in respect

  the framework
  of individual investigations. In that case,

  being carried out by those authorities provided that this direct contact represents added value with a view to the successful conclusion of the investigation and in accordance with national legislation.
  Europol shall inform the National Unit without delay and

  of the need for such contact in advance. Europol shall
  provide
  , as soon as possible,
  a copy of any

  the
  information exchanged in the course of

  through these
  direct contacts between Europol and the respective competent authorities. [Am. 78]

5.   Member States shall, via their National Unit or a competent authority of a Member State, in particular: [Am. 79]

| (a) | supply Europol
  , on their own initiative,
  with the information
  and intelligence
  necessary for it to fulfil its objectives. This includes providing Europol without delay with information relating to crime areas that are considered a priority by the Union. It also includes providing a copy of bilateral or multilateral exchanges with another Member State or Member States in so far as the exchange refers to crime that falls under Europol’s objectives

  perform its functions, and respond to Europol's requests for information, the supply of intelligence and advice
  .

  Without prejudice to the Member States’ discharging the responsibilities incumbent upon them with regard to the maintenance of law and order and the safeguarding of internal security, a national unit shall not in any particular case be obliged to supply information or intelligence if that would entail:









  (i) | harming essential national security interests; |
| --- | --- | --- |

(a)

supply Europol
  , on their own initiative,
  with the information
  and intelligence
  necessary for it to fulfil its objectives. This includes providing Europol without delay with information relating to crime areas that are considered a priority by the Union. It also includes providing a copy of bilateral or multilateral exchanges with another Member State or Member States in so far as the exchange refers to crime that falls under Europol’s objectives

  perform its functions, and respond to Europol's requests for information, the supply of intelligence and advice
  .

(i)

harming essential national security interests;

| (ii) | jeopardising the success of a current investigation or the safety of individuals; or |
| --- | --- |

(ii)

jeopardising the success of a current investigation or the safety of individuals; or

| (iii) | disclosing information relating to organisations or specific intelligence activities in the field of State security; [Am. 80] |
| --- | --- |

(iii)

disclosing information relating to organisations or specific intelligence activities in the field of State security; [Am. 80]

| (b) | ensure effective communication and cooperation of all relevant competent authorities of the Member States and training institutes for law enforcement officers within the Member States, with Europol; [Am. 81] |
| --- | --- |

(b)

ensure effective communication and cooperation of all relevant competent authorities of the Member States and training institutes for law enforcement officers within the Member States, with Europol; [Am. 81]

| (c) | raise awareness of Europol’s activities.
  [Am. 82] |
| --- | --- |

(c)

raise awareness of Europol’s activities.
  [Am. 82]

| (ca) | ask Europol to provide relevant information that might facilitate investigations being carried out by the designated competent authorities; [Am. 83] |
| --- | --- |

(ca)

ask Europol to provide relevant information that might facilitate investigations being carried out by the designated competent authorities; [Am. 83]

| (cb) | ensure effective communication and cooperation with the competent authorities; [Am. 84] |
| --- | --- |

(cb)

ensure effective communication and cooperation with the competent authorities; [Am. 84]

| (cc) | ensure compliance with the law in every exchange of information between themselves and Europol. [Am. 85] |
| --- | --- |

(cc)

ensure compliance with the law in every exchange of information between themselves and Europol. [Am. 85]

6.   The heads of National Units shall meet on a regular basis, particularly to discuss and solve problems that occur in the context of their operational cooperation with Europol.

7.   Each Member State shall define the organisation and the staff of the National Unit according to its national legislation.

8.   The costs incurred by National Units and of the competent authorities in Member States in communications with Europol shall be borne by the Member States and, apart from the costs of connection, shall not be charged to Europol.

9.   Member States shall ensure a minimum

  the highest possible
  level of security of all systems used to connect to Europol. [Am. 86]

10.   Each year Europol shall draw up a report on the quantity and quality of

  regarding
  information provided

  sharing
  by each Member State pursuant to paragraph 5(a) and on the performance of its National Unit.
  The report shall be analysed by the Management Board with the objective of continuously improving the mutual cooperation between Europol and the Member States.
  The annual report shall be sent to the European Parliament, the Council, the Commission and national parliaments. [Am. 229]

Article 8

Liaison officers

1.   Each National Unit shall designate at least one liaison officer to Europol. Except as otherwise laid down in this Regulation, liaison officers shall be subject to the national law of the designating Member State.

2.   Liaison officers shall constitute the national liaison bureaux at Europol and shall be instructed by their National Units within Europol in accordance with the national law of the designating Member State and the provisions applicable to the administration of Europol.

3.   Liaison officers shall assist in the exchange of

  transmit
  information between

  from their national units to
  Europol, and their Member States

  from Europol to the national units
  . [Am. 87]

4.   Liaison officers shall assist in the exchange of information between their Member States and the liaison officers of other Member States in accordance with national law. Europol’s infrastructure may be used, in line with national law, for such bilateral exchanges also to cover crimes outside the objectives of Europol. The Management Board shall determine the rights and obligations of liaison officers in relation to Europol.
  All such exchanges of information shall be in accordance with Union and national law, in particular Decision 2008/977/JHA or Directive 95/46/EC of the European Parliament and of the Council

   (15)

  , as applicable. Europol shall process data received under this provision only when it can be considered a lawful recipient under national or Union law. [Am. 88]

5.   Liaison officers shall enjoy the privileges and immunities necessary for the performance of their tasks in accordance with Article 65.

6.   Europol shall ensure that liaison officers are fully informed of and associated with all of its activities, insofar as this is necessary for the performance of their tasks.

7.   Europol shall cover the costs of providing Member States with the necessary premises in the Europol building and adequate support for liaison officers to carry out their duties. All other costs that arise in connection with the designation of liaison officers shall be borne by the designating Member State, including the costs of equipment for liaison officers, unless the budgetary authority decides otherwise on the recommendation of the Management Board.

Chapter III

TASKS RELATED TO TRAINING FOR LAW ENFORCEMENT OFFICERS

Article 9

Europol Academy

1.   A department within Europol, called the Europol Academy, as set up by this Regulation, shall support, develop, deliver and coordinate training for law enforcement officers in particular in the areas of the fight against serious crime affecting two or more Member States and terrorism, management of high-risk public order and sports events, strategic planning and command of non-military Union missions, as well as law enforcement leadership and language skills and in particular to:

| (a) | raise awareness and knowledge of:








  (i) | international and Union instruments on law enforcement cooperation; |
| --- | --- | --- |

(a)

raise awareness and knowledge of:

(i)

international and Union instruments on law enforcement cooperation;

| (ii) | Union bodies, in particular Europol, Eurojust and Frontex, their functioning and role; |
| --- | --- |

(ii)

Union bodies, in particular Europol, Eurojust and Frontex, their functioning and role;

| (iii) | judicial aspects of law enforcement cooperation and practical knowledge about access to information channels; |
| --- | --- |

(iii)

judicial aspects of law enforcement cooperation and practical knowledge about access to information channels;

| (b) | encourage the development of regional and bilateral cooperation among Member States and between Member States and third countries; |
| --- | --- |

(b)

encourage the development of regional and bilateral cooperation among Member States and between Member States and third countries;

| (c) | address specific criminal or policing thematic areas where training at Union level can add value; |
| --- | --- |

(c)

address specific criminal or policing thematic areas where training at Union level can add value;

| (d) | devise specific common curricula for law enforcement officers to train them for participation in Union civilian missions; |
| --- | --- |

(d)

devise specific common curricula for law enforcement officers to train them for participation in Union civilian missions;

| (e) | support Member States in bilateral law enforcement capacity-building activities in third countries; |
| --- | --- |

(e)

support Member States in bilateral law enforcement capacity-building activities in third countries;

| (f) | train trainers and assist in improving and exchanging good learning practices. |
| --- | --- |

(f)

train trainers and assist in improving and exchanging good learning practices.

2.   The Europol Academy shall develop and regularly update learning tools and methodologies and apply these in a lifelong learning perspective to strengthen the skills of law enforcement officers. The Europol Academy shall evaluate the results of these actions with a view to enhancing the quality, coherence and efficacy of future actions.

Article 10

Tasks of the Europol Academy

1.   The Europol Academy shall prepare multi-annual strategic training needs analyses and multi-annual learning programmes.

2.   The Europol Academy shall develop and implement training activities and learning products, which may include:

| (a) | courses, seminars, conferences, web-based and e-learning activities; |
| --- | --- |

(a)

courses, seminars, conferences, web-based and e-learning activities;

| (b) | common curricula to raise awareness, address gaps and/or facilitate a common approach in relation to cross-border criminal phenomena; |
| --- | --- |

(b)

common curricula to raise awareness, address gaps and/or facilitate a common approach in relation to cross-border criminal phenomena;

| (c) | training modules graduated according to progressive stages or levels of complexity of skills needed by the relevant target group, and focused either on a defined geographical region, a specific thematic area of criminal activity or on a specific set of professional skills; |
| --- | --- |

(c)

training modules graduated according to progressive stages or levels of complexity of skills needed by the relevant target group, and focused either on a defined geographical region, a specific thematic area of criminal activity or on a specific set of professional skills;

| (d) | exchange and secondment programmes of law enforcement officers in the context of an operational based training approach. |
| --- | --- |

(d)

exchange and secondment programmes of law enforcement officers in the context of an operational based training approach.

3.   To ensure a coherent European training policy to support civilian missions and capacity-building in third countries the Europol Academy shall:

| (a) | assess the impact of existing Union-related law enforcement training policies and initiatives; |
| --- | --- |

(a)

assess the impact of existing Union-related law enforcement training policies and initiatives;

| (b) | develop and provide training to prepare Member States’ law enforcement officers for participation in civilian missions, including to enable them to acquire relevant language skills; |
| --- | --- |

(b)

develop and provide training to prepare Member States’ law enforcement officers for participation in civilian missions, including to enable them to acquire relevant language skills;

| (c) | develop and provide training for law enforcement officers from third countries, in particular from the countries that are candidates for accession to the Union; |
| --- | --- |

(c)

develop and provide training for law enforcement officers from third countries, in particular from the countries that are candidates for accession to the Union;

| (d) | manage dedicated Union External Assistance funds to assist third countries in building their capacity in relevant policy areas, in line with the established priorities of the Union. |
| --- | --- |

(d)

manage dedicated Union External Assistance funds to assist third countries in building their capacity in relevant policy areas, in line with the established priorities of the Union.

4.   The Europol Academy shall promote the mutual recognition of law enforcement training in Member States and related existing European quality standards.

Article 11

Research relevant for training

1.   The Europol Academy shall contribute to development of research relevant for training activities covered by this Chapter.

2.   The Europol Academy shall promote and establish a partnership with Union bodies as well as with public and private academic institutions and shall encourage the creation of stronger partnerships between universities and law enforcement training institutes in Member States.
  [Am. 89]

Chapter IV

ORGANISATION OF EUROPOL

Article 12

Administrative and management structure of Europol

The administrative and management structure of Europol shall comprise:

| (a) | a Management Board, which shall exercise the functions set out in Article 14; |
| --- | --- |

(a)

a Management Board, which shall exercise the functions set out in Article 14;

| (b) | an Executive Director, who shall exercise the responsibilities set out in Article 19; |
| --- | --- |

(b)

an Executive Director, who shall exercise the responsibilities set out in Article 19;

| (c) | a Scientific Committee for Training in accordance with Article 20;
  [Am. 90] |
| --- | --- |

(c)

a Scientific Committee for Training in accordance with Article 20;
  [Am. 90]

| (d) | if appropriate, any other advisory body established by the Management Board in accordance with Article 14(1)(p); |
| --- | --- |

(d)

if appropriate, any other advisory body established by the Management Board in accordance with Article 14(1)(p);

| (e) | if appropriate, an Executive Board in accordance with Articles 21 and 22.
  [Am. 91] |
| --- | --- |

(e)

if appropriate, an Executive Board in accordance with Articles 21 and 22.
  [Am. 91]

SECTION 1

MANAGEMENT BOARD

Article 13

Composition of the Management Board

1.   The Management Board shall be composed of one representative from each Member State and two representatives

  one representative
  of the Commission, all with voting rights. [Am. 92]

1a.
     
  A representative of the Joint Parliamentary Scrutiny Group shall be authorised to attend meetings of the Management Board with observer status. This representative shall not be entitled to vote. [Am. 93]

2.   The members of the Management Board shall be appointed on the basis of their experience in the management of public or private sector organisations and knowledge of law enforcement cooperation.

3.   Each member of the Management Board shall be represented by an alternate member who shall be appointed on the basis of his/her experience in the management of public and private sector organisations and knowledge of national policy on training for law enforcement officers. The alternate member shall act as a member on any issues related to training of law enforcement officers

  by the full member on the basis of the criteria set out in Article 13(2).
  The alternate member shall represent the member in his/her absence. The member shall represent the alternate on any issues related to training of law enforcement officers in his/her absence.
  [Am. 94]

4.   All parties represented in the Management Board shall make efforts to limit the turnover of their representatives, to ensure continuity of the Management Board’s work. All parties shall aim to achieve a balanced representation between men and women on the Management Board. [Am. 95]

5.   The term of office for members and alternate members shall be four years. That term shall be extendable. Upon expiry of their term of office or in the event of their resignation, members shall remain in office until their appointments are renewed or until they are replaced

  determined by the period assigned to them by the designating Member State
  . [Am. 96]

5a.
     
  The Chairperson shall be supported by the Secretariat of the Management Board. The Secretariat shall in particular:

| (a) | be closely and continuously involved in organising, coordinating and ensuring the coherence of the Management Board’s work. Acting under the responsibility of and in accordance with guidelines given by the Chairperson; |
| --- | --- |

(a)

be closely and continuously involved in organising, coordinating and ensuring the coherence of the Management Board’s work. Acting under the responsibility of and in accordance with guidelines given by the Chairperson;

| (b) | provide the Management Board with the administrative support necessary for it to carry out its duties. [Am. 97] |
| --- | --- |

(b)

provide the Management Board with the administrative support necessary for it to carry out its duties. [Am. 97]

5b.
     
  Each member of the Management Board shall submit a declaration of his or her interests at the beginning of his or her term of office. [Am. 98]

Article 14

Functions of the Management Board

1.   The Management Board shall:

| (a) | adopt each year Europol’s work programme for the following year by a majority of two-thirds of members and in accordance with Article 15; |
| --- | --- |

(a)

adopt each year Europol’s work programme for the following year by a majority of two-thirds of members and in accordance with Article 15;

| (b) | adopt a multi-annual work programme, by a majority of two-thirds of members in accordance with Article 15; |
| --- | --- |

(b)

adopt a multi-annual work programme, by a majority of two-thirds of members in accordance with Article 15;

| (c) | adopt, by a majority of two thirds of its members, the annual budget of Europol and exercise other functions in respect of Europol’s budget pursuant to Chapter XI; |
| --- | --- |

(c)

adopt, by a majority of two thirds of its members, the annual budget of Europol and exercise other functions in respect of Europol’s budget pursuant to Chapter XI;

| (d) | adopt a consolidated annual activity report on Europol’s activities and, send
  and present it to the Joint Parliamentary Scrutiny Group
  ,
  and forward
  it, by 1 July of the following year, to the European Parliament, the Council, the Commission, the Court of Auditors and,
  the
  national parliaments
  and the European Data Supervisor by 1 July of the following year.
  The consolidated annual activity report shall be made public; [Am. 99] |
| --- | --- |

(d)

adopt a consolidated annual activity report on Europol’s activities and, send
  and present it to the Joint Parliamentary Scrutiny Group
  ,
  and forward
  it, by 1 July of the following year, to the European Parliament, the Council, the Commission, the Court of Auditors and,
  the
  national parliaments
  and the European Data Supervisor by 1 July of the following year.
  The consolidated annual activity report shall be made public; [Am. 99]

| (e) | adopt the financial rules applicable to Europol in accordance with Article 63; |
| --- | --- |

(e)

adopt the financial rules applicable to Europol in accordance with Article 63;

| (f) | by 31 January adopt, after taking into account the opinion of the Commission, the multiannual staff policy plan; |
| --- | --- |

(f)

by 31 January adopt, after taking into account the opinion of the Commission, the multiannual staff policy plan;

| (g) | adopt an anti-fraud strategy, proportionate to fraud risks, taking into account the costs and benefits of the measures to be implemented;
  [Am. 100] |
| --- | --- |

(g)

adopt an anti-fraud strategy, proportionate to fraud risks, taking into account the costs and benefits of the measures to be implemented;
  [Am. 100]

| (h) | adopt rules for the prevention and management of conflicts of interest in respect of its members, as well as members of the Scientific Committee for Training; [Am. 101] |
| --- | --- |

(h)

adopt rules for the prevention and management of conflicts of interest in respect of its members, as well as members of the Scientific Committee for Training; [Am. 101]

| (i) | in accordance with paragraph 2, exercise, with respect to the staff of Europol, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude a Contract of Employment (‘the appointing authority powers’);
  [Am. 102] |
| --- | --- |

(i)

in accordance with paragraph 2, exercise, with respect to the staff of Europol, the powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude a Contract of Employment (‘the appointing authority powers’);
  [Am. 102]

| (j) | on a proposal from the Director,
  adopt appropriate implementing rules for giving effect to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with Article 110 of the Staff Regulations; [Am. 103] |
| --- | --- |

(j)

on a proposal from the Director,
  adopt appropriate implementing rules for giving effect to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with Article 110 of the Staff Regulations; [Am. 103]

| (k) | appoint the Executive Director and Deputy Executive Directors and where relevant extend their term of office or remove them from the office in accordance with Articles 56 and 57; |
| --- | --- |

(k)

appoint the Executive Director and Deputy Executive Directors and where relevant extend their term of office or remove them from the office in accordance with Articles 56 and 57;

| (l) | establish performance indicators and oversee the Executive Director’s performance including the implementation of Management Board decisions; |
| --- | --- |

(l)

establish performance indicators and oversee the Executive Director’s performance including the implementation of Management Board decisions;

| (m) | appoint an Accounting Officer, subject to the Staff Regulations and the Conditions of Employment of Other Servants, who shall be functionally independent in the performance of his/her duties; |
| --- | --- |

(m)

appoint an Accounting Officer, subject to the Staff Regulations and the Conditions of Employment of Other Servants, who shall be functionally independent in the performance of his/her duties;

| (n) | appoint the members of the Scientific Committee for Training;
  [Am. 104] |
| --- | --- |

(n)

appoint the members of the Scientific Committee for Training;
  [Am. 104]

| (o) | ensure adequate follow-up to findings and recommendations stemming from the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF)
  and from the European Data Protection Supervisor
  ; [Am. 105] |
| --- | --- |

(o)

ensure adequate follow-up to findings and recommendations stemming from the internal or external audit reports and evaluations, as well as from investigations of the European Anti-fraud Office (OLAF)
  and from the European Data Protection Supervisor
  ; [Am. 105]

| (p) | take all decisions on the establishment of Europol’s internal structures and, where necessary, their modification;
  [Am. 106] |
| --- | --- |

(p)

take all decisions on the establishment of Europol’s internal structures and, where necessary, their modification;
  [Am. 106]

| (q) | adopt its rules of procedure; |
| --- | --- |

(q)

adopt its rules of procedure;

| (qa) | appoint a Data Protection Officer, who shall be independent in its functions from the Management Board and shall be responsible for the setting up and managing of the data processing systems. [Am. 107]


  The Management Board may, on a recommendation from the European Data Protection Supervisor under Article 46(3)(f) and with the support a two-thirds majority of its members, impose a temporary or definitive ban on processing. [Am. 108] |
| --- | --- |

(qa)

appoint a Data Protection Officer, who shall be independent in its functions from the Management Board and shall be responsible for the setting up and managing of the data processing systems. [Am. 107]

2.   The Management Board shall adopt, in accordance with Article 110 of the Staff Regulations, a decision based on Article 2(1) of the Staff Regulations and on Article 6 of the Conditions of Employment of Other Servants delegating the relevant appointing authority powers to the Executive Director and defining the conditions under which this delegations of powers can be suspended. The Executive Director shall be authorised to sub-delegate those powers.

Where exceptional circumstances so require, the Management Board may, by way of a decision, temporarily suspend the delegation of the appointing authority powers to the Executive Director and those sub-delegated by the latter and exercise them itself or delegate those powers to one of its members or to a staff member other than the Executive Director.
  [Am. 109]

Article 15

Annual work programme and multi-annual work programme

1.   The Management Board shall adopt the annual work programme
  at
  the latest by 30 November each year, based on a draft put forward by the Executive Director
  and presented to the Joint Parliamentary Scrutiny Group
  , taking into account the opinion of the Commission. It shall forward it to the European Parliament

  Joint Parliamentary Scrutiny Group
  , the Council, the Commission and, national parliaments
  and the European Data Protection Supervisor. [Am. 110]

2.   The annual work programme shall comprise detailed objectives and expected results including performance indicators. It shall also contain a description of the actions to be financed and an indication of the financial and human resources allocated to each action, in accordance with the principles of activity-based budgeting and management. The annual work programme shall be coherent with

  subject to
  the multi-annual work programme referred to in paragraph 4. It shall clearly indicate tasks that have been added, changed or deleted in comparison with the previous financial year. [Am. 111]

3.   The Management Board shall amend the adopted annual work programme if a new task is given to Europol.

Any substantial amendment

  Amendments
  to the annual work programme shall be adopted by the same procedure as the initial annual work programme. The Management Board may delegate the power to make non-substantial amendments to the annual work programme to the Executive Director. [Am. 112]

4.   The Management Board shall also adopt the multi-annual work programme and update it by 30 November each year, taking into account the opinion of the Commission and after consulting the European Parliament and national parliaments
  , as well as the European Data Protection Supervisor
  . [Am. 114]

The adopted multi-annual work programme shall be forwarded
  and presented to the Joint Parliamentary Scrutiny Group, and shall be forwarded
  to the European Parliament, the Council, the Commission, national parliaments
  and the European Data Protection Supervisor
  . [Am. 113]

The multi-annual work programme shall set out strategic objectives and expected results including performance indicators. It shall also contain an indication of the amount and staff allocated to each objective, in line with the multiannual financial framework and the multi-annual staff policy plan. It shall include the strategy for relations with third countries or international organisations referred to in Article 29.

The multi-annual programme shall be implemented through annual work programmes and shall, where appropriate, be updated following the outcome of external and internal evaluations. The conclusion of these evaluations shall also be reflected, where appropriate, in the annual work programme for the following year.

Article 16

Chairperson of the Management Board

1.   The Management Board shall elect a Chairperson and a Deputy Chairperson from among members. The Chairperson and the Deputy Chairperson shall be elected by a majority of two-thirds of the members of the Management Boards.

The Deputy Chairperson shall automatically replace the Chairperson if he/she is prevented from attending to his/her duties.

2.   The terms of office of the Chairperson and of the Deputy Chairperson shall be four

  five
  years. Their term of office may be renewed once. If, however, their membership of the Management Board ends at any time during their term of office as Chairperson or Deputy Chairperson, their term of office shall automatically expire on that date. [Am. 115]

Article 17

Meetings of the Management Board

1.   The Chairperson shall convene the meetings of the Management Board.

2.   The Executive Director of Europol shall take part in the deliberations.

3.   The Management Board shall hold at least two ordinary meetings a year. In addition, it shall meet on the initiative of its Chairperson, at the request of the Commission or at the request of at least one-third of its members.

4.   The Management Board may invite any person whose opinion may be relevant for the discussion to attend its meeting as a non-voting observer.

4a.
     
  A representative of the Joint Parliamentary Scrutiny Group shall be authorised to attend meetings of the Management Board with observer status. [Am. 116]

5.   Advisers or experts may assist the members of the Management Board, subject to the provisions of its Rules of Procedure.

6.   Europol shall provide the secretariat for the Management Board.

Article 18

Voting rules

1.   Without prejudice to Articles

  Article
  14(1),
  first subparagraph,
  (a), (b) and (c),
  and Article 14(1), subparagraph 1a,
  Article 16(1) and Article 56(8), the Management Board shall take decisions by a majority of members. [Am. 117]

2.   Each member shall have one vote. In the absence of a voting member, his/her alternate shall be entitled to exercise his/her right to vote.

3.   The Chairperson shall take part in voting.

4.   The Executive Director shall not take part in voting.

4a.
     
  The representative of the Joint Parliamentary Scrutiny Group shall not vote. [Am. 118]

5.   The Management Board’s rules of procedure shall establish more detailed voting arrangements, in particular the circumstances in which a member may act on behalf of another member, and any quorum requirements, where necessary.

SECTION 2

EXECUTIVE DIRECTOR

Article 19

Responsibilities of the Executive Director

1.   The Executive Director shall manage Europol. He/she shall be accountable to the Management Board.

2.   Without prejudice to the powers of the Commission, the Management Board or the Executive Board, the Executive Director shall be independent in the performance of his/her duties and shall neither seek nor take instructions from any government, nor from any other body.

3.   The Executive Director shall
  appear and
  report
  regularly
  to the European Parliament

  Joint Parliamentary Scrutiny Group
  on the performance of his/her duties when invited to do so. The Council may invite the Executive Director to report on the performance of his/her duties. [Am. 119]

4.   The Executive Director shall be the legal representative of Europol.

5.   The Executive Director shall be responsible for the implementation of the tasks assigned to Europol by this Regulation. In particular, the Executive Director shall be responsible for:

| (a) | the day-to-day administration of Europol; |
| --- | --- |

(a)

the day-to-day administration of Europol;

| (b) | implementing decisions adopted by the Management Board; |
| --- | --- |

(b)

implementing decisions adopted by the Management Board;

| (c) | preparing the annual work programme and the multi-annual work programme and submitting them to the Management Board after consulting

  , taking into account the opinion of
  the Commission; [Am. 120] |
| --- | --- |

(c)

preparing the annual work programme and the multi-annual work programme and submitting them to the Management Board after consulting

  , taking into account the opinion of
  the Commission; [Am. 120]

| (d) | implementing the annual work programme and the multi-annual work programme and reporting to the Management Board on their implementation; |
| --- | --- |

(d)

implementing the annual work programme and the multi-annual work programme and reporting to the Management Board on their implementation;

| (e) | preparing the consolidated annual report on Europol’s activities and presenting it to the Management Board for approval; |
| --- | --- |

(e)

preparing the consolidated annual report on Europol’s activities and presenting it to the Management Board for approval;

| (f) | preparing an action plan following up conclusions of internal or external audit reports and evaluations, as well as investigation reports and recommendations from investigations by the (OLAF) and reporting on progress twice a year to the Commission and regularly to the Management Board; |
| --- | --- |

(f)

preparing an action plan following up conclusions of internal or external audit reports and evaluations, as well as investigation reports and recommendations from investigations by the (OLAF) and reporting on progress twice a year to the Commission and regularly to the Management Board;

| (g) | protecting the financial interests of the Union by applying preventive measures against fraud, corruption and any other illegal activities and, without prejudice to the investigative competence of OLAF, by effective checks and, if irregularities are detected, by recovering amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties; |
| --- | --- |

(g)

protecting the financial interests of the Union by applying preventive measures against fraud, corruption and any other illegal activities and, without prejudice to the investigative competence of OLAF, by effective checks and, if irregularities are detected, by recovering amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties;

| (h) | preparing an anti-fraud strategy

  strategic analysis and a strategy to prevent and manage conflicts of interests
  for Europol and presenting it to the Management Board for approval; [Am. 121] |
| --- | --- |

(h)

preparing an anti-fraud strategy

  strategic analysis and a strategy to prevent and manage conflicts of interests
  for Europol and presenting it to the Management Board for approval; [Am. 121]

| (i) | preparing draft financial rules applicable to Europol; |
| --- | --- |

(i)

preparing draft financial rules applicable to Europol;

| (j) | preparing Europol’s draft statement of estimates of revenue and expenditure and implementing its budget; |
| --- | --- |

(j)

preparing Europol’s draft statement of estimates of revenue and expenditure and implementing its budget;

| (k) | preparing a draft multi-annual staff policy plan and submitting it to the Management Board after consultation

  taking into account the opinion
  of the Commission; [Am. 122] |
| --- | --- |

(k)

preparing a draft multi-annual staff policy plan and submitting it to the Management Board after consultation

  taking into account the opinion
  of the Commission; [Am. 122]

| (ka) | exercising with respect to Europol staff those powers conferred by the Staff Regulations of Officials of the European Communities on the Appointing Authority and by the Conditions of Employment of Other Servants of the Communities on the Authority empowered to Conclude contracts of Employment (‘powers of the Appointing Authority’), without prejudice to Article 14(1)(j); [Am. 123] |
| --- | --- |

(ka)

exercising with respect to Europol staff those powers conferred by the Staff Regulations of Officials of the European Communities on the Appointing Authority and by the Conditions of Employment of Other Servants of the Communities on the Authority empowered to Conclude contracts of Employment (‘powers of the Appointing Authority’), without prejudice to Article 14(1)(j); [Am. 123]

| (kb) | taking all decisions on the establishment of Europol’s internal structures and, where necessary, their modification; [Am. 124] |
| --- | --- |

(kb)

taking all decisions on the establishment of Europol’s internal structures and, where necessary, their modification; [Am. 124]

| (l) | supporting the Chair of the Management Board in preparing Management Board meetings; |
| --- | --- |

(l)

supporting the Chair of the Management Board in preparing Management Board meetings;

| (m) | informing the Management Board on a regular basis regarding the implementation of Union strategic and operational priorities for fighting crime. |
| --- | --- |

(m)

informing the Management Board on a regular basis regarding the implementation of Union strategic and operational priorities for fighting crime.

SECTION 3

SCIENTIFIC COMMITTEE FOR TRAINING

Article 20

The Scientific Committee for Training

1.   The Scientific Committee for Training shall be an independent advisory body guaranteeing and guiding the scientific quality of Europol’s work on training. For that purpose, the Executive Director shall involve the Scientific Committee for Training early on in the preparation of all documents referred to in Article 14 as far as they concern training.

2.   The Scientific Committee for Training shall be composed of 11 persons of the highest academic or professional standing in the subjects covered by Chapter III of this Regulation. The Management Board shall appoint the members following a transparent call for applications and selection procedure to be published in the Official Journal of the European Union. The members of the Management Board shall not be members of the Scientific Committee for Training. The members of the Scientific Committee for Training shall be independent. They shall neither seek nor take instructions from any government, nor from any other body.

3.   The list of members of the Scientific Committee for Training shall be made public and shall be updated by Europol on its website.

4.   The term of office of the members of the Scientific Committee for Training shall be five years. It shall not be renewable and its members can be removed from office if they do not meet the criteria of independence.

5.   The Scientific Committee for Training shall elect its Chairperson and Deputy Chairperson for a term of office of five years. It shall adopt positions by simple majority. It shall be convened by its Chairperson up to four times per year. If necessary, the Chairperson shall convene extraordinary meetings on his/her own initiative or at the request of at least four members of the Committee.

6.   The Executive Director, Deputy Executive Director for Training or their respective representative shall be invited to the meetings as a non-voting observer.

7.   The Scientific Committee for Training shall be assisted by a secretary who shall be a Europol staff member designated by the Committee and appointed by the Executive Director.

8.   The Scientific Committee for Training shall, in particular:

| (a) | advise the Executive Director and the Deputy Executive Director for Training in drafting the annual work programme and other strategic documents, to ensure their scientific quality and their coherence with relevant Union sector policies and priorities; |
| --- | --- |

(a)

advise the Executive Director and the Deputy Executive Director for Training in drafting the annual work programme and other strategic documents, to ensure their scientific quality and their coherence with relevant Union sector policies and priorities;

| (b) | provide independent opinion and advice to the Management Board on matters pertaining to its remit; |
| --- | --- |

(b)

provide independent opinion and advice to the Management Board on matters pertaining to its remit;

| (c) | provide independent opinion and advice on the quality of curricula, applied learning methods, learning options and scientific developments; |
| --- | --- |

(c)

provide independent opinion and advice on the quality of curricula, applied learning methods, learning options and scientific developments;

| (d) | perform any other advisory task pertaining to the scientific aspects of Europol’s work relating to training at the request of the Management Board or by the Executive Director or the Deputy Executive Director for Training. |
| --- | --- |

(d)

perform any other advisory task pertaining to the scientific aspects of Europol’s work relating to training at the request of the Management Board or by the Executive Director or the Deputy Executive Director for Training.

9.   The annual budget of the Scientific Committee for Training shall be allocated to an individual budget line of Europol.
  [Am. 125]

SECTION 4

EXECUTIVE BOARD

Article 21

Establishment

The Management Board may establish an Executive Board.

Article 22

Functions and organisation

1.   The Executive Board shall assist the Management Board.

2.   The Executive Board shall have the following functions:

| (a) | preparing decisions to be adopted by the Management Board; |
| --- | --- |

(a)

preparing decisions to be adopted by the Management Board;

| (b) | ensuring, together with the Management Board, adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations, as well as on the investigation reports and recommendations from investigations of the European Anti-Fraud Office (OLAF); |
| --- | --- |

(b)

ensuring, together with the Management Board, adequate follow-up to the findings and recommendations stemming from the internal or external audit reports and evaluations, as well as on the investigation reports and recommendations from investigations of the European Anti-Fraud Office (OLAF);

| (c) | without prejudice to the functions of the Executive Director, as set out in Article 19, assisting and advising the Executive Director in the implementation of the decisions of the Management Board, with a view to reinforcing supervision of administrative management. |
| --- | --- |

(c)

without prejudice to the functions of the Executive Director, as set out in Article 19, assisting and advising the Executive Director in the implementation of the decisions of the Management Board, with a view to reinforcing supervision of administrative management.

3.   When necessary, because of urgency, the Executive Board may take certain provisional decisions on behalf of the Management Board, in particular on administrative management matters, including the suspension of the delegation of the appointing authority powers.

4.   The Executive Board shall be composed of the Chairperson of the Management Board, one representative of the Commission to the Management Board and three other members appointed by the Management Board from among its members. The Chairperson of the Management Board shall also be the Chairperson of the Executive Board. The Executive Director shall take part in the meetings of the Executive Board, but shall not have the right to vote.

5.   The term of office of members of the Executive Board shall be four years. The term of office of members of the Executive Board shall end when their membership of the Management Board ends.

6.   The Executive Board shall hold at least one ordinary meeting every three months. In addition, it shall meet on the initiative of its Chairperson or at the request of its members.

7.   The Executive Board shall comply with the rules of procedure laid down by the Management Board.
  [Am. 126]

Chapter V

PROCESSING OF INFORMATION

Article 23

Sources of information

1.   Europol shall only process information that has been provided to it:

| (a) | by Member States in accordance with their national law; |
| --- | --- |

(a)

by Member States in accordance with their national law;

| (b) | by Union bodies, third countries and international organisations in accordance with Chapter VI; |
| --- | --- |

(b)

by Union bodies, third countries and international organisations in accordance with Chapter VI;

| (c) | by private parties in accordance with Article 29(2). |
| --- | --- |

(c)

by private parties in accordance with Article 29(2).

2.   Europol may directly retrieve and process information, including personal data, from publicly available sources, such as the media, including the internet and public data.

3.   Europol may retrieve and process information, including personal data, from information systems, of a national, Union or international nature, including by means of computerised access, in so far as authorised by Union, international or national legal instruments
  and where the necessity and proportionality of such access for the performance of a task falling under Europol's mandate can be demonstrated
  . The applicable provisions of such Union, international or national legal instruments shall govern the access to and use of that information by Europol insofar as they provide for stricter rules on access and use than those of this Regulation.

They shall lay down the objectives, the categories of personal data and the purposes, means and the procedure to be followed for the retrieval and processing of the information, respecting the applicable data protection legislation and principles.
  The access to such information systems shall be granted only to duly authorised staff of Europol as far as this is
  strictly
  necessary
  and proportionate
  for the performance of their tasks. [Am. 127]

Article 24

Purposes of information processing activities

1.   In so far as necessary for the achievement of its objectives as laid down in Article 3(1) and (2), Europol shall

  may
  process information, including personal data.

Personal data may be processed
  only for the purposes of:

| (a) | cross-checking aimed at identifying connections
  or other relevant links
  between information
  limited to
  :








  (i) | persons who are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent, or who have been convicted for such an offence, |
| --- | --- | --- |

(a)

cross-checking aimed at identifying connections
  or other relevant links
  between information
  limited to
  :

(i)

persons who are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent, or who have been convicted for such an offence,

| (ii) | persons regarding whom there are factual indications or reasonable grounds that they will commit criminal offences; |
| --- | --- |

(ii)

persons regarding whom there are factual indications or reasonable grounds that they will commit criminal offences;

| (b) | analyses of a strategic or thematic nature; |
| --- | --- |

(b)

analyses of a strategic or thematic nature;

| (c) | operational analyses in specific cases. |
| --- | --- |

(c)

operational analyses in specific cases.

The execution of these tasks shall be performed under the following criteria:

| — | the checks under point (a) shall be carried out in accordance with the necessary data protection guarantees, and shall, especially, provide sufficient justification for the data request and its purpose. The necessary measures shall also be taken to ensure that only those authorities that are initially responsible for collecting the data may subsequently change them; |
| --- | --- |

—

the checks under point (a) shall be carried out in accordance with the necessary data protection guarantees, and shall, especially, provide sufficient justification for the data request and its purpose. The necessary measures shall also be taken to ensure that only those authorities that are initially responsible for collecting the data may subsequently change them;

| — | for each operational analysis case referred to in point (c) the following specific safeguards shall apply:










  (i) | a specified purpose shall be defined; personal data may only be processed where they are relevant for this specific purpose; |
| --- | --- | --- |

—

for each operational analysis case referred to in point (c) the following specific safeguards shall apply:

(i)

a specified purpose shall be defined; personal data may only be processed where they are relevant for this specific purpose;

| (ii) | all cross-matching operations by Europol staff shall be specifically motivated; the retrieval of data following a consultation shall be limited to the strict minimum required and specifically motivated; |
| --- | --- |

(ii)

all cross-matching operations by Europol staff shall be specifically motivated; the retrieval of data following a consultation shall be limited to the strict minimum required and specifically motivated;

| (iii) | only authorized staff in charge of the purpose for which the data were initially collected may modify that data. |
| --- | --- |

(iii)

only authorized staff in charge of the purpose for which the data were initially collected may modify that data.

Europol shall duly document these operations. The documentation shall be made available, at request, to the Data Protection Officer and to the European Data Protection Supervisor for the purpose of verifying the lawfulness of the processing operation.

2.   Categories of personal data and categories of data subjects whose data may be collected for each specific purpose referred to under paragraph1 are listed in Annex 2.

2a.
     
  Europol may temporarily, in exceptional cases, process data for the purpose of determining whether such data are relevant to its tasks and for which of the purposes referred to under paragraph 1. The Management Board, acting on a proposal from the Director and after consulting the European Data Protection Supervisor, shall determine the conditions relating to the processing of such data, in particular with respect to access to and the use of the data, as well as time limits for the storage and deletion of the data that may not exceed six months, having due regard to the principles referred to in Article 34.

2b.
     
  The European Data Protection Supervisor will draft guidelines specifying the purposes listed in points (a), (b) and (c) of paragraph 1. [Am. 128]

Article 25

Determination of the purpose of information processing activities

1.   A Member State, a Union body, a third country or an international organisation providing information to Europol determines the
  specific and well defined
  purpose for which it shall be processed as referred to in Article 24. If it has not done so, Europol shall determine relevance of such information as well as the purpose for which it shall be processed. Europol may process information for a different
  specific and explicit
  purpose than the one for which information has been provided only if
  explicitly
  authorised by the data provider
  , in accordance with the applicable law
  . [Am. 129]

2.   Member States, Union bodies, third countries and international organisations may indicate, at the moment of transferring information, any restriction on access or use, in general or specific terms, including as regards erasure or destruction. Where the need for such restrictions becomes apparent after the transfer, they shall inform Europol accordingly. Europol shall comply with such restrictions.

3.   Europol may assign any restriction to access or use by Member States, Union bodies, third countries and international organisations of information retrieved from publicly-available sources.

Article 25a

Data Protection impact assessment

1.
     
  Prior to any set of processing of personal data, Europol shall carry out an assessment of the impact of the envisaged processing systems and procedures on the protection of personal data and notify it to the European Data Protection Supervisor.

2.
     
  The assessment shall contain at least a general description of the envisaged processing operations, an assessment of the risks to the rights and freedoms of data subjects, the measures envisaged to address those risks, safeguards, security measures and mechanisms to ensure the protection of personal data and to demonstrate the compliance with the provisions in this Regulation, taking into account the rights and legitimate interests of the data subjects and other persons concerned. [Am. 130]

Article 26

Access by Member States’ and Europol’s staff to information stored by Europol

1.   Member States,
  where they can justify the need for the legitimate performance of their tasks,
  shall have access to and be able to search all information which has been provided for the purposes of Article 24(1)(a) and (b), without prejudice to the right for Member States, Union bodies and third countries and international organisations to indicate restrictions on access and use of such data. Member States shall designate these competent authorities allowed to perform such a search.

2.   Member States shall have indirect access on the basis of a hit/no hit system to information provided for the purposes of

  a specific purpose under
  Article 24(1)(c), without prejudice to any restrictions indicated by the Member States, Union bodies and third countries or international organisations providing the information, in accordance with Article 25(2). In the case of a hit, Europol shall
  inform the provider of the information and
  initiate the procedure by which the information that generated the hit may be shared, in accordance with the decision of the Member State that provided the information to Europol

  provider of the information to Europol and to the extent necessary for the legitimate performance of the task of the Member State concerned
  .

3.   Europol staff duly empowered by the Executive Director shall have access to information processed by Europol to the extent required for the performance of their duties.

3a.
     
  Europol shall keep detailed records of all hits and information accessed in accordance with Article 43. [Am. 131]

Article 27

Access to Europol information for Eurojust and OLAF

1.   Europol shall take all appropriate measures to enable Eurojust and the European Anti-Fraud Office (OLAF) within their respective mandates,

  its mandate
  to have access to and be able to search all information that has been provided for the purposes of Article 24(1)(a) and (b), without prejudice to the right for Member States, Union bodies and third countries and international organisations to indicate restrictions to the access and use of such data. Europol shall be informed where a search by Eurojust or OLAF reveals the existence of a match with information processed by Europol.

2.   Europol shall take all appropriate measures to enable Eurojust and OLAF, within their respective mandates

  its mandate
  , to have indirect access on the basis of a hit/no hit system to information provided for the purposes

  a specific purpose
  under Article 24(1)(c), without prejudice to any restrictions indicated by the providing Member States, Union bodies and third countries or international organisations, in accordance with Article 25(2). In case of a hit, Europol shall initiate the procedure by which the information that generated the hit may be shared, in accordance with the decision of the Member State, Union body, third country or international organisation that provided the information to Europol.
  In case of a hit, Eurojust shall specify which data it needs and Europol may share the data only to the extent that the data generating the hit are necessary for the legitimate performance of its tasks. Europol shall log which information has been accessed.

3.   Searches of information in accordance with paragraphs 1 and 2 shall be made only for the purpose of identifying whether information available at Eurojust or OLAF, respectively, matches with information processed at Europol.

4.   Europol shall allow searches in accordance with paragraphs 1 and 2 only after obtaining from Eurojust information about which National Members, Deputies, Assistants, as well as Eurojust staff members , and from OLAF information about which staff members, have been designated as authorised to perform such searches.

5.   If during Europol’s information processing activities in respect of an individual investigation, Europol or a Member State identifies the necessity for coordination, cooperation or support in accordance with the mandate of Eurojust or OLAF, Europol shall notify them thereof and shall initiate the procedure for sharing the information, in accordance with the decision of the Member State providing the information. In such a case Eurojust or OLAF shall consult with Europol.

6.   Eurojust, including the College, the National Members, Deputies, Assistants, as well as Eurojust staff members, and OLAF, shall respect any restriction to access or use, in general or specific terms, indicated by Member States, Union bodies, third countries and international organisations in accordance with Article 25(2).

6a.
     
  Europol and Eurojust shall inform each other if, after consultation of each other's data, there are indications that data may be incorrect or conflicting with other data. [Am. 132]

Article 28

Duty to notify Member States

1.   If Europol, in accordance with its task pursuant to Article 4(1)(b), needs to inform a Member State about information concerning it, and that information is subject to access restrictions pursuant to Article 25(2), that would prohibit sharing it, Europol shall consult with the data provider stipulating the access restriction and seek

  ask for
  authorisation for sharing.

Without such an

  explicit
  authorisation, the information shall not be shared.

In cases where the information is not subject to access restrictions pursuant to Article 25, Europol shall nevertheless inform the Member State which provided the information that it has been passed on. [Am. 133]

2.   Irrespective of any access restrictions, Europol shall inform a Member State about information concerning it if:

| (a) | this is absolutely necessary in the interest of preventing imminent danger associated with serious crime or terrorist offences; or |
| --- | --- |

(a)

this is absolutely necessary in the interest of preventing imminent danger associated with serious crime or terrorist offences; or

| (b) | this is essential for the prevention of an immediate and serious threat to public security of that Member State. |
| --- | --- |

(b)

this is essential for the prevention of an immediate and serious threat to public security of that Member State.

In such a case, Europol shall inform the data provider of sharing this information as soon as possible and justify its analysis of the situation.

Chapter VI

RELATION WITH PARTNERS

SECTION 1

COMMON PROVISIONS

Article 29

Common provisions

1.   In so far as necessary for the performance of its tasks, Europol may establish and maintain cooperative relations with the Union bodies in accordance with the objectives of those bodies, the law enforcement authorities of third countries, law enforcement training institutes of third countries, international organisations and private parties.

2.   In so far as relevant to the performance of its tasks and subject to any restriction stipulated pursuant to Article 25(2), Europol may directly exchange all information, with the exception of personal data, with entities referred to in paragraph 1.

3.   Europol may receive and process personal data from

  held by
  entities referred to in paragraph 1 except from private parties, in so far as
  it is strictly
  necessary
  and proportionate
  for the
  legitimate
  performance of its tasks and subject to the provisions of this Chapter.

4.   Without prejudice to Article 36(4)

  (5)
  , personal data shall only be transferred by Europol to Union bodies, third countries and international organisations, if this is necessary for preventing and combating crime that falls under Europol’s objectives

  tasks
  and in accordance with this Chapter
  and if the recipient gives an explicit undertaking that the data will be used solely for the purpose for which they were transmitted
  . If the data to be transferred have been provided by a Member State, Europol shall seek that Member State’s
  prior and explicit
  consent, unless:

| (a) | the authorisation can be assumed as the Member State has not expressly limited the possibility of onward transfers; or |
| --- | --- |

(a)

the authorisation can be assumed as the Member State has not expressly limited the possibility of onward transfers; or

| (b) | the Member State has granted its prior authorisation to such onward transfer, either in general terms or subject to specific conditions. Such consent may be withdrawn any moment. |
| --- | --- |

(b)

the Member State has granted its prior authorisation to such onward transfer, either in general terms or subject to specific conditions. Such consent may be withdrawn any moment.

5.   Onward transfers of personal data by Member States, Union bodies, third countries and international organizations shall be prohibited unless Europol has given its
  prior
  explicit consent
  and if the recipient gives an explicit undertaking that the data shall be used solely for the purpose for which they were transmitted
  .

5a.
     
  Europol shall ensure that detailed records of all transfers of personal data and their grounds are recorded in accordance with this Regulation.

5b.
     
  Any information which has been obtained by a third country, international organization or private party in violation of fundamental rights, as enshrined in the EU Charter of Fundamental Rights, shall not be processed. [Am. 134]

SECTION 2

EXCHANGES/TRANFERS OF PERSONAL DATA

Article 30

Transfer of personal data to Union bodies

Subject to any possible restrictions stipulated pursuant to Article 25(2) or (3)
  , and without prejudice to Article 27,
  Europol may directly transfer personal data to Union bodies in so far as it is necessary for the performance of its tasks or those of the recipient Union body.
  Europol shall make public the list of EU institutions and bodies with whom it shares information, by posting such a list on its website. [Am. 135]

Article 31

Transfer of personal data to third countries and international organisations

1.   Europol may transfer personal data to an authority of a third country or to an international organisation, in so far as this is necessary for it to perform its tasks, on the basis of:

| (a) | a decision of the Commission adopted in accordance with [Articles 25 and 31 of Directive 95/46/EC] that that country or international organisation, or a processing sector within that third country or an international organisation ensures an adequate level of protection (adequacy decision); or |
| --- | --- |

(a)

a decision of the Commission adopted in accordance with [Articles 25 and 31 of Directive 95/46/EC] that that country or international organisation, or a processing sector within that third country or an international organisation ensures an adequate level of protection (adequacy decision); or

| (b) | an international agreement concluded between the Union and that third country or international organisation pursuant to Article 218 TFEU adducing adequate safeguards with respect to the protection of privacy and fundamental rights and freedoms of individuals; or |
| --- | --- |

(b)

an international agreement concluded between the Union and that third country or international organisation pursuant to Article 218 TFEU adducing adequate safeguards with respect to the protection of privacy and fundamental rights and freedoms of individuals; or

| (c) | a cooperation agreement concluded between Europol and that third country or international organisation in accordance with Article 23 of Decision 2009/371/JHA prior to the date of application of this Regulation. |
| --- | --- |

(c)

a cooperation agreement concluded between Europol and that third country or international organisation in accordance with Article 23 of Decision 2009/371/JHA prior to the date of application of this Regulation.

These cooperation agreements shall be amended within five years after the entry into force of this Regulation and replaced by a subsequent agreement in accordance with point (b). [Am. 136]

Such transfers do not require any further authorisation.

  The European Data Protection Supervisor shall be consulted in a timely manner before and during the negotiation of an international agreement referred to in point (b) and in particular before adoption of the negotiating mandate as well as before the finalisation of the agreement.

Europol shall make publicly available a regular updated list of international and cooperation agreements it has with third countries and international organisations, by posting this list on its website. [Am. 137]

Europol may conclude working arrangements to implement such agreements or adequacy decisions.

2.   By way of derogation from paragraph 1, the Executive Director may
  , whilst observing his/her obligations regarding discretion, confidentiality and proportionality,
  authorise the transfer of personal data to third countries or international organisations on a case-by-case basis if:

| (a) | the transfer of the data is absolutely necessary to safeguard the essential interests of one or more Member States within the scope of Europol’s objectives

  in order to protect the vital interests of the data subject or another person
  ;
  or |
| --- | --- |

(a)

the transfer of the data is absolutely necessary to safeguard the essential interests of one or more Member States within the scope of Europol’s objectives

  in order to protect the vital interests of the data subject or another person
  ;
  or

| (b) | the transfer of the data is absolutely necessary in the

  to safeguard legitimate
  interests of preventing imminent danger associated with crime or terrorist offences

  the data subject where the law of the Member State or third country transferring the personal data so provides
  ;
  or |
| --- | --- |

(b)

the transfer of the data is absolutely necessary in the

  to safeguard legitimate
  interests of preventing imminent danger associated with crime or terrorist offences

  the data subject where the law of the Member State or third country transferring the personal data so provides
  ;
  or

| (c) | the transfer
  of the data
  is otherwise necessary or legally required on important public interest grounds, or for the establishment, exercise or defence of legal claims

  essential for the prevention of an immediate and serious threat to public security of a Member State or a third country
  ; or |
| --- | --- |

(c)

the transfer
  of the data
  is otherwise necessary or legally required on important public interest grounds, or for the establishment, exercise or defence of legal claims

  essential for the prevention of an immediate and serious threat to public security of a Member State or a third country
  ; or

| (d) | the transfer is necessary to protect the vital interests of the data subject or another person

  in individual cases for the purposes of prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties; or |
| --- | --- |

(d)

the transfer is necessary to protect the vital interests of the data subject or another person

  in individual cases for the purposes of prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties; or

| (da) | the transfer is necessary in individual cases for the establishment, exercise or defence of legal claims relating to the prevention, investigation, detection or prosecution of a specific criminal offence or the execution of a specific criminal penalty. |
| --- | --- |

(da)

the transfer is necessary in individual cases for the establishment, exercise or defence of legal claims relating to the prevention, investigation, detection or prosecution of a specific criminal offence or the execution of a specific criminal penalty.

The Executive Director shall in all circumstances consider the data protection level applicable in the third country or international organisation in question, taking into account the nature of the data, the purpose for which the data is intended, the duration of the intended processing, the general or specific data protection provisions applying in that country, and whether or not specific conditions required by Europol concerning the data have been accepted.

Derogations may not be applicable to systematic, massive or structural transfers.

Moreover the Management Board

  European Data Protection Supervisor
  may authorise a
  transfer or a
  set of transfers in conformity with points (a) to (d) above, taking into account of the existence

  adducing adequate
  safeguards with respect to the protection of privacy and fundamental rights and freedoms of individuals, for a period not exceeding one year, renewable. [Am. 138]

3.   The Executive Director shall inform
  without delay
  the Management Board and the European Data Protection Supervisor of cases where he/she applied paragraph 2. [Am. 139]

3a.
     
  Europol shall keep detailed records of all transfers under this Article. [Am. 140]

Article 32

Personal data from private parties

1.   In so far as necessary for Europol to perform its tasks, Europol may process personal data originating from private parties on condition that are

  they are not
  received
  directly from the private parties but only
  via: [Am. 141]

| (a) | a national unit of a Member State in accordance with national law; |
| --- | --- |

(a)

a national unit of a Member State in accordance with national law;

| (b) | the contact point of a third country with which Europol has concluded a cooperation agreement in accordance with Article 23 of the Decision 2009/371/JHA prior to date of application of this Regulation; or |
| --- | --- |

(b)

the contact point of a third country with which Europol has concluded a cooperation agreement in accordance with Article 23 of the Decision 2009/371/JHA prior to date of application of this Regulation; or

| (c) | an authority of a third country or an international organisation with which the Union has concluded an international agreement pursuant to Article 218 TFEU. |
| --- | --- |

(c)

an authority of a third country or an international organisation with which the Union has concluded an international agreement pursuant to Article 218 TFEU.

2.   If the data received affect the interests of a Member State, Europol shall immediately inform the National Unit of the Member State concerned.

3.   Europol shall not contact private parties directly to retrieve personal data. [Am. 142]

4.   The Commission shall evaluate the necessity and possible impact of direct exchanges of personal data with private parties within three years after this Regulation is applicable. Such an evaluation shall specify among others the reasons whether the exchanges of personal data with private parties is necessary for Europol.

Article 33

Information from private persons

1.   Information, including personal data, originating from private persons may be processed by Europol on condition that that it is received via:

| (a) | a National Unit of a Member State in accordance with national law; |
| --- | --- |

(a)

a National Unit of a Member State in accordance with national law;

| (b) | the contact point of a third country with which Europol has concluded a cooperation agreement in accordance with Article 23 of the Decision 2009/371/JHA prior to the date of application of this Regulation; or |
| --- | --- |

(b)

the contact point of a third country with which Europol has concluded a cooperation agreement in accordance with Article 23 of the Decision 2009/371/JHA prior to the date of application of this Regulation; or

| (c) | an authority of a third country or an international organisation with which the European Union has concluded an international agreement pursuant to Article 218 TFEU. |
| --- | --- |

(c)

an authority of a third country or an international organisation with which the European Union has concluded an international agreement pursuant to Article 218 TFEU.

2.   If Europol receives information, including personal data, from a private person residing in a third country with which there is no international agreement, either concluded on the basis of Article 23 of Decision 2009/371/JHA or on the basis of Article 218 TFEU, Europol may only forward that information to a Member State or a third country concerned with which such international agreements have been concluded.

3.   Europol shall not contact private persons directly to retrieve information. [Am. 143]

Chapter VII

DATA PROTECTION SAFEGUARDS

Article 34

General data protection principles

1.
     Personal data shall be:

| (a) | processed fairly and lawfully
  , fairly and in a transparent and verifiable manner in relation to the data subject
  ; |
| --- | --- |

(a)

processed fairly and lawfully
  , fairly and in a transparent and verifiable manner in relation to the data subject
  ;

| (b) | collected for specified, explicit and legitimate purposes and not further processed in a manner incompatible with those purposes. Further processing of personal data for historical, statistical or scientific purposes shall not be considered incompatible provided that Europol provides appropriate safeguards, in particular to ensure that data are not processed for any other purposes; |
| --- | --- |

(b)

collected for specified, explicit and legitimate purposes and not further processed in a manner incompatible with those purposes. Further processing of personal data for historical, statistical or scientific purposes shall not be considered incompatible provided that Europol provides appropriate safeguards, in particular to ensure that data are not processed for any other purposes;

| (c) | adequate, relevant, and not excessive

  limited to the minimum necessary
  in relation to the purposes for which they are processed;
  they shall only be processed if, and as long as, the purposes could not be fulfilled by processing information that does not involve personal data; |
| --- | --- |

(c)

adequate, relevant, and not excessive

  limited to the minimum necessary
  in relation to the purposes for which they are processed;
  they shall only be processed if, and as long as, the purposes could not be fulfilled by processing information that does not involve personal data;

| (d) | accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay; |
| --- | --- |

(d)

accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay;

| (e) | kept in a form which permits identification of data subjects and for no longer than
  it is
  necessary for the purposes for which the personal data are processed; |
| --- | --- |

(e)

kept in a form which permits identification of data subjects and for no longer than
  it is
  necessary for the purposes for which the personal data are processed;

| (ea) | processed in a way that effectively allows the data subject to exercise his or her rights; |
| --- | --- |

(ea)

processed in a way that effectively allows the data subject to exercise his or her rights;

| (eb) | processed in a way that protects against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures; |
| --- | --- |

(eb)

processed in a way that protects against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures;

| (ec) | processed by only those duly authorised staff who need them for the performance of their tasks. |
| --- | --- |

(ec)

processed by only those duly authorised staff who need them for the performance of their tasks.

1a.
     
  Europol shall make publicly available a document setting out in an intelligible form the provisions regarding the processing of personal data and the means available for the exercise of the rights of data subjects. [Am. 144]

Article 35

Different degrees of accuracy and reliability of personal data

1.   The source of information originating from a Member State shall be assessed as far as possible by the providing Member State using the following source evaluation codes: [Am. 145]

| (A): | where there is no doubt as to the authenticity, trustworthiness and competence of the source, or if the information is provided by a source which has proved to be reliable in all instances; |
| --- | --- |
| (B): | where the information is provided by a source which has in most instances proved to be reliable; |
| (C): | where the information is provided by a source which has in most instances proved to be unreliable; |
| (X): | where the reliability of the source cannot be assessed. |

(A):

where there is no doubt as to the authenticity, trustworthiness and competence of the source, or if the information is provided by a source which has proved to be reliable in all instances;

(B):

where the information is provided by a source which has in most instances proved to be reliable;

(C):

where the information is provided by a source which has in most instances proved to be unreliable;

(X):

where the reliability of the source cannot be assessed.

2.   Information originating from a Member State shall be assessed as far as possible by the Member State providing information on the basis of its reliability using the following information evaluation codes: [Am. 146]

| (1): | information the accuracy of which is not in doubt; |
| --- | --- |
| (2): | information known personally to the source but not known personally to the official passing it on; |
| (3): | information not known personally to the source but corroborated by other information already recorded; |
| (4): | information not known personally to the source and cannot be corroborated. |

(1):

information the accuracy of which is not in doubt;

(2):

information known personally to the source but not known personally to the official passing it on;

(3):

information not known personally to the source but corroborated by other information already recorded;

(4):

information not known personally to the source and cannot be corroborated.

3.   Where Europol, on the basis of information already in its possession, comes to the conclusion that the assessment needs to be corrected, it shall inform the Member State concerned and seek to agree on an amendment to the assessment. Europol shall not change the assessment without such agreement.

4.   Where Europol receives information from a Member State without an assessment, Europol shall attempt as far as possible to assess the reliability of the source or the information on the basis of information already in its possession. The assessment of specific data and information shall take place in agreement with the supplying Member State. A Member State may also agree with Europol in general terms on the assessment of specified types of data and specified sources. If no agreement is reached in a specific case, or no agreement in general terms exists, Europol shall evaluate the information or data and shall attribute to such information or data the evaluation codes (X) and (4), referred to in paragraphs 1 and 2. [Am. 147]

5.   Where Europol receives data or information from a third country or international organisation, or Union body, this Article shall apply accordingly.

6.   Information from publicly-available sources shall be assessed by Europol using the evaluation codes set out in paragraphs 1

  (X)
  and 2

  (4)
  . [Am. 148]

Article 36

Processing of special categories of personal data and of different categories of data subjects

1.   Processing of personal data on victims of a criminal offence, witnesses or other persons who can provide information on criminal offences, or on persons under the age of 18 shall be prohibited unless it is strictly necessary
  and duly justified
  for preventing or combating crime that falls under Europol's objectives. [Am. 149]

2.   Processing of personal data, by automated or other means, revealing racial or, ethnic
  or social
  origin, political opinions, religion or beliefs, trade-union membership and of data concerning health or sex life shall be prohibited, unless it is strictly necessary
  and duly justified
  for preventing or combating crime that falls under Europol's objectives and if those data supplement other personal data already processed by Europol. [Am. 150]

3.   Only Europol shall have access to personal data referred to in paragraphs 1 and 2. The Executive Director shall duly authorise a limited number of officials who would have such access, if this is necessary for the performance of their tasks.

4.   No decision which produces legal effects concerning a data subject shall be based solely on automated processing of data referred to in paragraph 2, unless the decision is expressly authorised pursuant to national or Union legislation or, if necessary, by the European Data Protection Supervisor. [Am. 151]

5.   Personal data referred to in paragraphs 1 and 2 shall not be transmitted to Member States, Union bodies, third countries or international organisations unless strictly necessary
  and duly justified
  in individual cases concerning crime that falls under Europol's objectives.
  Such transmission shall be in accordance with the provisions laid down in Chapter VI of this Regulation. [Am. 152]

6.   Every six months Europol shall provide an overview of all personal data referred to in paragraph 2 processed by it to the European Data Protection Supervisor.

Article 37

Time-limits for the storage and erasure of personal data

1.   Personal data processed by Europol shall be stored by Europol only as long as
  strictly
  necessary for the achievement of its objectives

  purposes for which the data are processed
  . [Am. 153]

2.   Europol shall in any case review the need for continued storage no later than three years after the start of initial processing of personal data. Europol may decide on the continued storage of personal data until the following review, which shall take place after another period of three years, if continued storage is still necessary for the performance of Europol’s tasks. The reasons for the continued storage shall be justified and recorded. If no decision is taken on the continued storage of personal data, that data shall be erased automatically after three years.

3.   If data concerning persons referred to in Article 36(1) and (2) are stored for a period exceeding five years, the European Data Protection Supervisor shall be informed accordingly.

4.   Where a Member State, an Union body, a third country or an international organisation has indicated any restriction as regards the earlier erasure or destruction of the personal data at the moment of transfer in accordance with Article 25(2), Europol shall erase the personal data in accordance with those restrictions. If continued storage of the data is deemed necessary for Europol to perform its tasks, based on information that is more extensive than that possessed by the data provider, Europol shall request the authorisation of the data provider to continue storing the data and present a justification for such a request.

5.   Where a Member State, a Union body, a third country or an international organisation erases from its national data files data provided to Europol, it shall inform Europol accordingly. Europol shall erase the data unless the continued storage of the data is deemed necessary for Europol to achieve its objectives, based on information that is more extensive than that possessed by the data provider. Europol shall inform the data provider of the continued storage of such data and present a justification of such continued storage.

6.   Personal data shall not be erased if:

| (a) | this would damage the interests of a data subject who requires protection. In such cases, the data shall be used only with the
  express and written
  consent of the data subject; [Am. 154] |
| --- | --- |

(a)

this would damage the interests of a data subject who requires protection. In such cases, the data shall be used only with the
  express and written
  consent of the data subject; [Am. 154]

| (b) | their accuracy is contested by the data subject, for a period enabling Member States or Europol, where appropriate, to verify the accuracy of the data; |
| --- | --- |

(b)

their accuracy is contested by the data subject, for a period enabling Member States or Europol, where appropriate, to verify the accuracy of the data;

| (c) | the personal data have to be maintained for purposes of proof
  or for the establishment, exercise or defence of legal claims
  ; [Am. 155] |
| --- | --- |

(c)

the personal data have to be maintained for purposes of proof
  or for the establishment, exercise or defence of legal claims
  ; [Am. 155]

| (d) | the data subject opposes their erasure and requests the restriction of their use instead. |
| --- | --- |

(d)

the data subject opposes their erasure and requests the restriction of their use instead.

Article 38

Security of processing

1.   Europol shall implement appropriate technical and organisational measures to protect personal data against accidental or unlawful destruction, accidental loss or unauthorised disclosure, alteration and access or any other unauthorised form of processing.

2.   In respect of automated data processing, Europol shall implement measures designed to:

| (a) | deny unauthorised persons access to data-processing equipment used for processing personal data (equipment access control); |
| --- | --- |

(a)

deny unauthorised persons access to data-processing equipment used for processing personal data (equipment access control);

| (b) | prevent the unauthorised reading, copying, modification or removal of data media (data media control); |
| --- | --- |

(b)

prevent the unauthorised reading, copying, modification or removal of data media (data media control);

| (c) | prevent the unauthorised input of data and the unauthorised inspection, modification or deletion of stored personal data (storage control); |
| --- | --- |

(c)

prevent the unauthorised input of data and the unauthorised inspection, modification or deletion of stored personal data (storage control);

| (d) | prevent the use of automated data-processing systems by unauthorised persons using data-communication equipment (user control); |
| --- | --- |

(d)

prevent the use of automated data-processing systems by unauthorised persons using data-communication equipment (user control);

| (e) | ensure that persons authorised to use an automated data-processing system have access only to data covered by their access authorisation (data access control); |
| --- | --- |

(e)

ensure that persons authorised to use an automated data-processing system have access only to data covered by their access authorisation (data access control);

| (f) | ensure that it is possible to verify and establish to which bodies personal data may be or have been transmitted using data communication equipment (communication control); |
| --- | --- |

(f)

ensure that it is possible to verify and establish to which bodies personal data may be or have been transmitted using data communication equipment (communication control);

| (g) | ensure that it is possible to verify and establish which personal data have been input into automated data-processing systems and when and by whom the data were input (input control); |
| --- | --- |

(g)

ensure that it is possible to verify and establish which personal data have been input into automated data-processing systems and when and by whom the data were input (input control);

| (ga) | ensure that it is possible to verify and establish what data have been accessed by which member of personnel and at what time (access log); [Am. 156] |
| --- | --- |

(ga)

ensure that it is possible to verify and establish what data have been accessed by which member of personnel and at what time (access log); [Am. 156]

| (h) | prevent the unauthorised reading, copying, modification or deletion of personal data during transfers of personal data or during the transportation of data media (transport control); |
| --- | --- |

(h)

prevent the unauthorised reading, copying, modification or deletion of personal data during transfers of personal data or during the transportation of data media (transport control);

| (i) | ensure that installed systems may, in the event of interruption, be restored immediately (recovery); |
| --- | --- |

(i)

ensure that installed systems may, in the event of interruption, be restored immediately (recovery);

| (j) | ensure that the functions of the system perform without fault, that the occurrence of faults in the functions is immediately reported (reliability) and that stored data cannot be corrupted by system malfunctions (integrity). |
| --- | --- |

(j)

ensure that the functions of the system perform without fault, that the occurrence of faults in the functions is immediately reported (reliability) and that stored data cannot be corrupted by system malfunctions (integrity).

3.   Europol and Member States shall define mechanisms to ensure that security needs are taken on board across information system boundaries.

Article 38a

Data protection by design and by default

1.
     
  Europol shall implement appropriate technical and organisational measures and procedures in such a way that the processing will meet the requirements of provisions adopted pursuant to this Regulation and ensure the protection of the rights of the data subject.

2.
     
  Europol shall implement mechanisms for ensuring that, by default, only those personal data which are necessary for the purposes of the processing are processed. [Am. 157]

Article 38b

Notification of a personal data breach to the European Data Protection Supervisor

1.
     
  In the case of a personal data breach, Europol shall notify, without undue delay and, where feasible, not later than 24 hours after having become aware of it, the personal data breach to the European Data Protection Supervisor. Europol shall provide, on request, a reasoned justification in cases where the notification is not made within 24 hours.

2.
     
  The notification referred to in paragraph 1 shall at least:

| (a) | describe the nature of the personal data breach including the categories and number of data subjects concerned and the categories and number of data records concerned; |
| --- | --- |

(a)

describe the nature of the personal data breach including the categories and number of data subjects concerned and the categories and number of data records concerned;

| (b) | recommend measures to mitigate the possible adverse effects of the personal data breach; |
| --- | --- |

(b)

recommend measures to mitigate the possible adverse effects of the personal data breach;

| (c) | describe the possible consequences of the personal data breach; |
| --- | --- |

(c)

describe the possible consequences of the personal data breach;

| (d) | describe the measures proposed or taken by the controller to address the personal data breach. |
| --- | --- |

(d)

describe the measures proposed or taken by the controller to address the personal data breach.

3.
     
  Europol shall document any personal data breaches, comprising the facts surrounding the breach, its effects and the remedial action taken, enabling the European Data Protection Supervisor to verify compliance with this Article. [Am. 158]

Article 38c

Communication of a personal data breach to the data subject

1.
     
  Where a personal data breach referred to in Article 38b is likely to adversely affect the protection of the personal data or privacy of the data subject, Europol shall communicate the personal data breach to the data subject without undue delay.

2.
     
  The communication to the data subject referred to in paragraph 1 shall describe the nature of the personal data breach and contain the identity and contact details of the data protection officer referred to in Article 44.

3.
     
  The communication of a personal data breach to the data subject shall not be required if Europol demonstrates to the satisfaction of the European Data Protection Supervisor that it has implemented appropriate technological protection measures, and that those measures were applied to the personal data concerned by the personal data breach. Such technological protection measures shall render the data unintelligible to any person who is not authorised to access it.

4.
     
  The communication to the data subject may be delayed, restricted or omitted where it is necessary and proportionate measure with due regard for the legitimate interests of the person concerned:

| (a) | to avoid obstructing official or legal inquiries, investigations or procedures; |
| --- | --- |

(a)

to avoid obstructing official or legal inquiries, investigations or procedures;

| (b) | to avoid prejudicing the prevention, detection, investigation and prosecution of criminal offences or for the execution of criminal penalties; |
| --- | --- |

(b)

to avoid prejudicing the prevention, detection, investigation and prosecution of criminal offences or for the execution of criminal penalties;

| (c) | to protect public and national security; |
| --- | --- |

(c)

to protect public and national security;

| (d) | protect the rights and freedoms of third parties. [Am. 159] |
| --- | --- |

(d)

protect the rights and freedoms of third parties. [Am. 159]

Article 39

Right of access for the data subject

1.   Any data subject shall have the right, at reasonable intervals, to obtain information on whether personal data relating to him/her are processed by Europol. Where such personal data are being processed, Europol shall provide
  at least
  the following information to the data subject: [Am. 160]

| (a) | confirmation as to whether or not data related to him/her are being processed; |
| --- | --- |

(a)

confirmation as to whether or not data related to him/her are being processed;

| (b) | information at least as to the purposes of the processing operation, the categories of data concerned,
  the period for which the data will be stored,
  and the recipients to whom the data are disclosed; [Am. 161] |
| --- | --- |

(b)

information at least as to the purposes of the processing operation, the categories of data concerned,
  the period for which the data will be stored,
  and the recipients to whom the data are disclosed; [Am. 161]

| (c) | communication in an intelligible form of the data undergoing processing and of any available information as to their sources; |
| --- | --- |

(c)

communication in an intelligible form of the data undergoing processing and of any available information as to their sources;

| (ca) | an indication of the legal basis for processing the data; [Am. 162] |
| --- | --- |

(ca)

an indication of the legal basis for processing the data; [Am. 162]

| (cb) | the existence of the right to request from Europol rectification, erasure or restriction of processing of personal data concerning the data subject; [Am. 163] |
| --- | --- |

(cb)

the existence of the right to request from Europol rectification, erasure or restriction of processing of personal data concerning the data subject; [Am. 163]

| (cc) | a copy of the data undergoing processing. [Am. 164] |
| --- | --- |

(cc)

a copy of the data undergoing processing. [Am. 164]

2.   Any data subject wishing to exercise the right of access to personal data may make a request to that effect without excessive costs

  free of charge
  to the authority appointed for this purpose in the Member State of his/her choice. That authority shall refer the request to Europol without delay and in any case within one month of receipt.
  Europol shall confirm receipt of the request. [Ams 165 and 234]

3.   Europol shall answer the request without undue delay and in any case within three months of its

  the
  receipt
  of the request from the national authority
  .[Am. 166]

4.   Europol shall consult the competent authorities of the Member States concerned on a decision to be taken. A decision on access to data shall be conditional on close cooperation between Europol and the Member States directly concerned by the access of the data subject to such data. If a Member State objects to Europol’s proposed response, it shall notify Europol of the reasons for its objection.

5.   Access to personal data

  The provision of information in response to a request under paragraph 1
  shall be refused or restricted, if it constitutes

  to the extent that such partial or complete refusal is
  a necessary measure to: [Am. 167]

| (a) | enable Europol to fulfil its tasks properly; |
| --- | --- |

(a)

enable Europol to fulfil its tasks properly;

| (b) | protect security and public order in the Member States or to prevent crime; |
| --- | --- |

(b)

protect security and public order in the Member States or to prevent crime;

| (c) | guarantee that any national investigation will not be jeopardised; |
| --- | --- |

(c)

guarantee that any national investigation will not be jeopardised;

| (d) | protect the rights and freedoms of third parties. |
| --- | --- |

(d)

protect the rights and freedoms of third parties.

Any decision on the restriction or refusal of the information requested shall take into account the fundamental rights and interests of the data subject. [Am. 168]

6.   Europol shall inform the data subject in writing on any refusal or restriction of access, on the reasons for such a decision and of his right to lodge a complaint to the European Data Protection Supervisor. Information on the factual and legal reasons on which the decision is based may be omitted where the provision of such information would deprive the restriction imposed by paragraph 5 of its effect.

Article 40

Right to rectification, erasure and blocking

1.   Any data subject shall have the right to ask Europol to rectify personal data relating to him/her if they are incorrect and, where this is possible and necessary, to complete or update them. [Am. 169]

2.   Any data subject shall have the right to ask Europol to erase personal data relating to him/her, if they are no longer required for the purposes for which they are lawfully collected or are lawfully further processed.

3.   Personal data shall be blocked rather than erased if there are reasonable grounds to believe that erasure could affect the legitimate interests of the data subject. Blocked data shall be processed only for the purpose that prevented their erasure.

4.   If data as described in paragraphs 1, 2 and 3 held by Europol have been provided to it by third countries, international organisations, or are the results of Europol's own analyses, Europol shall rectify, erase or block such data
  and inform, where relevant, the originators of the data
  . [Am. 170]

5.   If data as described in paragraphs 1 and 2 held by Europol have been provided directly to Europol by Member States, the Member States concerned shall rectify, erase or block such data in collaboration with Europol.

6.   If incorrect data were transferred by another appropriate means or if the errors in the data provided by Member States are due to faulty transfer or were transferred in breach of this Regulation or if they result from their being input, taken over or stored in an incorrect manner or in breach of this Regulation by Europol, Europol shall rectify or erase the data in collaboration with the Member States concerned.

7.   In the cases referred to in paragraphs 4, 5 and 6 all addressees of such data shall be notified forthwith. In accordance with rules applicable to them, the addressees, shall then rectify, erase or block these data in their systems.

8.   Europol shall inform the data subject in writing without undue delay and in any case within three months that data concerning him/her have been rectified, erased or blocked.

9.   Europol shall inform the data subject in writing on any refusal of rectification, of erasure or blocking, and of the possibility of lodging a complaint with the European Data Protection Supervisor and seeking a judicial remedy.

Article 41

Responsibility in data protection matters

1.   Europol shall store personal data in a way that ensures its source according to Article 23 can be established.

1a.
     
  Europol shall store personal data in such a way that they can be rectified and erased. [Am. 171]

2.   The responsibility for the quality of personal data as referred to in Article 34(d) shall lie with the Member State which provided the personal data to Europol and with Europol for personal data provided by Union bodies, third countries or international organisations, as well for personal data retrieved by Europol from publicly-available sources.
  Union bodies shall be responsible for the quality of the data until and including the moment of the transfer. [Am. 172]

3.   The responsibility for compliance with the principles as specified in Article 34(a), (b), (c) and (e) shall lie with Europol.

4.   The responsibility for the legality of transfer

  applicable data protection principles
  shall lie: [Am. 173]

| (a) | with the Member State which provided the data in the case of personal data provided by the Member States to Europol; and |
| --- | --- |

(a)

with the Member State which provided the data in the case of personal data provided by the Member States to Europol; and

| (b) | with Europol in the cases of personal data provided by Europol to Member States, and third countries or international organisations. |
| --- | --- |

(b)

with Europol in the cases of personal data provided by Europol to Member States, and third countries or international organisations.

5.   In case of a transfer between Europol and a Union body, the responsibility for the legality of the transfer shall lie with Europol. Without prejudice to the preceding sentence, where the data are transferred by Europol following a request from the recipient, both Europol and recipient shall bear the responsibility for the legality of this transfer. In addition, Europol shall be responsible for all data processing operations carried out by it.

Europol shall verify the competence of the recipient and evaluate the necessity for the transfer of the data. If doubts arise as to this necessity, Europol shall seek further information from the recipient. The recipient shall ensure that the need for the transfer of the data can be verified. The recipient shall process the personal data only for the purposes for which they were transmitted. [Am. 174]

Article 42

Prior checking

1.   The processing of personal data which will form part of a new filing system to be created

  in any set of processing operations that serve a single or several related purposes in relation to its core activities
  shall be subject to prior checking where: [Am. 175]

| (a) | special categories of data referred to in Article 36(2) are to be processed; |
| --- | --- |

(a)

special categories of data referred to in Article 36(2) are to be processed;

| (b) | the type of processing, in particular using new technologies, mechanisms or procedures, holds otherwise specific risks for the fundamental rights and freedoms, and in particular the protection of personal data, of data subjects. |
| --- | --- |

(b)

the type of processing, in particular using new technologies, mechanisms or procedures, holds otherwise specific risks for the fundamental rights and freedoms, and in particular the protection of personal data, of data subjects.

2.   The prior checks shall be carried out by the European Data Protection Supervisor following receipt of a notification from the Data Protection Officer who, in case of doubt as to the need for prior checking, shall consult the European Data Protection Supervisor.

3.   The European Data Protection Supervisor shall deliver his/her opinion within two months following receipt of the notification. This period may be suspended
  at any time
  until the European Data Protection Supervisor has obtained any further information that he/she may have requested. When the complexity of the matter so requires, this period may also be extended for a further two months, by decision of the European Data Protection Supervisor.
  No more than two extensions shall be possible.
  This decision shall be notified to Europol prior to expiry of the initial two-month period. [Am. 176]

If the opinion has not been delivered by the end of the two-month period, or any extension thereof, it shall be deemed to be favourable.

If the opinion of the European Data Protection Supervisor is that the notified processing may involve a breach of any provision of this Regulation, he/she shall where appropriate make proposals to avoid such breach. Where Europol does not modify the processing operation accordingly, the European Data Protection Supervisor may exercise the powers granted to him/her under Article 46(3).

4.   The European Data Protection Supervisor shall keep a register of all processing operations have been notified to him/her pursuant to paragraph 1. Such a register shall be integrated into the register referred to in Article 27(5) of Regulation (EC) No 45/2001.

Article 43

Logging and documentation

1.   For the purposes of verifying the lawfulness of data processing, self-monitoring and ensuring proper data integrity and security Europol shall keep records of collection, alteration, access,
  retrieval,
  disclosure, combination or erasure of personal data. Such logs or documentation shall be deleted after three years, unless the data are further required for on-going control. There shall be no possibility to modify the logs. [Am. 177]

2.   Logs or documentation prepared under paragraph 1 shall be communicated on request to the European Data Protection Supervisor for the control of data protection. The European Data Protection Supervisor shall use that information only for the control of data protection and ensuring proper data processing as well as data integrity and security.

Article 44

Data Protection Officer

1.   The Management Board shall appoint a Data Protection Officer who shall be a member of the staff. In the performance of his/her duties, he/she shall act independently.

2.   The Data Protection Officer shall be selected on the basis of his/her personal and professional qualities and, in particular, the expert knowledge of data protection.

3.   The selection of the Data Protection Officer shall not be liable to result in a conflict of interests between his/her duty as Data Protection Officer and any other official duties, in particular in relation to the application of the provisions of this Regulation.

4.   The Data Protection Officer shall be appointed for a term of between two and five years. He/she shall be eligible for reappointment up to a maximum total term of ten years. He/she may be dismissed from the post of Data Protection Officer by the Community institution or body which appointed him/her only with the consent of the European Data Protection Supervisor, if he/she no longer fulfills the conditions required for the performance of his/her duties.

5.   After his/her appointment the Data Protection Officer shall be registered with the European Data Protection Supervisor by the institution or body which appointed him/her.

6.   With respect to the performance of his/her duties, the Data Protection Officer may not receive any instructions.

7.   The Data Protection Officer shall in particular have the following tasks with regard to personal data, with the exception of personal data of Europol staff members as well as administrative personal data:

| (a) | ensuring, in an independent manner, lawfulness and compliance with

  the internal application of
  the provisions of this Regulation concerning the processing of personal data; [Am. 178] |
| --- | --- |

(a)

ensuring, in an independent manner, lawfulness and compliance with

  the internal application of
  the provisions of this Regulation concerning the processing of personal data; [Am. 178]

| (b) | ensuring that a record of the transfer and receipt of personal data is kept in accordance with this Regulation; |
| --- | --- |

(b)

ensuring that a record of the transfer and receipt of personal data is kept in accordance with this Regulation;

| (c) | ensuring that data subjects are informed of their rights under this Regulation at their request; |
| --- | --- |

(c)

ensuring that data subjects are informed of their rights under this Regulation at their request;

| (d) | cooperating with Europol staff responsible for procedures, training and advice on data processing; |
| --- | --- |

(d)

cooperating with Europol staff responsible for procedures, training and advice on data processing;

| (e) | cooperating with the European Data Protection Supervisor
  , especially with regards to the processing operations referred to in Article 42
  ; [Am. 179] |
| --- | --- |

(e)

cooperating with the European Data Protection Supervisor
  , especially with regards to the processing operations referred to in Article 42
  ; [Am. 179]

| (f) | preparing an annual report and communicating that report to the Management Board and to the European Data Protection Supervisor; |
| --- | --- |

(f)

preparing an annual report and communicating that report to the Management Board and to the European Data Protection Supervisor;

| (fa) | acting as a contact point for access requests pursuant to Article 39; [Am. 180] |
| --- | --- |

(fa)

acting as a contact point for access requests pursuant to Article 39; [Am. 180]

| (fb) | keeping a register of all processing operations carried out by Europol, including, where relevant, information regarding the purpose, data categories, recipients, time limits for blocking and erasure, transfers to third countries or international organisations and security measures; [Am. 181] |
| --- | --- |

(fb)

keeping a register of all processing operations carried out by Europol, including, where relevant, information regarding the purpose, data categories, recipients, time limits for blocking and erasure, transfers to third countries or international organisations and security measures; [Am. 181]

| (fc) | keeping a register of incidents and security breaches affecting operational or administrative personal data. [Am. 182] |
| --- | --- |

(fc)

keeping a register of incidents and security breaches affecting operational or administrative personal data. [Am. 182]

8.   Moreover, the Data Protection Officer shall carry out the functions foreseen by Regulation (EC) No 45/2001 with regard to personal data of Europol staff members as well as administrative personal data. [Am. 183]

9.   In the performance of his/her tasks, the Data Protection Officer shall have access to all the data processed by Europol and to all Europol premises.
  Such access shall be possible at any time and without prior request
  . [Am. 184]

10.   If the Data Protection Officer considers that the provisions of this Regulation concerning the processing of personal data have not been complied with, he/she shall inform the Executive Director, requiring him/her to resolve the non-compliance within a specified time. If the Executive Director does not resolve the non-compliance of the processing within the time specified, the Data Protection Officer shall inform the Management Board and they shall agree a specified time for a response. If the Management Board does not resolve the non-compliance of the processing within the time specified, the Data Protection Officer shall refer the matter to the European Data Protection Supervisor.

11.   The Management Board shall adopt implementing rules concerning the Data Protection Officer. Those implementing rules shall in particular concern the selection procedure for the position of the Data Protection Officer and his/her dismissal, tasks, duties and powers and safeguards for independence of the Data Protection Officer. Europol shall provide the Data Protection Officer with the staff and resources necessary for him/her to carry out his/her duties. These staff members shall have access to the personal data processed at Europol and to Europol premises only to the extent necessary for the performance of their tasks.
  Such access shall be possible at any time and without prior request. [Am. 185]

11a.
     
  The Data Protection Officer shall be provided with the resources necessary for the performance of his/her tasks. [Am. 186]

Article 45

Supervision by the national supervisory authority

1.   Each Member State shall designate a national supervisory authority with the task of monitoring independently, in accordance with its national law, the permissibility of the transfer, the retrieval and any communication to Europol of personal data by the Member State concerned and to examine whether such transfer, retrieval or communication violates the rights of the data subject. For this purpose, the national supervisory authority shall have access, at the National Unit or at liaison officers’ premises, to data submitted by its Member State to Europol in accordance with the relevant national procedures.

2.   For the purpose of exercising their supervisory function, national supervisory authorities shall have access to the offices and documents of their respective liaison officers at Europol.

3.   National supervisory authorities shall, in accordance with the relevant national procedures, supervise the activities of National Units and the activities of liaison officers, in so far as such activities are of relevance to the protection of personal data. They shall also keep the European Data Protection Supervisor informed of any actions they take with respect to Europol.

4.   Any person shall have the right to request the national supervisory authority to verify that the transfer or communication to Europol of data concerning him/her in any form and the access to the data by the Member State concerned are lawful. This right shall be exercised in accordance with the national law of the Member State in which the request is made.

Article 46

Supervision by the European Data Protection Supervisor

1.   The European Data Protection Supervisor shall be responsible for monitoring and ensuring the application of the provisions of this Regulation relating to the protection of fundamental rights and freedoms of natural persons with regard to processing personal data by Europol, and for advising Europol and data subjects on all matters concerning the processing of personal data. To this end, he/she shall fulfil the duties set out in paragraph 2 and shall exercise the powers granted in paragraph 3.

2.   The European Data Protection Supervisor shall have the following duties under this Regulation:

| (a) | hear and investigate complaints, and inform the data subject of the outcome within a reasonable period; |
| --- | --- |

(a)

hear and investigate complaints, and inform the data subject of the outcome within a reasonable period;

| (b) | conduct inquiries either on his/her own initiative or on the basis of a complaint, and inform the data subjects of the outcome within a reasonable period

  without delay
  ; [Am. 187] |
| --- | --- |

(b)

conduct inquiries either on his/her own initiative or on the basis of a complaint, and inform the data subjects of the outcome within a reasonable period

  without delay
  ; [Am. 187]

| (c) | monitor and ensure the application of the provisions of this Regulation and any other Union act relating to the protection of natural persons with regard to the processing of personal data by Europol; |
| --- | --- |

(c)

monitor and ensure the application of the provisions of this Regulation and any other Union act relating to the protection of natural persons with regard to the processing of personal data by Europol;

| (d) | advise Europol, either on his/her own initiative or in response to a consultation, on all matters concerning the processing of personal data, in particular before they draw up internal rules relating to the protection of fundamental rights and freedoms with regard to the processing of personal data; |
| --- | --- |

(d)

advise Europol, either on his/her own initiative or in response to a consultation, on all matters concerning the processing of personal data, in particular before they draw up internal rules relating to the protection of fundamental rights and freedoms with regard to the processing of personal data;

| (e) | determine, give reasons for and make public the exemptions, safeguards, authorisations and conditions mentioned in Article 36(4). |
| --- | --- |

(e)

determine, give reasons for and make public the exemptions, safeguards, authorisations and conditions mentioned in Article 36(4).

| (f) | keep a register of processing operations notified to him/her by virtue of Article 42(1) and registered in accordance with 42(4), |
| --- | --- |

(f)

keep a register of processing operations notified to him/her by virtue of Article 42(1) and registered in accordance with 42(4),

| (g) | carry out a prior check of processing notified to him/her. |
| --- | --- |

(g)

carry out a prior check of processing notified to him/her.

3.   The European Data Protection Supervisor may under this Regulation:

| (a) | give advice to data subjects in the exercise of their rights; |
| --- | --- |

(a)

give advice to data subjects in the exercise of their rights;

| (b) | refer the matter to Europol in the event of an alleged breach of the provisions governing the processing of personal data, and, where appropriate, make proposals for remedying that breach and for improving the protection of the data subjects; |
| --- | --- |

(b)

refer the matter to Europol in the event of an alleged breach of the provisions governing the processing of personal data, and, where appropriate, make proposals for remedying that breach and for improving the protection of the data subjects;

| (c) | order that requests to exercise certain rights in relation to data be complied with where such requests have been refused in breach of Articles 39 and 40; |
| --- | --- |

(c)

order that requests to exercise certain rights in relation to data be complied with where such requests have been refused in breach of Articles 39 and 40;

| (d) | warn or admonish Europol; |
| --- | --- |

(d)

warn or admonish Europol;

| (e) | order the rectification, blocking, erasure or destruction of all data when they

  that
  have been processed in breach of the provisions governing the processing of personal data and the notification of such actions to third parties to whom the data have been disclosed; [Am. not concerning all languages] |
| --- | --- |

(e)

order the rectification, blocking, erasure or destruction of all data when they

  that
  have been processed in breach of the provisions governing the processing of personal data and the notification of such actions to third parties to whom the data have been disclosed; [Am. not concerning all languages]

| (f) | impose

  propose to the Management Board that
  a temporary or definitive
  partial or total
  ban
  be imposed
  on processing; [Am. 189] |
| --- | --- |

(f)

impose

  propose to the Management Board that
  a temporary or definitive
  partial or total
  ban
  be imposed
  on processing; [Am. 189]

| (g) | refer the matter to Europol and, if necessary, to the European Parliament, the Council and the Commission; |
| --- | --- |

(g)

refer the matter to Europol and, if necessary, to the European Parliament, the Council and the Commission;

| (h) | refer the matter to the Court of Justice of the European Union under the conditions provided for in the Treaty; |
| --- | --- |

(h)

refer the matter to the Court of Justice of the European Union under the conditions provided for in the Treaty;

| (i) | intervene in actions brought before the Court of Justice of the European Union. |
| --- | --- |

(i)

intervene in actions brought before the Court of Justice of the European Union.

4.   The European Data Protection Supervisor shall have the power:

| (a) | to obtain from Europol access to all personal data and to all information necessary for his/her enquiries; |
| --- | --- |

(a)

to obtain from Europol access to all personal data and to all information necessary for his/her enquiries;

| (b) | to obtain access to any premises in which Europol carries on its activities when there are reasonable grounds for presuming that an activity covered by this Regulation is being carried out there. |
| --- | --- |

(b)

to obtain access to any premises in which Europol carries on its activities when there are reasonable grounds for presuming that an activity covered by this Regulation is being carried out there.

5.   The European Data Protection Supervisor shall draw up an annual report on the supervisory activities on Europol. This report shall be part of the annual report of the European Data Protection Supervisor referred to in Article 48 of Regulation (EC) No 45/2001.

This report shall include statistical information regarding complaints, inquiries, investigations, the processing of sensitive information, transfers of personal data to third countries and international organisations, prior checking and notifications, and the use of the powers referred to in paragraph 3.

This report shall be forwarded and presented to the Joint Parliamentary Scrutiny Group, and shall be forwarded to the Council, the Commission and national parliaments. On the basis of this report, the European Parliament and the Council may request the European Data Protection Supervisor to undertake additional action to ensure the application of the provisions of this Regulation. [Am. 190]

6.   Members and staff of the European Data Protection Supervisor shall be bound by the obligation of confidentiality in accordance with Article 69.

Article 47

Cooperation between the European Data Protection Supervisor and national data protection authorities

1.   The European Data Protection Supervisor shall act in close cooperation with national supervisory authorities on specific issues requiring national involvement, in particular if the European Data Protection Supervisor or a national supervisory authority finds major discrepancies between the practices of Member States or potentially unlawful transfer in the use of Europol’s channels for exchange of information, or in the context of questions raised by one or more national supervisory authorities on the implementation and interpretation of this Regulation.

2.   In the cases referred to in paragraph 1,

  The European Data Protection Supervisor shall, where relevant, use the expertise and experience of national data protection authorities in carrying out his duties set out in Article 46(2). In carrying out activities in cooperation with the European Data Protection Supervisor, members and staff of national data protection authorities shall, taken due account of the principle of subsidiarity and proportionality, have equivalent powers as those laid down in Article 46(4) and be bound by an equivalent obligation as that laid down in Article 46(6).
  The European Data Protection Supervisor and the national supervisory authorities shall, each acting within the scope of their respective competences, exchange relevant information, assist each other in carrying out audits and inspections, examine difficulties of interpretation or application of this Regulation, study problems relating to the exercise of independent supervision or the exercise of the rights of data subjects, draw up harmonised proposals for joint solutions to any problems and promote awareness of data protection rights, as necessary. [Am. 191]

2a.
     
  The European Data Protection Supervisor shall keep national supervisory authorities fully informed of all issues relevant for them. [Am. 192]

2b.
     
  In cases where specific issues concern data originating from one or several Member States, the European Data Protection Supervisor shall consult the concerned and competent national supervisory authorities. The European Data Protection Supervisor shall not decide on further action to be taken before the concerned and competent national supervisory authorities have informed the European Data Protection Supervisor of their position, within a deadline specified by the EDPS which shall not be shorter than two months. The EDPS shall take utmost account of the position of the concerned and competent national supervisory authorities. In cases where the EDPS intends not to follow their position, he shall inform them and provide a justification. In cases which the EDPS deems to be extremely urgent, he may decide to take immediate action. In such cases, the EDPS shall immediately inform the concerned and competent national supervisory authorities and justify the urgent nature of the situation as well as the action he has taken. [Am. 193]

2c.
     
  The European Data Protection Supervisor shall consult the concerned and competent national supervisory authorities before taking any of the actions stipulated Article 46(3), points (e) to (h). The EDPS shall take utmost account of the position of the concerned and competent national supervisory authorities communicated within a deadline specified by him and which shall not be shorter than two months. If the EDPS intends not to follow the positions of national supervisory authorities, he shall inform them and provide a justification. In cases which the EDPS deems to be extremely urgent, he may decide to take immediate action. In such cases, the EDPS shall immediately inform the concerned and competent national supervisory authorities and justify the urgent nature of the situation as well as the action he has taken. The European Data Protection Supervisor shall refrain from taking action if all national supervisory authorities informed the European Data Protection Supervisor of their negative position. [Am. 194]

3.   The
  heads of the
  national supervisory authorities and the European Data Protection Supervisor shall meet, where needed

  at least once per year to discuss strategic and general policy issues or other issues referred to in paragraphs 1 and 2
  . The costs and servicing of such meetings shall be borne by the European Data Protection Supervisor. Rules of procedure shall be adopted at the first meeting. Further working methods shall be developed jointly as necessary. [Am. 195]

Article 48

Administrative personal data and Staff data
  [Am. 196]

Regulation (EC) No 45/2001 shall apply to all personal data of Europol staff members as well as administrative personal data held by Europol. [Am. 197]

Chapter VIII

REMEDIES AND LIABILITY

Article 49

Right to lodge a complaint with the European Data Protection Supervisor

1.   Any data subject shall have the right to lodge a complaint with the European Data Protection Supervisor, if he/she considers that the processing of personal data relating to him/her does not comply with the provisions of this Regulation.

2.   Where a complaint relates to a decision as referred to in Article 39 or 40, the European Data Protection Supervisor shall consult the national supervisory bodies or the competent judicial body in the Member State
  (s)
  that was the source of the data or the Member State
  (s)
  directly concerned. The decision of the European Data Protection Supervisor, which may extend to a refusal to communicate any information, shall be taken in close cooperation with the national supervisory body or competent judicial body.
  [Am. 198]

3.   Where a complaint relates to the processing of data provided by a Member State to Europol, the European Data Protection Supervisor shall ensure that the necessary checks have been carried out correctly, in close cooperation with the national supervisory body of the Member State that provided the data
  , shall ensure that the data processing in the Member State concerned was lawful and that the necessary checks have been carried out correctly
  . [Am. 199]

4.   Where a complaint relates to the processing of data provided to Europol by EU entities, third countries or international organisations, the European Data Protection Supervisor shall ensure that Europol has carried out the necessary checks.

Article 50

Right to a judicial remedy against the European Data Protection Supervisor

Actions against the decisions of the European Data Protection Supervisor shall be brought before the Court of Justice of the European Union.

Article 51

General provisions on liability and the right to compensation

1.   Europol’s contractual liability shall be governed by the law applicable to the contract in question.

2.   The Court of Justice of the European Union shall have jurisdiction to give judgment pursuant to any arbitration clause in a contract concluded by Europol.

3.   Without prejudice to Article 52, in the case of non-contractual liability, Europol shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its departments or by its staff in the performance of their duties.

4.   The Court of Justice of the European Union shall have jurisdiction in disputes over compensation for damages referred to in paragraph 3.

5.   The personal liability of Europol staff towards Europol shall be governed by the provisions laid down in the Staff Regulations or Conditions of Employment applicable to them.

Article 52

Liability for incorrect personal data processing and the right to compensation

1.   Any individual who has suffered damage as a result of an unlawful data processing operation shall have the right to receive compensation for damage suffered either from Europol in accordance with Article 340 TFEU, or from the Member State in which the event that gave rise to the damage occurred, in accordance with its national law. The individual shall bring an action against Europol to the Court of Justice of the European Union or against the Member State to a competent national court of this Member State.

2.   Any dispute between Europol and Member States over the ultimate responsibility for compensation awarded to an individual in accordance with paragraph 1 shall be referred to the Management Board, which shall decide by a majority of two-third of its members, without prejudice of the right to challenge this decision in accordance with article 263 TFEU.

Chapter IX

PARLIAMENTARY SCRUTINY

Article 53

Joint
  Parliamentary scrutiny

1.
     
  The mechanism for the control of Europol's activities by the European Parliament, together with national parliaments, shall take the form of a specialised Joint Parliamentary Scrutiny Group, to be established within the competent committee of the European Parliament, comprising the full members of the competent committee of the European Parliament and one representative of the competent committee of the national parliament for each Member State and a substitute. Member States with bicameral parliamentary systems may instead be represented by a representative from each chamber.

2.
     
  The Joint Parliamentary Scrutiny Group meetings shall always be convened in the European Parliament premises by the Chair of the European Parliament's competent committee. The meetings shall be co-chaired by the Chair of the competent committee of the European Parliament and the representative from the national Parliament of the Member State holding the rotating Council Presidency.

3.
     
  The Joint Parliamentary Scrutiny Group shall monitor the application of the provisions of this Regulation, in particular in relation to their impact on the fundamental rights and freedoms of natural persons.

4.
     
  To this end, the Joint Parliamentary Scrutiny Group shall have the following duties:

1.   
  (a)

  The

  the
  Chairperson of the Management Board and, the Executive Director
  and a representative of the Commission
  shall appear before the European Parliament, jointly with national Parliaments,

  the Joint Parliamentary Scrutiny Group
  at their

  its
  request to discuss matters relating to Europol, taking into account,
  if appropriate
  , the obligations of discretion and confidentiality.
  The Group may decide to invite to its meetings other relevant persons, if appropriate;

2.   Parliamentary scrutiny by the European Parliament, together with national Parliaments, of Europol’s activities shall be exercised in accordance with this Regulation.

| (b) | the European Data Protection Supervisor shall appear before the Joint Parliamentary Scrutiny Group at its request and at least once per year to discuss matters relating to the protection of fundamental rights and freedoms of natural persons, and in particular the protection of personal data, with regard to Europol's operations, taking into account, if appropriate, the obligations of discretion and confidentiality. |
| --- | --- |

(b)

the European Data Protection Supervisor shall appear before the Joint Parliamentary Scrutiny Group at its request and at least once per year to discuss matters relating to the protection of fundamental rights and freedoms of natural persons, and in particular the protection of personal data, with regard to Europol's operations, taking into account, if appropriate, the obligations of discretion and confidentiality.

The following documents shall be presented and debated in the Joint Parliamentary Scrutiny Group meetings:

| — | the draft annual and multiannual work programmes, referred to in Article 15; |
| --- | --- |

—

the draft annual and multiannual work programmes, referred to in Article 15;

| — | the consolidated annual activity report on Europol’s activities, referred to in Article 14; |
| --- | --- |

—

the consolidated annual activity report on Europol’s activities, referred to in Article 14;

| — | the annual report of the European Data Protection Supervisor on the supervisory activities of Europol, referred to in Article 46; |
| --- | --- |

—

the annual report of the European Data Protection Supervisor on the supervisory activities of Europol, referred to in Article 46;

| — | the evaluation report drawn up by the Commission to review the effectiveness and efficiency of Europol, referred to in Article 70. |
| --- | --- |

—

the evaluation report drawn up by the Commission to review the effectiveness and efficiency of Europol, referred to in Article 70.

The following persons shall appear before the Joint Parliamentary Scrutiny Group at its request:

| — | the selected candidates for the posts of Executive Director, referred to in Article 56(2); |
| --- | --- |

—

the selected candidates for the posts of Executive Director, referred to in Article 56(2);

| — | the Executive Director, whose term of office is intended to be extended, as provided for in Article 56(5); |
| --- | --- |

—

the Executive Director, whose term of office is intended to be extended, as provided for in Article 56(5);

| — | the Executive Director, in order to report on the performance of their duties. |
| --- | --- |

—

the Executive Director, in order to report on the performance of their duties.

The Chairperson of the Management Board shall inform the Joint Parliamentary Scrutiny Group before removing the Executive Director from office, as well as to the reasons or grounds for such decision.

3.

  5.
     In addition to the obligations of information and consultation set out in this Regulation, Europol shall transmit to the European Parliament and to the national parliaments

  Joint Parliamentary Scrutiny Group
  , taking into account
  , if appropriate,
  the obligations of discretion and confidentiality, for information:

| (a) | threat assessments, strategic analyses and general situation reports relating to Europol’s objective as well as the results of studies and evaluations commissioned by Europol; |
| --- | --- |

(a)

threat assessments, strategic analyses and general situation reports relating to Europol’s objective as well as the results of studies and evaluations commissioned by Europol;

| (b) | the working arrangements adopted pursuant to Article 31(1). |
| --- | --- |

(b)

the working arrangements adopted pursuant to Article 31(1).

6.
     
  The Joint Parliamentary Scrutiny Group may request any relevant document necessary for the fulfilment of its tasks, subject to Regulation (EC) No 1049/2001 of the European Parliament and of the Council

   (16)

  as well as rules governing the treatment of confidential information by the European Parliament.

7.
     
  The Joint Parliamentary Scrutiny Group may draw up summary conclusions on the supervisory activities on Europol to the European Parliament. [Am. 200]

Article 54

Access of the European Parliament to Classified Information processed by or through Europol

1.   For the purpose of enabling it to exercise parliamentary scrutiny of Europol’s activities in accordance with Article 53, access to European Union Classified Information and sensitive non-classified information processed by or through Europol may

  shall
  be granted to the European Parliament

  Joint Parliamentary Scrutiny Group
  and its representatives upon request
  and where relevant, after the consent of the data provider
  .

2.   
  Given the sensitive and classified nature of this information,
  access to European Union Classified Information and sensitive non-classified information shall be in compliance with the basic principles and minimum standards as referred to in Article 69. The

  rules governing the treatment of confidential information by the European Parliament

   (17)

  . Further
  details shall

  may
  be governed by a working arrangement concluded between Europol and the European Parliament. [Am. 201]

Chapter X

STAFF

Article 55

General provisions

1.   The Staff Regulations and the Conditions of Employment of Other Servants and the rules adopted by agreement between the institutions of the Union for giving effect to those Staff Regulations and the conditions of Employment of other Servants shall apply to the staff of Europol with the exception of staff who at the date of application of this Regulation are under contracts concluded by Europol as established by the Europol Convention.

2.   Europol staff shall consist of temporary staff and/or contract staff. The Management Board shall decide which temporary posts provided for in the establishment plan can be filled only by staff engaged from the competent authorities of the Member States. Staff recruited to occupy such posts shall be temporary agents and may be awarded only fixed-term contracts renewable once for a fixed period.

2a.
     
  The appointing authority shall make full use of the possibilities given by the Staff Regulation and provide specialised staff such as IT-experts with a higher function group and grade according to their qualification to fulfil the tasks of the Agency pursuant to Article 4 in an ideal manner. [Am. 202]

Article 56

Executive Director

1.   The Executive Director shall be engaged as a temporary agent of Europol under Article 2(a) of the Conditions of Employment of Other servants.

2.   The Executive Director shall be appointed by the Management Board, from a list of

  in accordance with a cooperation procedure, which shall be as follows:

| (a) | on the basis of a list of at least three
  candidates proposed by
  a committee composed of
  the Commission
  representative on the Management Board and two other members of the Management Board,
  following an open and transparent selection procedure
  , the applicants will be asked, before appointment, to address the Council and the Joint Parliamentary Scrutiny Group and, to reply to questions; |
| --- | --- |

(a)

on the basis of a list of at least three
  candidates proposed by
  a committee composed of
  the Commission
  representative on the Management Board and two other members of the Management Board,
  following an open and transparent selection procedure
  , the applicants will be asked, before appointment, to address the Council and the Joint Parliamentary Scrutiny Group and, to reply to questions;

| (b) | the Joint Parliamentary Scrutiny Group and the Council will then give their opinions and state their orders of preference; |
| --- | --- |

(b)

the Joint Parliamentary Scrutiny Group and the Council will then give their opinions and state their orders of preference;

| (c) | the Management Board will appoint the Executive Director taking these opinions into account. |
| --- | --- |

(c)

the Management Board will appoint the Executive Director taking these opinions into account.

For the purpose of concluding the contract with the Executive Director, Europol shall be represented by the Chairperson of the Management Board.

Before appointment, the candidate selected by the Management Board may be invited to make a statement before the competent committee of the European Parliament and to answer questions put by its members.
  [Am. 203]

3.   The term of office of the Executive Director shall be five years. By the end of that period, the Commission shall undertake an assessment that takes into account an evaluation of the Executive Director’s performance and Europol’s future tasks and challenges.

4.   The Management Board,
  after seeking the opinion of the Joint Parliamentary Scrutiny Group and
  acting on a proposal from the Commission that takes into account the assessment referred to in paragraph 3, may extend the term of office of the Executive Director once, for no more than five years. [Am. 204]

5.   The Management Board shall inform the European Parliament if it intends to extend the Executive Director’s term of office. Within the month before any such extension, the Executive Director may

  shall
  be invited to make a statement before the competent committee of the Parliament

  Joint Parliamentary Scrutiny Group
  and answer questions put by its members. [Am. 205]

6.   An Executive Director whose term of office has been extended may not participate in another selection procedure for the same post at the end of the overall period.

7.   The Executive Director may be removed from office only upon a decision of the Management Board acting on a proposal from the Commission

  , explained to the Joint Parliamentary Scrutiny Group and the Council
  . [Am. 206]

8.   The Management Board shall reach decisions on appointment, extension of the term of office and removal from office of the Executive Director and/or Deputy Executive Director(s) on the basis of a two-thirds majority of its members with voting rights.

Article 57

Deputy Executive Directors

1.   Four

  Three
  Deputy Executive Directors, including one responsible for training, shall assist the Executive Director. The Deputy Executive Director for Training shall be responsible for managing the Europol Academy and its activities. The Executive Director shall define the tasks of the others. [Am. 207]

2.   Article 56 shall apply to the Deputy Executive Directors. The Executive Director shall be consulted prior to their appointment or removal from office.

Article 58

Seconded national experts and other staff

1.   Europol may make use of seconded national experts or other staff not employed by the agency.

2.   The Management Board shall adopt a decision laying down rules on the secondment of national experts to Europol.

Chapter XI

FINANCIAL PROVISIONS

Article 59

Budget

1.   Estimates of all revenue and expenditure for Europol shall be prepared each financial year, corresponding to the calendar year, and shall be shown in Europol’s budget.

2.   Europol’s budget shall be balanced in terms of revenue and of expenditure.

3.   Without prejudice to other resources, Europol’s revenue shall comprise a contribution from the Union entered in the general budget of the European Union.

4.   Europol may benefit from Union funding in the form of delegation agreements or ad-hoc and exceptional grants in accordance with the provisions of the relevant instruments supporting the policies of the Union.

5.   The expenditure of Europol shall include staff remuneration, administrative and infrastructure expenses, and operating costs.

Article 60

Establishment of the budget

1.   Each year the Executive Director shall draw up a draft statement of estimates of Europol’s revenue and expenditure for the following financial year, including the establishment plan, and send it to the Management Board.

2.   The Management Board shall, on the basis of that draft, produce a provisional draft estimate of Europol’s revenue and expenditure for the following financial year. The provisional draft estimate of Europol’s revenue and expenditure shall be sent to the Commission each year by [date set out in the framework Financial Regulation]. The Management Board shall send
  and submit
  a final draft estimate, which shall include a draft establishment plan, to the
  Joint Parliamentary Scrutiny Group, the
  Commission, the European Parliament and the Council
  and the national parliaments
  by 31 March. [Am. 208]

3.   The Commission shall send the statement of estimates to the European Parliament and the Council (the budgetary authority) together with the draft general budget of the European Union.

4.   On the basis of the statement of estimates, the Commission shall enter in the draft general budget of the European Union the estimates it considers necessary for the establishment plan and the amount of the contribution to be charged to the general budget, which it shall place before the budgetary authority in accordance with Articles 313 and 314 TFEU.

5.   The budgetary authority shall authorise the appropriations for Europol’s contribution.

6.   The budgetary authority shall adopt Europol’s establishment plan.

7.   Europol’s budget shall be adopted by the Management Board. It shall become final following final adoption of the general budget of the Union. Where necessary, it shall be adjusted accordingly.

8.   For any project, in particular building projects, likely to have significant implications for the budget, the provisions of [the framework Financial Regulation] shall apply. .

Article 61

Implementation of the budget

1.   The Executive Director shall implement Europol’s budget.

2.   Each year the Executive Director shall send to the budgetary authority all information relevant to the findings of evaluation procedures.

Article 62

Presentation of accounts and discharge

1.   By 1 March following each financial year, Europol’s accounting officer shall communicate the provisional accounts to the Commission’s Accounting Officer and to the Court of Auditors.

2.   Europol shall send the report on the budgetary and financial management to the European Parliament,

  and submit it to the Joint Parliamentary Scrutiny Group,
  the Council and the Court of Auditors by 31 March of the following financial year. [Am. 209]

3.   By 31 March following each financial year, the Commission’s accounting officer shall send Europol’s provisional accounts consolidated with the Commission’s accounts to the Court of Auditors.

4.   On receipt of the Court of Auditors’ observations on Europol’s provisional accounts pursuant to Article 148 of the Financial Regulation, the accounting officer shall draw up Europol’s final accounts. The Executive Director shall submit them to the Management Board for an opinion.

5.   The Management Board shall deliver an opinion on Europol’s final accounts.

6.   The Executive Director shall, by 1 July following each financial year, send
  and submit
  the final accounts to the European Parliament

  Joint Parliamentary Scrutiny Group
  , the Council, the Commission, the Court of Auditors and national Parliaments

  parliaments
  , together with the Management Board’s opinion. [Am. 210]

7.   The final accounts shall be published.

8.   The Executive Director shall send the Court of Auditors a reply to the observations made in its annual report by [date set out in the framework Financial Regulation]. He/she shall also send the reply to the Management Board.

9.   The Executive Director shall submit to the European Parliament, at the latter’s request, any information required for the smooth application of the discharge procedure for the financial year in question, as laid down in Article 165(3) of the Financial Regulation.

10.   On a recommendation from the Council acting by a qualified majority, the European Parliament shall, before 15 May of year N + 2, give a discharge to the Executive Director in respect of the implementation of the budget for year N.

Article 63

Financial rules

1.   The financial rules applicable to Europol shall be adopted by the Management Board after consultation with the Commission. They shall not depart from [the framework Financial Regulation] unless such a departure is specifically required for Europol's operation and the Commission has given its prior consent.
  The European Parliament shall be notified of any such departure. [Am. 211]

2.   Because of the specificity of the Members of the Network of National Training Institutes which are the only bodies with specific characteristics and technical competences to perform relevant training activities, these members may receive grants without a call for proposals in accordance with Article 190(1)(d) of the Commission Delegated Regulation (EU) No 1268/2012.

   (18)

  [Am. 212]

Chapter XII

MISCALLANEOUS PROVISIONS

Article 64

Legal status

1.   Europol shall be a body of the Union. It shall have legal personality.

2.   In each of the Member States Europol shall enjoy the most extensive legal capacity accorded to legal persons under their laws. Europol may, in particular, acquire and dispose of movable and immovable property and be a party to legal proceedings.

3.   The seat of Europol shall be The Hague, in the Netherlands.

Article 65

Privileges and immunity

1.   The Protocol on the Privileges and Immunities of the European Union shall apply to Europol and its staff.

2.   Privileges and immunities of liaison officers and members of their families shall be subject to an agreement between the Kingdom of Netherlands and the other Member States. That agreement shall provide for such privileges and immunities as are necessary for the proper performance of the tasks of liaison officers.

Article 66

Language arrangements

1.   The provisions laid down in Regulation No 1 (19) shall apply to Europol.

2.   The translation services required for the functioning of Europol shall be provided by the Translation Centre of the bodies of the European Union.

Article 67

Transparency

1.   Regulation (EC) No 1049/2001 shall apply to
  all administrative
  documents held by Europol. [Am. 213]

2.   On the basis of a proposal by the Executive Director, and by six months after the entry into force of this Regulation at the latest, the Management Board shall adopt the detailed rules for applying Regulation (EC) No 1049/2001 with regard to Europol documents.

3.   Decisions taken by Europol under Article 8 of Regulation (EC) No 1049/2001 may form the subject of a complaint to the Ombudsman or of an action before the Court of Justice of the European Union, under the conditions laid down in Articles 228 and 263 TFEU.

3a.
     
  Europol shall publish on its website a list of its Management Board members and external and in-house experts, together with their respective declarations of interests and curricula vitae. The minutes of the meetings of the Management Board shall be systematically published. Europol may temporary or permanently restrict the publication of documents if it risks jeopardising the performance of Europol's tasks, taking into account its obligations of discretion and confidentiality. [Am. 214]

Article 67a

Prior notification and red-flag-mechanism

The Commission shall activate a warning system if it has serious concerns that the Management Board may be about to take decisions which would not comply with Europol's mandate, would breach Union law or would be in contradiction with Union policy objectives. In such cases, the Commission shall raise the matter formally with the Management Board and ask it to refrain from adopting the relevant decision. Should the Management Board refuse to comply with the request, the Commission shall formally inform the European Parliament and the Council thereof, with a view to a swift response. The Commission may ask the Management Board to refrain from implementing the contentious decision for as long as the representatives of the institutions are still discussing the issue. [Am. 215]

Article 68

Combating fraud

1.   In order to facilitate combating fraud, corruption and other unlawful activities under Regulation (EC) No 1073/1999, within six months from the day Europol becomes operational, it shall accede to the Interinstitutional Agreement of 25 May 1999 concerning internal investigations by the European Anti-Fraud Office (OLAF) (20) and adopt appropriate provisions applicable to all employees of Europol using the template set out in the Annex to that agreement.

2.   The European Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds from Europol.

3.   OLAF may carry out investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant or a contract funded by Europol, in accordance with the provisions and procedures laid down in Regulation (EC) No 1073/1999 and Council Regulation (Euratom, EC) No 2185/96 (21).

4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, contracts, grant agreements and grant decisions of Europol shall contain provisions expressly empowering the European Court of Auditors and OLAF to conduct such audits and investigations, according to their respective competences.

Article 69

Security rules on the protection of classified information

Europol shall establish its own rules on the obligations of discretion and confidentiality, and on the protection of European Union classified information and sensitive non-classified information, taking into account the basic principles and minimum standards of Decision 2011/292/EU. This shall cover, inter alia, provisions for the exchange, processing and storage of such information.

Article 70

Evaluation and review

1.   No later than five years after [the date of application of this Regulation,] and every five years thereafter, the Commission shall commission an evaluation to assess particularly the impact, effectiveness and efficiency of Europol and its working practices
  as well as the functioning of the mechanisms for control of Europol's activities by the European Parliament together with national parliaments
  . The evaluation shall, in particular, address the possible need to modify the objectives of Europol, and the financial implications of any such modification. [Am. 216]

2.   The Commission shall forward
  and submit
  the evaluation report together with its conclusions on the report
  , if appropriate accompanied by a proposal to amend this Regulation,
  to the European Parliament,

  Joint Parliamentary Scrutiny Group,
  the Council, the national parliaments and the Management Board.
  In addition, the Commission shall provide the European Parliament, the Council and the national parliaments with any other information on the evaluation if requested. [Am. 217]

3.   On the occasion of every second evaluation, the Commission shall also assess the results achieved by Europol having regard to its objective, mandate and tasks. If the Commission considers that the continuation of Europol is no longer justified with regard to its assigned objectives and tasks, it may propose that this Regulation be amended accordingly or repealed
  under the ordinary legislative procedure
  . [Am. 218]

Article 71

Administrative inquiries

The activities of Europol shall be subject to the controls of the European Ombudsman in accordance with Article 228 TFEU.

Article 72

Headquarter

1.   The necessary arrangements concerning the accommodation to be provided for Europol in the host Member State and the facilities to be made available by that Member State together with the specific rules applicable in the host Member State to the Executive Director, members of the Management Board, Europol’s staff and members of their families shall be laid down in a Headquarters Agreement between Europol and Member State where the seat is located, concluded after obtaining the approval of the Management Board and no later than [2 years after the entry into force of this Regulation].

2.   Europol’s host Member State shall provide the best possible conditions to ensure the functioning of Europol, including multilingual, European-oriented schooling and appropriate transport connections.

Chapter XIII

TRANSITIONAL PROVISIONS

Article 73

General legal succession

1.   Europol, as established by this Regulation, shall be the general legal successor in respect of all contracts concluded by, liabilities incumbent on, and properties acquired by Europol, as established by Decision 2009/371/JHA and CEPOL, as established under Decision 2005/681/JHA. [Am. 219]

2.   This Regulation shall not affect the legal force of agreements concluded by Europol as established by Decision 2009/371/JHA before the date of entry into force of this Regulation.

3.   This Regulation shall not affect the legal force of agreements concluded by CEPOL as established by Decision 2005/681/JHA before the date of entry into force of this Regulation.
  [Am. 220]

4.   By way of derogation from paragraph 3, the Headquarters Agreement concluded on the basis of the Decision 2005/681/JHA shall be terminated from the date of entry into application of this Regulation.
  [Am. 221]

Article 74

Transitional arrangements concerning the Management Board

1.   The term of office of the members of the Governing Board of CEPOL as established on the basis of Article 10 of Decision 2005/681/JHA shall terminate on [date of entry into force of this Regulation].
  [Am. 222]

2.   The term of office of the members of the Management Board of Europol as established on the basis of Article 37 of Decision 2009/371/JHA shall terminate on [date of entry into application of this Regulation].

3.   The Management Board as established on the basis of Article 37 of Decision 2009/371/JHA shall within the period between the date of entry into force and the date of entry into application:

| (a) | exercise the functions of the Management Board as referred to in Article 14 of this Regulation; |
| --- | --- |

(a)

exercise the functions of the Management Board as referred to in Article 14 of this Regulation;

| (b) | prepare the adoption of the rules on the obligations of confidentiality and discretion, and the protection of EU classified information referred to in Article 69 of this Regulation; |
| --- | --- |

(b)

prepare the adoption of the rules on the obligations of confidentiality and discretion, and the protection of EU classified information referred to in Article 69 of this Regulation;

| (c) | prepare any instrument necessary for the application of this Regulation; and |
| --- | --- |

(c)

prepare any instrument necessary for the application of this Regulation; and

| (d) | revise the non-legislative measures implementing Decision 2009/371/JHA so as to allow the Management Board established pursuant Article 13 of this Regulation to take a decision pursuant to Article 78(2). |
| --- | --- |

(d)

revise the non-legislative measures implementing Decision 2009/371/JHA so as to allow the Management Board established pursuant Article 13 of this Regulation to take a decision pursuant to Article 78(2).

4.   The Commission shall take the measures necessary without delay after the entry into force of this Regulation to ensure that the Management Board established in accordance with Article 13 starts its work at the [date of entry into application of the Regulation];

5.   By 6 months from the date of entry into force of this Regulation at the latest the Member States shall notify the Commission of the names of the persons whom they have appointed as member and alternate member of the Management Board, in accordance with Article 13.

6.   The Management Board established pursuant to Article 13 of this Regulation shall hold its first meeting on [the date of entry into application of this Regulation]. On that occasion it shall, if necessary, take a decision as referred to in Article 78(2).

6a.
     
  The Management Board shall formulate detailed provisions governing the procedure provided for in Article 67a and submit them to the Commission for approval. [Am. 223]

Article 75

Transitional arrangements concerning the Executive Directors and the Deputy Directors

1.   The Executive Director appointed on the basis of Article 38 of Decision 2009/371/JHA shall, for the remaining periods of his/her term of office, be assigned to the responsibilities of the Executive Director as provided for in Article 19 of this Regulation. The other conditions of his/her contract remain unchanged. If the term of office ends after [the date of entry of this Regulation] but before [the date of application of this Regulation], it shall be extended automatically until one year after the date of application of this Regulation.

2.   Should the Executive Director be unwilling or unable to act in accordance with paragraph 1, the Commission shall designate a Commission official to act as interim Executive Director and exercise the duties assigned to the Executive Director for a period not exceeding 18 months, pending the appointments provided for in Article 56.

3.   Paragraphs 1 and 2 shall apply to the Deputy Directors appointed on the basis of Article 38 of Decision 2009/371/JHA.

4.   The Executive Director of CEPOL appointed on the basis of Article 11(1) of Decision 2005/681/JHA shall, for the remaining periods of his/her term of office, be assigned to the functions of the Deputy Executive Director of training of Europol. The other conditions of his/her contract remain unchanged. If the term of office ends after [the date of entry into force of this Regulation] but before [the date of application of this Regulation], he/she shall be extended automatically until one year after the date of application of this Regulation.
  [Am. 224]

Article 76

Transitional budgetary provisions

1.   For each of the three budgetary years following the entry into force of this Regulation, at least EUR 8 million of the operational expenses of Europol shall be reserved for training, as described in Chapter III.
  [Am. 225]

2.   The discharge procedure in respect of the budgets approved on the basis of Article 42 of Decision 2009/371/JHA shall be carried out in accordance with the rules established by Article 43 of Decision 2009/371/JHA and the financial rules of Europol.

Chapter XIV

FINAL PROVISIONS

Article 77

Replacement

This Regulation replaces and repeals Decision 2009/371/JHA and Decision 2005/681/JHA.

References to the replaced Decisions

  Decision
  shall be construed as references to this Regulation. [Am. 226]

Article 78

Repeal

1.   All legislative measures implementing the Decisions

  Decision
  2009/371/JHA and Decision 2005/681/JHA are repealed with effect from the date of application of this Regulation.

2.   All non-legislative measures implementing Decision 2009/371/JHA which sets up the European Police Office (Europol) and Decision 2005/681/JHA which sets up CEPOL shall remain in force following the [date of application of this Regulation], unless otherwise decided by the Management Board of Europol in the implementation of this Regulation. [Am. 227]

Article 79

Entry into force and application

1.   This Regulation shall enter into force on the 20th day following that of its publication in the Official Journal of the European Union.

2.   It shall apply from [date of application].

However, Articles 73, 74 and 75 shall apply from [the date of entry into force of this Regulation].

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  Position of the European Parliament of 25 February 2014.

1

(2)  Council Decision 2009/371/JHA of 6 April 2009 establishing the European Police Office (Europol) (OJ L 121, 15.5.2009, p. 37).

2

(3)  OJ C 316, 27.11.1995, p. 1.

3

(4)  
  OJ L 256, 1.10.2005, p. 63.

4

OJ L 256, 1.10.2005, p. 63.

(5)  OJ C 115, 4.5.2010, p. 1.

5

(*1)  Proposal COM(2013)0048.

*1

(6)  
  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (

  OJ L 8, 12.1.2001, p. 1).

6

Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (

(7)  Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data, Strasbourg, 28.1.1981.

7

(8)  Council of Europe Committee of Ministers Recommendation No. R(87) 15 to the Member States on regulating the use of personal data in the police sector, 17.9.1987.

8

(9)  
  Council Framework Decision 2008/977/JHA of 27 November 2008 on the protection of personal data processed in the framework of police and judicial cooperation in criminal matters (

  OJ L 350, 30.12.2008, p. 60).

9

Council Framework Decision 2008/977/JHA of 27 November 2008 on the protection of personal data processed in the framework of police and judicial cooperation in criminal matters (

(10)  Regulation (EEC, Euratom, ECSC) No 259/68 of the Council of 29 February 1968 laying down the Staff Regulations of Officials and the Conditions of Employment of Other Servants of the European Communities and instituting special measures temporarily applicable to officials of the Commission (OJ L 56, 4.3.1968, p. 1).

10

(11)  Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1).

11

(12)  Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF) (OJ L 136, 31.5.1999, p. 1).

12

(13)  Council Decision 2011/292/EU of 31 March 2011 on the security rules for protecting EU classified information (OJ L 141, 27.5.2011, p. 17).

13

(14)  Council Decision 2005/511/JHA of 12 July 2005 on protecting the euro against counterfeiting, by designating Europol as the Central Office for combating euro counterfeiting (OJ L 185, 16.7.2005, p. 35).

14

(15)  
  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).

15

Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).

(16)  
  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 (OJ L 145, 31.5.2001, p. 43).

16

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 (OJ L 145, 31.5.2001, p. 43).

(17)  
  As laid down in the Decision of the Bureau of the European Parliament of 15 April 2013.

17

As laid down in the Decision of the Bureau of the European Parliament of 15 April 2013.

(18)  
  OJ L 362, 31.12.2012, p. 1.

18

OJ L 362, 31.12.2012, p. 1.

(19)  EEC Council: Regulation No 1 determining the languages to be used by the European Economic Community (OJ 17, 6.10.1958, p. 385/58).

19

(20)  OJ L 136, 31.5.1999, p. 15.

20

(21)  Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities’ financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).

21

ANNEX I

List of offences with respect to which Europol shall support and strengthen action by the competent authorities of the Member States and their mutual cooperation in accordance with Article 3(1) of this Regulation

| — | terrorism, |
| --- | --- |

—

terrorism,

| — | organised crime, |
| --- | --- |

—

organised crime,

| — | unlawful drug trafficking, |
| --- | --- |

—

unlawful drug trafficking,

| — | illegal money-laundering activities, |
| --- | --- |

—

illegal money-laundering activities,

| — | crime connected with nuclear and radioactive substances, |
| --- | --- |

—

crime connected with nuclear and radioactive substances,

| — | illegal immigrant smuggling, |
| --- | --- |

—

illegal immigrant smuggling,

| — | trafficking in human beings, |
| --- | --- |

—

trafficking in human beings,

| — | motor vehicle crime, |
| --- | --- |

—

motor vehicle crime,

| — | murder, grievous bodily injury, |
| --- | --- |

—

murder, grievous bodily injury,

| — | illicit trade in human organs and tissue, |
| --- | --- |

—

illicit trade in human organs and tissue,

| — | kidnapping, illegal restraint and hostage taking, |
| --- | --- |

—

kidnapping, illegal restraint and hostage taking,

| — | racism and xenophobia, |
| --- | --- |

—

racism and xenophobia,

| — | robbery, |
| --- | --- |

—

robbery,

| — | illicit trafficking in cultural goods, including antiquities and works of art, |
| --- | --- |

—

illicit trafficking in cultural goods, including antiquities and works of art,

| — | swindling and fraud, including fraud affecting the financial interests of the Union |
| --- | --- |

—

swindling and fraud, including fraud affecting the financial interests of the Union

| — | racketeering and extortion, |
| --- | --- |

—

racketeering and extortion,

| — | counterfeiting and product piracy, |
| --- | --- |

—

counterfeiting and product piracy,

| — | forgery of administrative documents and trafficking therein, |
| --- | --- |

—

forgery of administrative documents and trafficking therein,

| — | forgery of money and means of payment, |
| --- | --- |

—

forgery of money and means of payment,

| — | computer crime, |
| --- | --- |

—

computer crime,

| — | corruption, |
| --- | --- |

—

corruption,

| — | illicit trafficking in arms, ammunition and explosives, |
| --- | --- |

—

illicit trafficking in arms, ammunition and explosives,

| — | illicit trafficking in endangered animal species, |
| --- | --- |

—

illicit trafficking in endangered animal species,

| — | illicit trafficking in endangered plant species and varieties, |
| --- | --- |

—

illicit trafficking in endangered plant species and varieties,

| — | environmental crime, including ship source pollution |
| --- | --- |

—

environmental crime, including ship source pollution

| — | illicit trafficking in hormonal substances and other growth promoters, |
| --- | --- |

—

illicit trafficking in hormonal substances and other growth promoters,

| — | sexual abuse and sexual exploitation of
  individuals, especially
  women and children. [Am. 228] |
| --- | --- |

—

sexual abuse and sexual exploitation of
  individuals, especially
  women and children. [Am. 228]

ANNEX II

Categories of personal data and categories of data subjects whose data may be collected and processed for cross-checking purpose as referred to in Article 24(1)(a)

| 1. | Personal data collected and processed for cross-checking purposes shall relate to:






  (a) | persons who, in accordance with the national law of the Member State concerned, are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent or who have been convicted of such an offence; |
| --- | --- | --- |

1.

Personal data collected and processed for cross-checking purposes shall relate to:

(a)

persons who, in accordance with the national law of the Member State concerned, are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent or who have been convicted of such an offence;

| (b) | persons regarding whom there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit criminal offences in respect of which Europol is competent. |
| --- | --- |

(b)

persons regarding whom there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit criminal offences in respect of which Europol is competent.

| 2. | Data relating to the persons referred to in paragraph 1 may include only the following categories of personal data:






  (a) | surname, maiden name, given names and any alias or assumed name; |
| --- | --- | --- |

2.

Data relating to the persons referred to in paragraph 1 may include only the following categories of personal data:

(a)

surname, maiden name, given names and any alias or assumed name;

| (b) | date and place of birth; |
| --- | --- |

(b)

date and place of birth;

| (c) | nationality; |
| --- | --- |

(c)

nationality;

| (d) | sex; |
| --- | --- |

(d)

sex;

| (e) | place of residence, profession and whereabouts of the person concerned; |
| --- | --- |

(e)

place of residence, profession and whereabouts of the person concerned;

| (f) | social security numbers, driving licences, identification documents and passport data; and |
| --- | --- |

(f)

social security numbers, driving licences, identification documents and passport data; and

| (g) | where necessary, other characteristics likely to assist in identification, including any specific objective physical characteristics not subject to change such as dactyloscopic data and DNA profile (established from the non-coding part of DNA). |
| --- | --- |

(g)

where necessary, other characteristics likely to assist in identification, including any specific objective physical characteristics not subject to change such as dactyloscopic data and DNA profile (established from the non-coding part of DNA).

| 3. | In addition to the data referred to in paragraph 2, following categories of personal data concerning the persons referred to in paragraph 1 may be collected and processed:






  (a) | criminal offences, alleged criminal offences and when, where and how they were (allegedly) committed; |
| --- | --- | --- |

3.

In addition to the data referred to in paragraph 2, following categories of personal data concerning the persons referred to in paragraph 1 may be collected and processed:

(a)

criminal offences, alleged criminal offences and when, where and how they were (allegedly) committed;

| (b) | means which were or may be used to commit those criminal offences including information concerning legal persons; |
| --- | --- |

(b)

means which were or may be used to commit those criminal offences including information concerning legal persons;

| (c) | departments handling the case and their filing references; |
| --- | --- |

(c)

departments handling the case and their filing references;

| (d) | suspected membership of a criminal organisation; |
| --- | --- |

(d)

suspected membership of a criminal organisation;

| (e) | convictions, where they relate to criminal offences in respect of which Europol is competent; |
| --- | --- |

(e)

convictions, where they relate to criminal offences in respect of which Europol is competent;

| (f) | inputting party. |
| --- | --- |

(f)

inputting party.

These data may be provided to Europol even when they do not yet contain any references to persons.

| 4. | Additional information held by Europol or National Units concerning the persons referred to in paragraph 1 may be communicated to any national unit or Europol should either so request. National units shall do so in compliance with their national law. |
| --- | --- |

4.

Additional information held by Europol or National Units concerning the persons referred to in paragraph 1 may be communicated to any national unit or Europol should either so request. National units shall do so in compliance with their national law.

| 5. | If proceedings against the person concerned are definitively dropped or if that person is definitively acquitted, the data relating to the case in respect of which either decision has been taken shall be deleted. |
| --- | --- |

5.

If proceedings against the person concerned are definitively dropped or if that person is definitively acquitted, the data relating to the case in respect of which either decision has been taken shall be deleted.

ANNEX III

Categories of personal data and categories of data subjects whose data may be collected and processed for the purpose of analyses of strategic or other general nature and for the purpose of operational analyses (as referred to in Article 24(1)(b) and (c)

| 1. | Personal data collected and processed for the purpose of analyses of a strategic or other general nature and operational analyses shall relate to:






  (a) | persons who, in accordance with the national law of the Member State concerned, are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent or who have been convicted of such an offence; |
| --- | --- | --- |

1.

Personal data collected and processed for the purpose of analyses of a strategic or other general nature and operational analyses shall relate to:

(a)

persons who, in accordance with the national law of the Member State concerned, are suspected of having committed or having taken part in a criminal offence in respect of which Europol is competent or who have been convicted of such an offence;

| (b) | persons regarding whom there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit criminal offences in respect of which Europol is competent. |
| --- | --- |

(b)

persons regarding whom there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit criminal offences in respect of which Europol is competent.

| (c) | persons who might be called on to testify in investigations in connection with the offences under consideration or in subsequent criminal proceedings; |
| --- | --- |

(c)

persons who might be called on to testify in investigations in connection with the offences under consideration or in subsequent criminal proceedings;

| (d) | persons who have been the victims of one of the offences under consideration or with regard to whom certain facts give reason to believe that they could be the victims of such an offence; |
| --- | --- |

(d)

persons who have been the victims of one of the offences under consideration or with regard to whom certain facts give reason to believe that they could be the victims of such an offence;

| (e) | contacts and associates; and |
| --- | --- |

(e)

contacts and associates; and

| (f) | persons who can provide information on the criminal offences under consideration. |
| --- | --- |

(f)

persons who can provide information on the criminal offences under consideration.

| 2. | The following categories of personal data, including associated administrative data, may be processed on the categories of persons referred to in paragraph 1 point (a) and (b):






  (a) | Personal details:






  (i) | Present and former surnames; |
| --- | --- | --- | --- |

2.

The following categories of personal data, including associated administrative data, may be processed on the categories of persons referred to in paragraph 1 point (a) and (b):

(a)

Personal details:

(i)

Present and former surnames;

| (ii) | Present and former forenames; |
| --- | --- |

(ii)

Present and former forenames;

| (iii) | Maiden name; |
| --- | --- |

(iii)

Maiden name;

| (iv) | Father’s name (where necessary for the purpose of identification); |
| --- | --- |

(iv)

Father’s name (where necessary for the purpose of identification);

| (v) | Mother’s name (where necessary for the purpose of identification): |
| --- | --- |

(v)

Mother’s name (where necessary for the purpose of identification):

| (vi) | Sex; |
| --- | --- |

(vi)

Sex;

| (vii) | Date of birth; |
| --- | --- |

(vii)

Date of birth;

| (viii) | Place of birth; |
| --- | --- |

(viii)

Place of birth;

| (ix) | Nationality; |
| --- | --- |

(ix)

Nationality;

| (x) | Marital status; |
| --- | --- |

(x)

Marital status;

| (xi) | Alias; |
| --- | --- |

(xi)

Alias;

| (xii) | Nickname; |
| --- | --- |

(xii)

Nickname;

| (xiii) | Assumed or false name; |
| --- | --- |

(xiii)

Assumed or false name;

| (xiv) | Present and former residence and/or domicile; |
| --- | --- |

(xiv)

Present and former residence and/or domicile;

| (b) | Physical description:






  (i) | Physical description; |
| --- | --- | --- |

(b)

Physical description:

(i)

Physical description;

| (ii) | Distinguishing features (marks/scars/tattoos etc.) |
| --- | --- |

(ii)

Distinguishing features (marks/scars/tattoos etc.)

| (c) | Identification means:






  (i) | Identity documents/driving licence; |
| --- | --- | --- |

(c)

Identification means:

(i)

Identity documents/driving licence;

| (ii) | National identity card/passport numbers; |
| --- | --- |

(ii)

National identity card/passport numbers;

| (iii) | National identification number/social security number, if applicable |
| --- | --- |

(iii)

National identification number/social security number, if applicable

| (iv) | Visual images and other information on appearance |
| --- | --- |

(iv)

Visual images and other information on appearance

| (v) | Forensic identification information such as fingerprints, DNA profile (established from the non-coding part of DNA), voice profile, blood group, dental information |
| --- | --- |

(v)

Forensic identification information such as fingerprints, DNA profile (established from the non-coding part of DNA), voice profile, blood group, dental information

| (d) | Occupation and skills:






  (i) | Present employment and occupation; |
| --- | --- | --- |

(d)

Occupation and skills:

(i)

Present employment and occupation;

| (ii) | Former employment and occupation; |
| --- | --- |

(ii)

Former employment and occupation;

| (iii) | Education (school/university/professional); |
| --- | --- |

(iii)

Education (school/university/professional);

| (iv) | Qualifications; |
| --- | --- |

(iv)

Qualifications;

| (v) | Skills and other fields of knowledge (language/other) |
| --- | --- |

(v)

Skills and other fields of knowledge (language/other)

| (e) | Economic and financial information:






  (i) | Financial data (bank accounts and codes, credit cards etc.); |
| --- | --- | --- |

(e)

Economic and financial information:

(i)

Financial data (bank accounts and codes, credit cards etc.);

| (ii) | Cash assets; |
| --- | --- |

(ii)

Cash assets;

| (iii) | Share holdings/other assets; |
| --- | --- |

(iii)

Share holdings/other assets;

| (iv) | Property data; |
| --- | --- |

(iv)

Property data;

| (v) | Links with companies; |
| --- | --- |

(v)

Links with companies;

| (vi) | Bank and credit contacts; |
| --- | --- |

(vi)

Bank and credit contacts;

| (vii) | Tax position; |
| --- | --- |

(vii)

Tax position;

| (viii) | Other information revealing a person’s management of their financial affairs |
| --- | --- |

(viii)

Other information revealing a person’s management of their financial affairs

| (f) | Behavioural data:






  (i) | Lifestyle (such as living above means) and routine; |
| --- | --- | --- |

(f)

Behavioural data:

(i)

Lifestyle (such as living above means) and routine;

| (ii) | Movements; |
| --- | --- |

(ii)

Movements;

| (iii) | Places frequented; |
| --- | --- |

(iii)

Places frequented;

| (iv) | Weapons and other dangerous instruments; |
| --- | --- |

(iv)

Weapons and other dangerous instruments;

| (v) | Danger rating; |
| --- | --- |

(v)

Danger rating;

| (vi) | Specific risks such as escape probability, use of double agents, connections with law enforcement personnel; |
| --- | --- |

(vi)

Specific risks such as escape probability, use of double agents, connections with law enforcement personnel;

| (vii) | Criminal-related traits and profiles; |
| --- | --- |

(vii)

Criminal-related traits and profiles;

| (viii) | Drug abuse; |
| --- | --- |

(viii)

Drug abuse;

| (g) | Contacts and associates, including type and nature of the contact or association; |
| --- | --- |

(g)

Contacts and associates, including type and nature of the contact or association;

| (h) | Means of communication used, such as telephone (static/mobile), fax, pager, electronic mail, postal addresses, Internet connection(s); |
| --- | --- |

(h)

Means of communication used, such as telephone (static/mobile), fax, pager, electronic mail, postal addresses, Internet connection(s);

| (i) | Means of transport used, such as vehicles, boats, aircraft, including information identifying these means of transport (registration numbers); |
| --- | --- |

(i)

Means of transport used, such as vehicles, boats, aircraft, including information identifying these means of transport (registration numbers);

| (j) | Information relating to criminal conduct:






  (i) | Previous convictions; |
| --- | --- | --- |

(j)

Information relating to criminal conduct:

(i)

Previous convictions;

| (ii) | Suspected involvement in criminal activities; |
| --- | --- |

(ii)

Suspected involvement in criminal activities;

| (iii) | Modi operandi; |
| --- | --- |

(iii)

Modi operandi;

| (iv) | Means which were or may be used to prepare and/or commit crimes; |
| --- | --- |

(iv)

Means which were or may be used to prepare and/or commit crimes;

| (v) | Membership of criminal groups/organisations and position in the group/organisation; |
| --- | --- |

(v)

Membership of criminal groups/organisations and position in the group/organisation;

| (vi) | Role in the criminal organisation; |
| --- | --- |

(vi)

Role in the criminal organisation;

| (vii) | Geographical range of criminal activities; |
| --- | --- |

(vii)

Geographical range of criminal activities;

| (viii) | Material gathered in the course of an investigation, such as video and photographic images |
| --- | --- |

(viii)

Material gathered in the course of an investigation, such as video and photographic images

| (k) | References to other information systems in which information on the person is stored:






  (i) | Europol; |
| --- | --- | --- |

(k)

References to other information systems in which information on the person is stored:

(i)

Europol;

| (ii) | Police/customs agencies; |
| --- | --- |

(ii)

Police/customs agencies;

| (iii) | Other enforcement agencies; |
| --- | --- |

(iii)

Other enforcement agencies;

| (iv) | International organisations; |
| --- | --- |

(iv)

International organisations;

| (v) | Public entities; |
| --- | --- |

(v)

Public entities;

| (vi) | Private entities |
| --- | --- |

(vi)

Private entities

| (l) | Information on legal persons associated with the data referred to in points (e) and (j):






  (i) | Designation of the legal person; |
| --- | --- | --- |

(l)

Information on legal persons associated with the data referred to in points (e) and (j):

(i)

Designation of the legal person;

| (ii) | Location; |
| --- | --- |

(ii)

Location;

| (iii) | Date and place of establishment; |
| --- | --- |

(iii)

Date and place of establishment;

| (iv) | Administrative registration number; |
| --- | --- |

(iv)

Administrative registration number;

| (v) | Legal form; |
| --- | --- |

(v)

Legal form;

| (vi) | Capital; |
| --- | --- |

(vi)

Capital;

| (vii) | Area of activity; |
| --- | --- |

(vii)

Area of activity;

| (viii) | National and international subsidiaries; |
| --- | --- |

(viii)

National and international subsidiaries;

| (ix) | Directors; |
| --- | --- |

(ix)

Directors;

| (x) | Links with banks. |
| --- | --- |

(x)

Links with banks.

| 3. | ‘Contacts and associates’, as referred to in paragraph 1 point (e), are persons through whom there is sufficient reason to believe that information, which relates to the persons referred to in paragraph 1 point (a) and (b) of this Annex and which is relevant for the analysis, can be gained, provided they are not included in one of the categories of persons referred to in paragraphs 1 (a), (b), (c), (d) and (f). ‘Contacts’ are those persons who have sporadic contact with the persons referred to in paragraph 1 point (a) and (b). ‘Associates’ are those persons who have regular contact with the persons referred to in paragraph 1 point (a) and (b).
  In relation to contacts and associates, the data pursuant to paragraph 2 may be stored as necessary, provided there is reason to assume that such data are required for the analysis of the role of such persons as contacts or associates.
  In this context, the following shall be observed:






  (a) | the relationship of these persons with the persons referred to in paragraph 1 point (a) and (b) shall be clarified as soon as possible; |
| --- | --- | --- |

3.

‘Contacts and associates’, as referred to in paragraph 1 point (e), are persons through whom there is sufficient reason to believe that information, which relates to the persons referred to in paragraph 1 point (a) and (b) of this Annex and which is relevant for the analysis, can be gained, provided they are not included in one of the categories of persons referred to in paragraphs 1 (a), (b), (c), (d) and (f). ‘Contacts’ are those persons who have sporadic contact with the persons referred to in paragraph 1 point (a) and (b). ‘Associates’ are those persons who have regular contact with the persons referred to in paragraph 1 point (a) and (b).

In relation to contacts and associates, the data pursuant to paragraph 2 may be stored as necessary, provided there is reason to assume that such data are required for the analysis of the role of such persons as contacts or associates.

In this context, the following shall be observed:

(a)

the relationship of these persons with the persons referred to in paragraph 1 point (a) and (b) shall be clarified as soon as possible;

| (b) | if the assumption that a relationship exists between these persons and the persons referred to in paragraph 1 point (a) and (b) turns out to be unfounded, the data shall be deleted without delay; |
| --- | --- |

(b)

if the assumption that a relationship exists between these persons and the persons referred to in paragraph 1 point (a) and (b) turns out to be unfounded, the data shall be deleted without delay;

| (c) | if such persons are suspected of committing an offence falling under Europol’s objectives, or have been convicted for such an offence, or if there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit such an offence, all data pursuant to paragraph 2 may be stored; |
| --- | --- |

(c)

if such persons are suspected of committing an offence falling under Europol’s objectives, or have been convicted for such an offence, or if there are factual indications or reasonable grounds under the national law of the Member State concerned to believe that they will commit such an offence, all data pursuant to paragraph 2 may be stored;

| (d) | data on contacts and associates of contacts as well as data on contacts and associates of associates shall not be stored, with the exception of data on the type and nature of their contacts or associations with the persons referred to in paragraph 1 point (a) and (b); |
| --- | --- |

(d)

data on contacts and associates of contacts as well as data on contacts and associates of associates shall not be stored, with the exception of data on the type and nature of their contacts or associations with the persons referred to in paragraph 1 point (a) and (b);

| (e) | if a clarification pursuant to the previous points is not possible, this shall be taken into account when deciding on the need and the extent of storage for further analysis. |
| --- | --- |

(e)

if a clarification pursuant to the previous points is not possible, this shall be taken into account when deciding on the need and the extent of storage for further analysis.

| 4. | With regard to persons who, as referred to in paragraph 1 point (d), have been the victims of one of the offences under consideration or who, certain facts give reason to believe, could be the victims of such an offence, data referred to in paragraph 2 point (a) intent ‘i’ to paragraph 2 (c) intent ‘iii’ of this Annex, as well as the following categories of data, may be stored:






  (a) | Victim identification data; |
| --- | --- | --- |

4.

With regard to persons who, as referred to in paragraph 1 point (d), have been the victims of one of the offences under consideration or who, certain facts give reason to believe, could be the victims of such an offence, data referred to in paragraph 2 point (a) intent ‘i’ to paragraph 2 (c) intent ‘iii’ of this Annex, as well as the following categories of data, may be stored:

(a)

Victim identification data;

| (b) | Reason for victimisation; |
| --- | --- |

(b)

Reason for victimisation;

| (c) | Damage (physical/financial/psychological/other); |
| --- | --- |

(c)

Damage (physical/financial/psychological/other);

| (d) | Whether anonymity is to be guaranteed; |
| --- | --- |

(d)

Whether anonymity is to be guaranteed;

| (e) | Whether participation in a court hearing is possible; |
| --- | --- |

(e)

Whether participation in a court hearing is possible;

| (f) | Crime-related information provided by or through persons referred to in paragraph1 point ‘d’, including information on their relationship with other persons, where necessary, to identify the persons referred to in paragraph 1 points ‘a’ and ‘b’ |
| --- | --- |

(f)

Crime-related information provided by or through persons referred to in paragraph1 point ‘d’, including information on their relationship with other persons, where necessary, to identify the persons referred to in paragraph 1 points ‘a’ and ‘b’

Other data pursuant to paragraph 2 may be stored as necessary, provided there is reason to assume that they are required for the analysis of a person’s role as victim or potential victim.

Data not required for any further analysis shall be deleted.

| 5. | With regard to persons who, as referred to in paragraph 1 (c), might be called on to testify in investigations in connection with the offences under consideration or in subsequent criminal proceedings, data referred to in paragraph 2 point (a) indent ‘i’ to paragraph 2 (c) indent ‘iii’ of this Annex as well as categories of data complying with the following criteria, may be stored:






  (a) | crime-related information provided by such persons, including information on their relationship with other persons included in the analysis work file; |
| --- | --- | --- |

5.

With regard to persons who, as referred to in paragraph 1 (c), might be called on to testify in investigations in connection with the offences under consideration or in subsequent criminal proceedings, data referred to in paragraph 2 point (a) indent ‘i’ to paragraph 2 (c) indent ‘iii’ of this Annex as well as categories of data complying with the following criteria, may be stored:

(a)

crime-related information provided by such persons, including information on their relationship with other persons included in the analysis work file;

| (b) | whether anonymity is to be guaranteed; |
| --- | --- |

(b)

whether anonymity is to be guaranteed;

| (c) | whether protection is to be guaranteed and by whom; |
| --- | --- |

(c)

whether protection is to be guaranteed and by whom;

| (d) | new identity; |
| --- | --- |

(d)

new identity;

| (e) | whether participation in a court hearing is possible. |
| --- | --- |

(e)

whether participation in a court hearing is possible.

Other data pursuant to paragraph 2 may be stored as necessary, provided there is reason to assume that they are required for the analysis of such persons’ role as witnesses.

Data not required for any further analysis shall be deleted.

| 6. | With regard to persons who, as referred to in paragraph 1 point (f), can provide information on the criminal offences under consideration, data referred to in paragraph 2 point (a) indent ‘i’ to paragraph 2 (c) indent ‘iii’ of this Annex may be stored, as well as categories of data complying with the following criteria:






  (a) | coded personal details; |
| --- | --- | --- |

6.

With regard to persons who, as referred to in paragraph 1 point (f), can provide information on the criminal offences under consideration, data referred to in paragraph 2 point (a) indent ‘i’ to paragraph 2 (c) indent ‘iii’ of this Annex may be stored, as well as categories of data complying with the following criteria:

(a)

coded personal details;

| (b) | type of information supplied; |
| --- | --- |

(b)

type of information supplied;

| (c) | whether anonymity is to be guaranteed; |
| --- | --- |

(c)

whether anonymity is to be guaranteed;

| (d) | whether protection is to be guaranteed and by whom; |
| --- | --- |

(d)

whether protection is to be guaranteed and by whom;

| (e) | new identity; |
| --- | --- |

(e)

new identity;

| (f) | whether participation in court hearing is possible; |
| --- | --- |

(f)

whether participation in court hearing is possible;

| (g) | negative experiences; |
| --- | --- |

(g)

negative experiences;

| (h) | rewards (financial/favours). |
| --- | --- |

(h)

rewards (financial/favours).

Other data pursuant to paragraph 2 may be stored as necessary, provided there is reason to assume that they are required for the analysis of such persons’ role as informants.

Data not required for any further analysis shall be deleted.

| 7. | If, at any moment during the course of an analysis, it becomes clear on the basis of serious and corroborating indications that a person should be placed under a different category of persons, as defined in this Annex, from the category in which that person was initially placed, Europol may process only the data on that person which is permitted under that new category, and all other data shall be deleted.
  If, on the basis of such indications, it becomes clear that a person should be included in two or more different categories as defined in this Annex, all data allowed under such categories may be processed by Europol. |
| --- | --- |

7.

If, at any moment during the course of an analysis, it becomes clear on the basis of serious and corroborating indications that a person should be placed under a different category of persons, as defined in this Annex, from the category in which that person was initially placed, Europol may process only the data on that person which is permitted under that new category, and all other data shall be deleted.

If, on the basis of such indications, it becomes clear that a person should be included in two or more different categories as defined in this Annex, all data allowed under such categories may be processed by Europol.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/348 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/348

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P7_TA(2014)0122

Conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a directive of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast) (COM(2013)0151 — C7-0080/2013 — 2013/0081(COD))

(Ordinary legislative procedure — recast)

(2017/C 285/38)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0151), |
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—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0151),

| — | having regard to Article 294(2) and Article 79(2)(a) and (b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0080/2013), |
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—

having regard to Article 294(2) and Article 79(2)(a) and (b) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0080/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
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—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Greek Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
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—

having regard to the reasoned opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Greek Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 18 September 2013 (1), |
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—

having regard to the opinion of the European Economic and Social Committee of 18 September 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 28 November 2013 (2), |
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—

having regard to the opinion of the Committee of the Regions of 28 November 2013 (2),

| — | having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3), |
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—

having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3),

| — | having regard to the letter of 20 September 2013 from the Committee on Legal Affairs to the Committee on Civil Liberties, Justice and Home Affairs in accordance with Rule 87(3) of its Rules of Procedure, |
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—

having regard to the letter of 20 September 2013 from the Committee on Legal Affairs to the Committee on Civil Liberties, Justice and Home Affairs in accordance with Rule 87(3) of its Rules of Procedure,

| — | having regard to Rules 87 and 55 of its Rules of Procedure, |
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—

having regard to Rules 87 and 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Employment and Social Affairs and the Committee on Legal Affairs (A7-0377/2013), |
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—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs and the opinions of the Committee on Employment and Social Affairs and the Committee on Legal Affairs (A7-0377/2013),

| A. | whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
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A.

whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

| 1. | Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
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1.

Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

| 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; |
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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, the Commission and the national parliaments. |
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3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 341, 21.11.2013, p. 50.

(2)  OJ C 114, 15.4.2014, p. 42.

(3)  OJ C 77, 28.3.2002, p. 1.

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P7_TC1-COD(2013)0081

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the conditions of entry and residence of third-country nationals for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service and au pairing (recast)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular points (a) and (b) of Article 79(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | A number of amendments are to be made to Council Directive 2004/114/EC (4) and Council Directive 2005/71/EC (5). In the interests of clarity, those Directives should be recast. |
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(1)

A number of amendments are to be made to Council Directive 2004/114/EC (4) and Council Directive 2005/71/EC (5). In the interests of clarity, those Directives should be recast.

| (2) | This Directive should respond to the need identified in the implentation

  implementation
  reports of the two Directives (6) to remedy the identified weaknesses,
  to ensure transparency and legal certainty
  and to offer a coherent legal framework for different groups coming to the Union from third countries. It should therefore simplify and streamline the existing provisions for the different groups in a single instrument. Despite differences between the groups covered by this Directive, they also share a number of characteristics which makes it possible to address them through a common legal framework at Union level. [Am. 1] |
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(2)

This Directive should respond to the need identified in the implentation

  implementation
  reports of the two Directives (6) to remedy the identified weaknesses,
  to ensure transparency and legal certainty
  and to offer a coherent legal framework for different groups coming to the Union from third countries. It should therefore simplify and streamline the existing provisions for the different groups in a single instrument. Despite differences between the groups covered by this Directive, they also share a number of characteristics which makes it possible to address them through a common legal framework at Union level. [Am. 1]

| (3) | This Directive should contribute to the Stockholm Programme's aim to approximate national legislation on the conditions for entry and residence of third-country nationals. Immigration from outside the Union is one source of highly skilled people, and in particular students and researchers are increasingly sought after. They play an important role to form the Union's key asset — human capital — in ensuring smart, sustainable and inclusive growth, and therefore contribute to the achievement of the objectives of the Europe 2020 Strategy. |
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(3)

This Directive should contribute to the Stockholm Programme's aim to approximate national legislation on the conditions for entry and residence of third-country nationals. Immigration from outside the Union is one source of highly skilled people, and in particular students and researchers are increasingly sought after. They play an important role to form the Union's key asset — human capital — in ensuring smart, sustainable and inclusive growth, and therefore contribute to the achievement of the objectives of the Europe 2020 Strategy.

| (4) | The shortcomings highlighted in the implementation reports of the two Directives concern mainly admission conditions, rights, procedural safeguards, students' access to the labour market during studies, intra-Union mobility provisions as well as a lack of harmonization, as coverage of some groups, such as volunteers, school pupils and unremunerated trainees was left optional to Member States. Subsequent wider consultations have also pointed to the need for better job-seeking possibilities for researchers and students and better protection of au-pairs and remunerated trainees which are not covered by the current instruments. |
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(4)

The shortcomings highlighted in the implementation reports of the two Directives concern mainly admission conditions, rights, procedural safeguards, students' access to the labour market during studies, intra-Union mobility provisions as well as a lack of harmonization, as coverage of some groups, such as volunteers, school pupils and unremunerated trainees was left optional to Member States. Subsequent wider consultations have also pointed to the need for better job-seeking possibilities for researchers and students and better protection of au-pairs and remunerated trainees which are not covered by the current instruments.

| (5) | For the gradual establishment of an area of freedom, security and justice, the Treaty provides for measures to be adopted in the fields of asylum, immigration and the protection of the rights of third-country nationals. |
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(5)

For the gradual establishment of an area of freedom, security and justice, the Treaty provides for measures to be adopted in the fields of asylum, immigration and the protection of the rights of third-country nationals.

| (6) | This Directive should also aim at fostering people-to-people contacts and mobility, as important elements of the Union’s external policy, notably vis-à-vis the countries of the European Neighbourhood Policy or the Union’s strategic partners. It should allow for a better contribution to the Global Approach to Migration and Mobility and its Mobility Partnerships which offer a concrete framework for dialogue and cooperation between the Member States and third countries, including in facilitating and organizing
  regular
  migration. [Am. not concerning all languages] |
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(6)

This Directive should also aim at fostering people-to-people contacts and mobility, as important elements of the Union’s external policy, notably vis-à-vis the countries of the European Neighbourhood Policy or the Union’s strategic partners. It should allow for a better contribution to the Global Approach to Migration and Mobility and its Mobility Partnerships which offer a concrete framework for dialogue and cooperation between the Member States and third countries, including in facilitating and organizing
  regular
  migration. [Am. not concerning all languages]

| (7) | Migration for the purposes set out in this Directive should promote the generation and acquisition of knowledge and skills. It constitutes a form of mutual enrichment for the migrants concerned, their country of origin and the host Member State,and helps to promote better familiarity among cultures

  while strengthening cultural links and enriching cultural diversity
  . [Am. 3] |
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(7)

Migration for the purposes set out in this Directive should promote the generation and acquisition of knowledge and skills. It constitutes a form of mutual enrichment for the migrants concerned, their country of origin and the host Member State,and helps to promote better familiarity among cultures

  while strengthening cultural links and enriching cultural diversity
  . [Am. 3]

| (8) | This Directive should promote the Union as an attractive location for research and innovation and advance the Union in the global competition for talent
  and, in so doing, lead to an increase in the Union's overall competitiveness and growth rates while creating jobs that make a greater contribution to GDP growth
  . Opening the Union up to third-country nationals who may be admitted for the purposes of research is also part of the Innovation Union flagship initiative. Creating an open labour market for Union researchers and for researchers from third countries was also affirmed as a key aim of the European Research Area (ERA), a unified area, in which researchers, scientific knowldedge

  knowledge
  and technology circulate freely. [Am. 4] |
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(8)

This Directive should promote the Union as an attractive location for research and innovation and advance the Union in the global competition for talent
  and, in so doing, lead to an increase in the Union's overall competitiveness and growth rates while creating jobs that make a greater contribution to GDP growth
  . Opening the Union up to third-country nationals who may be admitted for the purposes of research is also part of the Innovation Union flagship initiative. Creating an open labour market for Union researchers and for researchers from third countries was also affirmed as a key aim of the European Research Area (ERA), a unified area, in which researchers, scientific knowldedge

  knowledge
  and technology circulate freely. [Am. 4]

| (9) | It is appropriate to facilitate the admission of researchers through an admission procedure which does not depend on their legal relationship with the host research organisation and by no longer requiring a work permit in addition to a residence permit or a long-stay visa. This procedure should be based on collaboration between research organisations and the immigration authorities in the Member States. It should give the former a key role in the admission procedure with a view to facilitating and speeding up the entry and residence of third-country researchers in the Union while preserving Member States’ prerogatives with respect to immigration policy. Research organisations approved in advance by the Member States should be able to sign a hosting agreement with a third-country national for the purposes of carrying out a research project. Member States should issue an authorisation on the basis of the hosting agreement if the conditions for entry and residence are met. |
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(9)

It is appropriate to facilitate the admission of researchers through an admission procedure which does not depend on their legal relationship with the host research organisation and by no longer requiring a work permit in addition to a residence permit or a long-stay visa. This procedure should be based on collaboration between research organisations and the immigration authorities in the Member States. It should give the former a key role in the admission procedure with a view to facilitating and speeding up the entry and residence of third-country researchers in the Union while preserving Member States’ prerogatives with respect to immigration policy. Research organisations approved in advance by the Member States should be able to sign a hosting agreement with a third-country national for the purposes of carrying out a research project. Member States should issue an authorisation on the basis of the hosting agreement if the conditions for entry and residence are met.

| (10) | As the effort to be made to achieve the target of investing 3 % of GDP in research largely concerns the private sector, which must therefore recruit more researchers in the years to come, the research organisations that can be approved under this Directive should belong to either the public or private sectors. |
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(10)

As the effort to be made to achieve the target of investing 3 % of GDP in research largely concerns the private sector, which must therefore recruit more researchers in the years to come, the research organisations that can be approved under this Directive should belong to either the public or private sectors.

| (11) | In order to make the Union more attractive for third-country national researchers
  and students
  , family members of researchers
  and students
  , as defined in Council Directive 2003/86/EC (7), should be admitted with them. They should benefit from intra- Union mobility provisions and they should also have access to the labour market. [Am. 5] |
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(11)

In order to make the Union more attractive for third-country national researchers
  and students
  , family members of researchers
  and students
  , as defined in Council Directive 2003/86/EC (7), should be admitted with them. They should benefit from intra- Union mobility provisions and they should also have access to the labour market. [Am. 5]

| (12) | Where appropriate, Member States should be encouraged to treat PhD candidates as researchers. |
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(12)

Where appropriate, Member States should be encouraged to treat PhD candidates as researchers.

| (13) | Implementation of this Directive should not encourage a brain drain from emerging or developing countries. Measures to support researchers’ reintegration into their countries of origin should be taken in partnership with the countries of origin with a view to establishing a comprehensive migration policy. |
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(13)

Implementation of this Directive should not encourage a brain drain from emerging or developing countries. Measures to support researchers’ reintegration into their countries of origin should be taken in partnership with the countries of origin with a view to establishing a comprehensive migration policy.

| (14) | In order to promote Europe as a whole as a world centre of excellence for studies and training, the conditions for entry and residence of those who wish to come to the Union for these purposes should be improved
  , simplified and facilitated
  . This is in line with the objectives of the Agenda for the modernisation of Europe's higher education systems (8), in particular within the context of the internationalisation of European higher education. The approximation of the Member States' relevant national legislation
  towards more favourable rules for third-country nationals
  is part of this endeavour. [Am. 6] |
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(14)

In order to promote Europe as a whole as a world centre of excellence for studies and training, the conditions for entry and residence of those who wish to come to the Union for these purposes should be improved
  , simplified and facilitated
  . This is in line with the objectives of the Agenda for the modernisation of Europe's higher education systems (8), in particular within the context of the internationalisation of European higher education. The approximation of the Member States' relevant national legislation
  towards more favourable rules for third-country nationals
  is part of this endeavour. [Am. 6]

| (15) | The extension and deepening of the Bologna process launched through the Bologna Declaration (9) has led to the progressive convergence of higher education systems in participating countries but also beyond them. This is because national authorities have supported the mobility of students and academic staff, and higher education establishments have integrated it in their curricula. This needs to be reflected through improved intra-Union mobility provisions for students. Making European higher education attractive and competitive is one of the objectives of the Bologna declaration. The Bologna process led to the establishment of the European Higher Education Area. Streamlining the European higher education sector has made it more attractive for students who are third-country nationals to study in Europe.
  The involvement of numerous third countries in the Bologna process and Union student mobility programmes makes the introduction of harmonised and simplified mobility rules for nationals of the countries concerned essential. [Am. 7] |
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(15)

The extension and deepening of the Bologna process launched through the Bologna Declaration (9) has led to the progressive convergence of higher education systems in participating countries but also beyond them. This is because national authorities have supported the mobility of students and academic staff, and higher education establishments have integrated it in their curricula. This needs to be reflected through improved intra-Union mobility provisions for students. Making European higher education attractive and competitive is one of the objectives of the Bologna declaration. The Bologna process led to the establishment of the European Higher Education Area. Streamlining the European higher education sector has made it more attractive for students who are third-country nationals to study in Europe.
  The involvement of numerous third countries in the Bologna process and Union student mobility programmes makes the introduction of harmonised and simplified mobility rules for nationals of the countries concerned essential. [Am. 7]

| (16) | The duration and other conditions of preparatory courses for students covered by this Directive should be determined by Member States in accordance with their national legislation. |
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(16)

The duration and other conditions of preparatory courses for students covered by this Directive should be determined by Member States in accordance with their national legislation.

| (17) | Evidence of acceptance of a student by an establishment of higher education could include, among other possibilities, a letter or certificate confirming his/her enrolment. |
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(17)

Evidence of acceptance of a student by an establishment of higher education could include, among other possibilities, a letter or certificate confirming his/her enrolment.

| (18) | Fellowships should be taken into account in assessing the availability of sufficient resources. |
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(18)

Fellowships should be taken into account in assessing the availability of sufficient resources.

| (19) | Whilst Member States had discretion on whether or not to apply Directive 2004/114/EC to school pupils, volunteers and unremunerated trainees, these groups should fall now within the scope of this Directive in order to facilitate their entry and residence and ensure their rights. This Directive should also apply to au-pairs and remunerated trainees, in order to ensure their legal rights and protection. |
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(19)

Whilst Member States had discretion on whether or not to apply Directive 2004/114/EC to school pupils, volunteers and unremunerated trainees, these groups should fall now within the scope of this Directive in order to facilitate their entry and residence and ensure their rights. This Directive should also apply to au-pairs and remunerated trainees, in order to ensure their legal rights and protection.

| (20) | Remunerated trainees who come to work in the Union in the context of an intra-corporate transfer should not be covered by this Directive, as they fall under the scope of [Directive 2013/xx/EU on intra-corporate transfers]. |
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(20)

Remunerated trainees who come to work in the Union in the context of an intra-corporate transfer should not be covered by this Directive, as they fall under the scope of [Directive 2013/xx/EU on intra-corporate transfers].

| (21) | As currently at Union level there is no legal framework regarding third-country national au-pairs to ensure their fair treatment, provisions should be introduced to address their specific needs as a particularly vulnerable group. This Directive should foresee conditions to be fulfilled by both the au-pair and the host family, in particular as regards the agreement between them which should include elements such as the pocket money to be received (10). |
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(21)

As currently at Union level there is no legal framework regarding third-country national au-pairs to ensure their fair treatment, provisions should be introduced to address their specific needs as a particularly vulnerable group. This Directive should foresee conditions to be fulfilled by both the au-pair and the host family, in particular as regards the agreement between them which should include elements such as the pocket money to be received (10).

| (22) | Once all the general and specific conditions for admission are fulfilled, Member States should issue an authorisation, i.e. a long stay visa and/or residence permit, within specified time limits
  , which should not be hampered or invalidated by additional requirements
  . If a Member State issues a residence permit on its territory only and all the conditions of this Directive relating to admission are fulfilled, the Member State should grant the third-country national concerned the requisite visas. [Am. 8] |
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(22)

Once all the general and specific conditions for admission are fulfilled, Member States should issue an authorisation, i.e. a long stay visa and/or residence permit, within specified time limits
  , which should not be hampered or invalidated by additional requirements
  . If a Member State issues a residence permit on its territory only and all the conditions of this Directive relating to admission are fulfilled, the Member State should grant the third-country national concerned the requisite visas. [Am. 8]

| (23) | Authorisations should mention the status of the third-country national concerned, and the respective Union programmes including mobility measures. Member States may indicate additional information in paper format or electronically, provided this does not amount to additional conditions. |
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(23)

Authorisations should mention the status of the third-country national concerned, and the respective Union programmes including mobility measures. Member States may indicate additional information in paper format or electronically, provided this does not amount to additional conditions.

| (24) | The different periods of duration regarding authorisations under this Directive should reflect the specific nature of the stay of each group. |
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(24)

The different periods of duration regarding authorisations under this Directive should reflect the specific nature of the stay of each group.

| (25) | Member States may charge applicants for processing applications for authorisations. The fees

  should consider waiving fees for entry and residence of third-country nationals for the purposes of this Directive
  .
  Should Member States require third-country nationals to pay fees, those
  should be proportionate to the purpose of the stay
  and should not constitute an obstacle to the objectives of the Directive
  . [Am. 9] |
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(25)

Member States may charge applicants for processing applications for authorisations. The fees

  should consider waiving fees for entry and residence of third-country nationals for the purposes of this Directive
  .
  Should Member States require third-country nationals to pay fees, those
  should be proportionate to the purpose of the stay
  and should not constitute an obstacle to the objectives of the Directive
  . [Am. 9]

| (26) | The rights granted to third-country nationals under this Directive should not depend on whether the authorisation is in the form of a long stay visa or a residence permit. |
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(26)

The rights granted to third-country nationals under this Directive should not depend on whether the authorisation is in the form of a long stay visa or a residence permit.

| (27) | The term admission covers the entry and residence of third-country nationals to and in a Member State, for the purposes set out in this Directive. |
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(27)

The term admission covers the entry and residence of third-country nationals to and in a Member State, for the purposes set out in this Directive.

| (28) | Admission may be refused on duly justified grounds. In particular, admission could be refused if a Member State considers, based on an assessment of the facts, in an individual case, that the third-country national concerned is a potential threat to public policy,
  or
  public security or public health. [Am. 10] |
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(28)

Admission may be refused on duly justified grounds. In particular, admission could be refused if a Member State considers, based on an assessment of the facts, in an individual case, that the third-country national concerned is a potential threat to public policy,
  or
  public security or public health. [Am. 10]

| (29) | In case of doubts concerning the grounds of the application for admission, Member States should be able to require all the evidence necessary to assess its coherence, in particular on the basis of the applicant's intended studies or training, in order to fight against abuse and misuse of the procedure set out in this Directive. |
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(29)

In case of doubts concerning the grounds of the application for admission, Member States should be able to require all the evidence necessary to assess its coherence, in particular on the basis of the applicant's intended studies or training, in order to fight against abuse and misuse of the procedure set out in this Directive.

| (30) | National authorities should inform third-country nationals who apply for admission to the Member States under this Directive of a decision on the application. They should do so in writing as soon as possible and, at the latest within 60

  30
  days, or, as soon as possible and at the latest within 30 days in the case of researchers and students covered by Union programmes including mobility measures, starting from the date of the application.
  Member States should inform the applicant as soon as possible of any further information they need for processing the application. In the event that national law provides for an administrative appeal against a negative decision, national authorities should inform the applicant of their decision within 30 days starting from the date when the appeal was lodged. [Am. 11] |
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(30)

National authorities should inform third-country nationals who apply for admission to the Member States under this Directive of a decision on the application. They should do so in writing as soon as possible and, at the latest within 60

  30
  days, or, as soon as possible and at the latest within 30 days in the case of researchers and students covered by Union programmes including mobility measures, starting from the date of the application.
  Member States should inform the applicant as soon as possible of any further information they need for processing the application. In the event that national law provides for an administrative appeal against a negative decision, national authorities should inform the applicant of their decision within 30 days starting from the date when the appeal was lodged. [Am. 11]

| (31) | The intra-Union mobility of third-country national researchers, students and remunerated trainees should be facilitated. For researchers, this Directive should improve the rules relating to the period for which the authorisation granted by the first Member State should cover stays in a second Member State without requiring a new hosting agreement. Improvements should be made regarding the situation of students, and the new group of remunerated trainees, by allowing them to stay in a second Member State for periods lasting between three and six months, provided that they fulfil the general conditions laid down in this Directive. For third-country national trainees coming to the Union as intra-corporate transferees, specific intra-Union mobility provisions designed according to the nature of their transfer should apply in accordance with [Directive 2013/xx/EU on intra-corporate transfers]. |
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(31)

The intra-Union mobility of third-country national researchers, students and remunerated trainees should be facilitated. For researchers, this Directive should improve the rules relating to the period for which the authorisation granted by the first Member State should cover stays in a second Member State without requiring a new hosting agreement. Improvements should be made regarding the situation of students, and the new group of remunerated trainees, by allowing them to stay in a second Member State for periods lasting between three and six months, provided that they fulfil the general conditions laid down in this Directive. For third-country national trainees coming to the Union as intra-corporate transferees, specific intra-Union mobility provisions designed according to the nature of their transfer should apply in accordance with [Directive 2013/xx/EU on intra-corporate transfers].

| (32) | Union immigration rules and Union programmes including mobility measures should complement each other more. Third-country national researchers, and students
  , volunteers, trainees

  covered by such Union programmes should be entitled to move to the

  different
  Member States foreseen on the basis of the authorisation granted by the first Member State, as long as the full list of those Member States is known before entry into the Union. Such an authorisation should allow them to exercise mobility without the need to provide any additional information or to complete any other application procedures. Member States are encouraged to facilitate the intra-Union mobility of third-country national volunteers where volunteering programmes cover more than one Member State.
  [Am. 12] |
| --- | --- |

(32)

Union immigration rules and Union programmes including mobility measures should complement each other more. Third-country national researchers, and students
  , volunteers, trainees

  covered by such Union programmes should be entitled to move to the

  different
  Member States foreseen on the basis of the authorisation granted by the first Member State, as long as the full list of those Member States is known before entry into the Union. Such an authorisation should allow them to exercise mobility without the need to provide any additional information or to complete any other application procedures. Member States are encouraged to facilitate the intra-Union mobility of third-country national volunteers where volunteering programmes cover more than one Member State.
  [Am. 12]

| (33) | In order to allow third-country national students to better cover part of the cost of their studies, they should be given increased

  full
  access to the labour market under the conditions set out in this Directive, meaning a minimum of 20 hours per week. The principle of access for students to the labour market should be

  apply as
  a general rule. However, in exceptional circumstances Member States should be able to take into account the situation of their national labour markets, although this must not risk entirely negating the right to work.
  [Am. 13] |
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(33)

In order to allow third-country national students to better cover part of the cost of their studies, they should be given increased

  full
  access to the labour market under the conditions set out in this Directive, meaning a minimum of 20 hours per week. The principle of access for students to the labour market should be

  apply as
  a general rule. However, in exceptional circumstances Member States should be able to take into account the situation of their national labour markets, although this must not risk entirely negating the right to work.
  [Am. 13]

| (34) | As part of the drive to ensure a well-qualified workforce for the future, Member States should allow

  and to respect and value the work and overall contribution of
  students who graduate in the Union
  , Member States should allow those students
  to remain on their territory with the intention to identify work opportunities or to set up a business for 12 months after expiry of the initial authorisation. They should also allow researchers to do so upon completion of their research project as defined in the hosting agreement. This should not amount to an automatic right of access to the labour market or to set up a business. They may be requested to provide evidence in accordance with Article 24. [Am. 14] |
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(34)

As part of the drive to ensure a well-qualified workforce for the future, Member States should allow

  and to respect and value the work and overall contribution of
  students who graduate in the Union
  , Member States should allow those students
  to remain on their territory with the intention to identify work opportunities or to set up a business for 12 months after expiry of the initial authorisation. They should also allow researchers to do so upon completion of their research project as defined in the hosting agreement. This should not amount to an automatic right of access to the labour market or to set up a business. They may be requested to provide evidence in accordance with Article 24. [Am. 14]

| (35) | The provisions of this Directive are without prejudice to the competence of the Member States to regulate the volumes of admission of third-country nationals for the purpose of work. |
| --- | --- |

(35)

The provisions of this Directive are without prejudice to the competence of the Member States to regulate the volumes of admission of third-country nationals for the purpose of work.

| (36) | To make the Union more attractive for third-country national researchers, students, pupils, trainees, volunteers and au pairs, it is important to ensure their fair treatment in accordance with Article 79 of the Treaty. These groups are entitled to equal treatment with nationals of the host Member State under Directive 2011/98/EU of the European Parliament and of the Council (11). More favourable rights to equal treatment with nationals of the host Member State as regards branches of social security as defined in Regulation
  (EC)
  No 883/2004 of the European Parliament and of the Council (12) should be maintained for third-country national researchers, in addition to the rights granted under Directive 2011/98/EU. Currently the latter foresees a possibility for Member States to limit equal treatment with regard to branches of social security, including family benefits, and this possibility of limitation could affect researchers. In addition, independently on whether Union or national law of the host Member State gives third-country national
  students,
  school pupils, volunteers, unremunerated trainees and au-pairs access to the labour market, they should enjoy equal treatment rights with nationals of the host Member State as regards access to goods and services and the supply of goods and services made available to the public. [Am. 15] |
| --- | --- |

(36)

To make the Union more attractive for third-country national researchers, students, pupils, trainees, volunteers and au pairs, it is important to ensure their fair treatment in accordance with Article 79 of the Treaty. These groups are entitled to equal treatment with nationals of the host Member State under Directive 2011/98/EU of the European Parliament and of the Council (11). More favourable rights to equal treatment with nationals of the host Member State as regards branches of social security as defined in Regulation
  (EC)
  No 883/2004 of the European Parliament and of the Council (12) should be maintained for third-country national researchers, in addition to the rights granted under Directive 2011/98/EU. Currently the latter foresees a possibility for Member States to limit equal treatment with regard to branches of social security, including family benefits, and this possibility of limitation could affect researchers. In addition, independently on whether Union or national law of the host Member State gives third-country national
  students,
  school pupils, volunteers, unremunerated trainees and au-pairs access to the labour market, they should enjoy equal treatment rights with nationals of the host Member State as regards access to goods and services and the supply of goods and services made available to the public. [Am. 15]

| (37) | This Directive should not in any circumstances affect the application of Council Regulation (EC) No 1030/2002 (13). |
| --- | --- |

(37)

This Directive should not in any circumstances affect the application of Council Regulation (EC) No 1030/2002 (13).

| (38) | This Directive respects the fundamental rights and observes the principles recognised by the Charter of Fundamental Rights of the European Union, as referred to in Article 6 of the Treaty on European Union. |
| --- | --- |

(38)

This Directive respects the fundamental rights and observes the principles recognised by the Charter of Fundamental Rights of the European Union, as referred to in Article 6 of the Treaty on European Union.

| (39) | The Member States should give effect to the provisions of this Directive without discrimination on the basis of sex, race, colour, ethnic or social origin, genetic features, language, religion or belief, political or any other opinions, membership of a national minority, property, birth, disability, age or sexual orientation. |
| --- | --- |

(39)

The Member States should give effect to the provisions of this Directive without discrimination on the basis of sex, race, colour, ethnic or social origin, genetic features, language, religion or belief, political or any other opinions, membership of a national minority, property, birth, disability, age or sexual orientation.

| (40) | In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified. |
| --- | --- |

(40)

In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified.

| (41) | Since the objective of this Directive, namely to determine the conditions of entry and residence of third-country nationals for the purposes of research study, pupil exchange, unremunerated or remunerated training, voluntary service or au pairing, cannot be sufficiently achieved by the Member States and can, by reason of its scale or effects, be better achieved at Union level, the Union 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 to achieve that objective. |
| --- | --- |

(41)

Since the objective of this Directive, namely to determine the conditions of entry and residence of third-country nationals for the purposes of research study, pupil exchange, unremunerated or remunerated training, voluntary service or au pairing, cannot be sufficiently achieved by the Member States and can, by reason of its scale or effects, be better achieved at Union level, the Union 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 to achieve that objective.

| (42) | Each Member State should ensure that the fullest possible set of regularly updated information is made available to the general public, notably on the Internet, about the research organisations, approved under this Directive, with which researchers could conclude a hosting agreement, and on the conditions and procedures for entry into and residence on its territory for the purposes of carrying out research, as adopted under this Directive as well as information about the establishments defined in this Directive, courses of study to which third-country nationals may be admitted and the conditions and procedures for entry into and residence on its territory for those purposes. |
| --- | --- |

(42)

Each Member State should ensure that the fullest possible set of regularly updated information is made available to the general public, notably on the Internet, about the research organisations, approved under this Directive, with which researchers could conclude a hosting agreement, and on the conditions and procedures for entry into and residence on its territory for the purposes of carrying out research, as adopted under this Directive as well as information about the establishments defined in this Directive, courses of study to which third-country nationals may be admitted and the conditions and procedures for entry into and residence on its territory for those purposes.

| (42a) | Each Member State has a duty to inform third-country nationals of the rules applicable to their particular case so as to ensure transparency and legal certainty and thus encourage them to come to the Union. All the information that is relevant to the procedure, including general documentation about studies, exchange or research programmes but also specific information about applicants' rights and obligations, should therefore be provided in a manner that is easily accessible and understandable by third-country nationals. [Am. 16] |
| --- | --- |

(42a)

Each Member State has a duty to inform third-country nationals of the rules applicable to their particular case so as to ensure transparency and legal certainty and thus encourage them to come to the Union. All the information that is relevant to the procedure, including general documentation about studies, exchange or research programmes but also specific information about applicants' rights and obligations, should therefore be provided in a manner that is easily accessible and understandable by third-country nationals. [Am. 16]

| (43) | [In accordance with Articles 1 and 2 of the Protocol No 21 on the position of the United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the Treaty on European Union and the Treaty on the Functioning of the European Union and without prejudice to Article 4 of the said Protocol, those Member States are not taking part in the adoption of this Directive and are not bound by it or subject to its application.] |
| --- | --- |

(43)

[In accordance with Articles 1 and 2 of the Protocol No 21 on the position of the United Kingdom and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the Treaty on European Union and the Treaty on the Functioning of the European Union and without prejudice to Article 4 of the said Protocol, those Member States are not taking part in the adoption of this Directive and are not bound by it or subject to its application.]

| (44) | In accordance with Articles 1 and 2 of the Protocol on the position of Denmark annexed to the Treaty on European Union and the Treaty on the Functioning of the European Union, Denmark does not take part in the adoption of this Directive, and is not bound by it or subject to its application. |
| --- | --- |

(44)

In accordance with Articles 1 and 2 of the Protocol on the position of Denmark annexed to the Treaty on European Union and the Treaty on the Functioning of the European Union, Denmark does not take part in the adoption of this Directive, and is not bound by it or subject to its application.

| (45) | The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive amendment compared to the earlier Directives. The obligation to transpose the provisions which are unchanged arises under the earlier Directives. |
| --- | --- |

(45)

The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive amendment compared to the earlier Directives. The obligation to transpose the provisions which are unchanged arises under the earlier Directives.

| (46) | This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law and the dates of application of the Directives set out in Annex I, Part B, |
| --- | --- |

(46)

This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law and the dates of application of the Directives set out in Annex I, Part B,

HAS ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter

This Directive determines:

| (a) | the conditions of entry and residence of third-country nationals to the territory of the Member States for a period exceeding 90 days for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service au pairing; |
| --- | --- |

(a)

the conditions of entry and residence of third-country nationals to the territory of the Member States for a period exceeding 90 days for the purposes of research, studies, pupil exchange, remunerated and unremunerated training, voluntary service au pairing;

| (b) | the conditions of entry and residence of third-country national students and remunerated trainees for a period exceeding 90 days in Member States other than the Member State which first grants the third-country national an authorisation on the basis of this Directive; |
| --- | --- |

(b)

the conditions of entry and residence of third-country national students and remunerated trainees for a period exceeding 90 days in Member States other than the Member State which first grants the third-country national an authorisation on the basis of this Directive;

| (c) | the conditions of entry and residence of third-country national researchers in Member States other than the Member State which first grants the third-country national an authorisation on the basis of this Directive. |
| --- | --- |

(c)

the conditions of entry and residence of third-country national researchers in Member States other than the Member State which first grants the third-country national an authorisation on the basis of this Directive.

Article 2

Scope

1.   This Directive applies to third-country nationals who apply to be admitted to the territory of a Member State for the purpose of research, studies, pupil exchange, remunerated or unremunerated training, voluntary service or au pairing.

2.   This Directive shall not apply to third-country nationals:

| (a) | residing in a Member State as asylum-seekers, or under subsidiary forms of protection, or under temporary protection schemes; |
| --- | --- |

(a)

residing in a Member State as asylum-seekers, or under subsidiary forms of protection, or under temporary protection schemes;

| (b) | whose expulsion has been suspended for reasons of fact or of law; |
| --- | --- |

(b)

whose expulsion has been suspended for reasons of fact or of law;

| (c) | who are family members of Union citizens who have exercised their right to free movement within the Union; |
| --- | --- |

(c)

who are family members of Union citizens who have exercised their right to free movement within the Union;

| (d) | who enjoy long-term resident status in a Member State in accordance with Council Directive 2003/109/EC (14) and exercise their right to reside in another Member State in order to study or receive vocational training; |
| --- | --- |

(d)

who enjoy long-term resident status in a Member State in accordance with Council Directive 2003/109/EC (14) and exercise their right to reside in another Member State in order to study or receive vocational training;

| (e) | considered under the national legislation of the Member State concerned as self-employed persons; |
| --- | --- |

(e)

considered under the national legislation of the Member State concerned as self-employed persons;

| (f) | who, together with their family members, and irrespective of their nationality, enjoy rights of free movement equivalent to those of citizens of the Union under agreements either between the Union and the Member States or between the Union and third countries; |
| --- | --- |

(f)

who, together with their family members, and irrespective of their nationality, enjoy rights of free movement equivalent to those of citizens of the Union under agreements either between the Union and the Member States or between the Union and third countries;

| (g) | trainees who come to the Union in the context of an intra-corporate transfer under [Directive 2013/xx/EU on intra-corporate transfers]. |
| --- | --- |

(g)

trainees who come to the Union in the context of an intra-corporate transfer under [Directive 2013/xx/EU on intra-corporate transfers].

Article 3

Definitions

For the purposes of this Directive:

| (a) | ‘third-country national’ means a person who is not a citizen of the Union within the meaning of Article 20(1) of the Treaty; |
| --- | --- |

(a)

‘third-country national’ means a person who is not a citizen of the Union within the meaning of Article 20(1) of the Treaty;

| (b) | ‘researcher’ means a third-country national holding an appropriate higher education qualification, which gives access to doctoral programmes, who is selected by a research organisation for carrying out a research project for which the above qualification is normally required; |
| --- | --- |

(b)

‘researcher’ means a third-country national holding an appropriate higher education qualification, which gives access to doctoral programmes, who is selected by a research organisation for carrying out a research project for which the above qualification is normally required;

| (c) | ‘student’ means a third-country national accepted by an establishment of higher education and admitted to the territory of a Member State to pursue as his/her main activity a full-time course of study leading to a higher education qualification recognised by the Member State, including diplomas, certificates or doctoral degrees in an establishment of higher education, which may cover a preparatory course prior to such education according to its national legislation; |
| --- | --- |

(c)

‘student’ means a third-country national accepted by an establishment of higher education and admitted to the territory of a Member State to pursue as his/her main activity a full-time course of study leading to a higher education qualification recognised by the Member State, including diplomas, certificates or doctoral degrees in an establishment of higher education, which may cover a preparatory course prior to such education according to its national legislation;

| (d) | ‘school pupil’ means a third-country national admitted to the territory of a Member State to follow a recognised programme of secondary education in the context of an exchange scheme operated by an organisation recognised for that purpose by the Member State in accordance with its national legislation or administrative practice; |
| --- | --- |

(d)

‘school pupil’ means a third-country national admitted to the territory of a Member State to follow a recognised programme of secondary education in the context of an exchange scheme operated by an organisation recognised for that purpose by the Member State in accordance with its national legislation or administrative practice;

| (e) | ‘unremunerated trainee’ means a third-country national who has been admitted to the territory of a Member State for a training period without remuneration in accordance with the national legislation of the Member State concerned; |
| --- | --- |

(e)

‘unremunerated trainee’ means a third-country national who has been admitted to the territory of a Member State for a training period without remuneration in accordance with the national legislation of the Member State concerned;

| (f) | ‘remunerated trainee’ means a third-country national who has been admitted to the territory of a Member State for a training period in return for which he/she receives remuneration in accordance with the national legislation of the Member State concerned; |
| --- | --- |

(f)

‘remunerated trainee’ means a third-country national who has been admitted to the territory of a Member State for a training period in return for which he/she receives remuneration in accordance with the national legislation of the Member State concerned;

| (g) | ‘volunteer’ means a third-country national admitted to the territory of a Member State to participate in a recognised voluntary service scheme; |
| --- | --- |

(g)

‘volunteer’ means a third-country national admitted to the territory of a Member State to participate in a recognised voluntary service scheme;

| (ga) | ‘volunteering provider’ means an organisation responsible for the voluntary service scheme to which the third-country national is assigned. Such organisations and groups are independent and self-governing as other non-profit entities, such as public authorities. They are active in the public arena and their activity is aimed, at least in part, at contributing to the public good

   (15)
  ; [Am. 17] |
| --- | --- |

(ga)

‘volunteering provider’ means an organisation responsible for the voluntary service scheme to which the third-country national is assigned. Such organisations and groups are independent and self-governing as other non-profit entities, such as public authorities. They are active in the public arena and their activity is aimed, at least in part, at contributing to the public good

   (15)
  ; [Am. 17]

| (h) | ‘voluntary service scheme’ means a programme of activities of practical solidarity, based on a scheme recognised by the Member State or the Union, pursuing objectives of general interest
  for a non-profit cause
  ; [Am. 18] |
| --- | --- |

(h)

‘voluntary service scheme’ means a programme of activities of practical solidarity, based on a scheme recognised by the Member State or the Union, pursuing objectives of general interest
  for a non-profit cause
  ; [Am. 18]

| (i) | ‘au pair’ means a third-country national who is temporarily received by a family in the territory of a Member State in exchange for light housework and taking care of children in order to improve his/her linguistic skills and his/her knowledge of the host country
  in exchange for light housework and taking care of children
  ; [Am. not concerning all languages] |
| --- | --- |

(i)

‘au pair’ means a third-country national who is temporarily received by a family in the territory of a Member State in exchange for light housework and taking care of children in order to improve his/her linguistic skills and his/her knowledge of the host country
  in exchange for light housework and taking care of children
  ; [Am. not concerning all languages]

| (j) | ‘research’ means creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications; |
| --- | --- |

(j)

‘research’ means creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications;

| (k) | ‘research organisation’ means any public or private organisation which conducts research and which has been approved for the purposes of this Directive by a Member State in accordance with the latter's legislation or administrative practice; |
| --- | --- |

(k)

‘research organisation’ means any public or private organisation which conducts research and which has been approved for the purposes of this Directive by a Member State in accordance with the latter's legislation or administrative practice;

| (l) | ‘educational establishment’ means a public or private establishment recognised by the host Member State and/or whose courses of study are recognised in accordance with its national legislation or administrative practice on the basis of transparent criteria for the purposes set out in this Directive; |
| --- | --- |

(l)

‘educational establishment’ means a public or private establishment recognised by the host Member State and/or whose courses of study are recognised in accordance with its national legislation or administrative practice on the basis of transparent criteria for the purposes set out in this Directive;

| (la) | ‘host entity’ means the educational establishment, research organisation, enterprise or vocational training establishment, organisation operating pupil exchanges or organisation responsible for the voluntary service scheme to which the third-country national is assigned, regardless of its legal form, established in accordance with national law in the territory of a Member State; [Am. 20] |
| --- | --- |

(la)

‘host entity’ means the educational establishment, research organisation, enterprise or vocational training establishment, organisation operating pupil exchanges or organisation responsible for the voluntary service scheme to which the third-country national is assigned, regardless of its legal form, established in accordance with national law in the territory of a Member State; [Am. 20]

| (lb) | ‘host family’ means the family temporarily receiving the au-pair and letting him/her share its daily family life in the territory of a Member State on the basis of an agreement concluded between the host family and the au-pair; [Am. 21] |
| --- | --- |

(lb)

‘host family’ means the family temporarily receiving the au-pair and letting him/her share its daily family life in the territory of a Member State on the basis of an agreement concluded between the host family and the au-pair; [Am. 21]

| (m) | ‘remuneration’ means the payment, whatever form it takes, received in consideration for the services performed and being considered under national legislation or established practice as a constituent element of an employment relationship; |
| --- | --- |

(m)

‘remuneration’ means the payment, whatever form it takes, received in consideration for the services performed and being considered under national legislation or established practice as a constituent element of an employment relationship;

| (n) | ‘employment’ means the exercise of activities covering whatever

  a
  form of labour or work regulated under national law or
  applicable collective agreement or
  established practice for and under the direction and supervision of an employer; [Am. 22] |
| --- | --- |

(n)

‘employment’ means the exercise of activities covering whatever

  a
  form of labour or work regulated under national law or
  applicable collective agreement or
  established practice for and under the direction and supervision of an employer; [Am. 22]

| (na) | ‘employer’ means any natural person or any legal entity, for or under the direction and/or supervision of whom or which the employment is undertaken; [Am. 23] |
| --- | --- |

(na)

‘employer’ means any natural person or any legal entity, for or under the direction and/or supervision of whom or which the employment is undertaken; [Am. 23]

| (nb) | ‘family members’ means third-country nationals as defined in Article 4 of Directive 2003/86/EC; [Am. 24] |
| --- | --- |

(nb)

‘family members’ means third-country nationals as defined in Article 4 of Directive 2003/86/EC; [Am. 24]

| (o) | ‘first Member State’ means the Member State which first grants a third-country national an authorisation on the basis of this Directive; |
| --- | --- |

(o)

‘first Member State’ means the Member State which first grants a third-country national an authorisation on the basis of this Directive;

| (p) | ‘second Member State’ means any Member State other than the first Member State; |
| --- | --- |

(p)

‘second Member State’ means any Member State other than the first Member State;

| (q) | ‘Union programmes including mobility measures’ means Union funded programmes promoting inward mobility of third country nationals to the Union; |
| --- | --- |

(q)

‘Union programmes including mobility measures’ means Union funded programmes promoting inward mobility of third country nationals to the Union;

| (r) | ‘authorisation’ means a residence permit issued by the authorities of a Member State allowing a third-country national to stay legally on its territory, in accordance with Article 1(2)(a) of Regulation (EC) No 1030/2002 or a long-stay visa; |
| --- | --- |

(r)

‘authorisation’ means a residence permit issued by the authorities of a Member State allowing a third-country national to stay legally on its territory, in accordance with Article 1(2)(a) of Regulation (EC) No 1030/2002 or a long-stay visa;

| (s) | ‘long-stay visa’ means an authorisation issued by a Member State as provided for in Article 18 of the Schengen Convention or issued in accordance with the national law of Member States that do not fully implement the Schengen acquis. |
| --- | --- |

(s)

‘long-stay visa’ means an authorisation issued by a Member State as provided for in Article 18 of the Schengen Convention or issued in accordance with the national law of Member States that do not fully implement the Schengen acquis.

Article 4

More favourable provisions

1.   This Directive shall be without prejudice to more favourable provisions of:

| (a) | bilateral or multilateral agreements concluded between the Union or the Union and its Member States and one or more third countries; or |
| --- | --- |

(a)

bilateral or multilateral agreements concluded between the Union or the Union and its Member States and one or more third countries; or

| (b) | bilateral or multilateral agreements concluded between one or more Member States and one or more third countries. |
| --- | --- |

(b)

bilateral or multilateral agreements concluded between one or more Member States and one or more third countries.

2.   This Directive shall be without prejudice to the right of Member States to adopt or maintain provisions that are more favourable to the persons to whom it applies with respect to Articles
  16, 17, 18, 19, 20,
  21, 22, 23, 24, 25
  , 26, 27, 28,

  and 29,
  30, 31, 32, 33 and 34,
  especially in the context of Mobility Partnerships. [Am. 25]

CHAPTER II

ADMISSION

Article 5

Principle

1.   The admission of a third-country national under this Directive shall be subject to the verification of documentary evidence showing that he/she meets the general conditions laid down in Article 6 and the specific conditions in whichever of Articles 7 to 14 applies to the relevant category.

2.   Once all the general and specific conditions for admission are fulfilled, applicants shall be entitled to a long-stay visa and/or residence permit. If a Member State issues residence permits only on its territory and not elsewhere and all the admission conditions laid down in this Directive are fulfilled, the Member State concerned shall issue the third country national the requisite visa.

Article 6

General conditions

A third-country national who applies to be admitted for the purposes set out in this Directive shall:

| (a) | present a valid travel document as determined by national legislation; Member States may require the period of validity of the travel document to cover at least the duration of the planned stay; |
| --- | --- |

(a)

present a valid travel document as determined by national legislation; Member States may require the period of validity of the travel document to cover at least the duration of the planned stay;

| (b) | if he/she is a minor under the national legislation of the host Member State, present a parental authorisation or equivalent for the planned stay; |
| --- | --- |

(b)

if he/she is a minor under the national legislation of the host Member State, present a parental authorisation or equivalent for the planned stay;

| (c) | have sickness insurance for all risks normally covered for nationals of the Member State concerned; |
| --- | --- |

(c)

have sickness insurance for all risks normally covered for nationals of the Member State concerned;

| (d) | not be regarded as a threat to public policy, public security or public health; [Am. 26] |
| --- | --- |

(d)

not be regarded as a threat to public policy, public security or public health; [Am. 26]

| (e) | provide proof, if the Member State so requests, that he/she has paid the fee for processing the application on the basis of Article 31; |
| --- | --- |

(e)

provide proof, if the Member State so requests, that he/she has paid the fee for processing the application on the basis of Article 31;

| (f) | provide the evidence requested by the Member State that during his/her stay he/she will have sufficient resources to cover his/her subsistence, training and return travel costs, without prejudice to an individual examination of each case.
  The provision of such evidence shall not be necessary if the third-country national concerned can prove that he/she is in receipt of a grant or scholarship, that he/she has received an undertaking of sponsorship from a host family or a firm offer of work or that an organisation operating pupil exchanges or the voluntary service scheme declares itself responsible for the subsistence of the pupil or the volunteer throughout the period of his/her stay in the Member State in question. [Am. 27] |
| --- | --- |

(f)

provide the evidence requested by the Member State that during his/her stay he/she will have sufficient resources to cover his/her subsistence, training and return travel costs, without prejudice to an individual examination of each case.
  The provision of such evidence shall not be necessary if the third-country national concerned can prove that he/she is in receipt of a grant or scholarship, that he/she has received an undertaking of sponsorship from a host family or a firm offer of work or that an organisation operating pupil exchanges or the voluntary service scheme declares itself responsible for the subsistence of the pupil or the volunteer throughout the period of his/her stay in the Member State in question. [Am. 27]

Article 7

Specific conditions for researchers

1.   In addition to the general conditions laid down in Article 6, a third-country national who applies to be admitted for the purpose of carrying out research shall:

| (a) | present a hosting agreement signed with a research organisation in accordance with Article 9(1) and Article 9(2); |
| --- | --- |

(a)

present a hosting agreement signed with a research organisation in accordance with Article 9(1) and Article 9(2);

| (b) | where appropriate, present a statement of financial responsibility issued by the research organisation in accordance with Article 9(3). |
| --- | --- |

(b)

where appropriate, present a statement of financial responsibility issued by the research organisation in accordance with Article 9(3).

2.   Member States may check the terms upon which the hosting agreement has been based and concluded.

3.   Once the checks referred to in paragraphs 1 and 2 have been positively concluded, researchers shall be admitted to the territory of the Member State to carry out the hosting agreement.

4.   Applications from third-country nationals wishing to pursue research in the Union shall be considered and examined when the third-country national concerned is residing outside the territory of the Member State to which he/she wishes to be admitted.

5.   Member States may accept

  shall examine
  , in accordance with their national legislation, an application submitted when the third-country national concerned is already in their territory. [Am. 28]

6.   Member States shall determine whether applications for authorisations are to be made by the researcher or by the research organisation concerned.

Article 8

Approval of research organisations

1.   Any research organisation wishing to host a researcher under the admission procedure laid down in this Directive shall first be approved for that purpose by the Member State concerned.

2.   The approval of the research organisations shall be in accordance with procedures set out in the national law or administrative practice of the Member States. Applications for approval by both public and private organisations shall be made in accordance with those procedures and be based on their statutory tasks or corporate purposes as appropriate and on proof that they conduct research.

The approval granted to a research organisation shall be for a minimum period of five years. In exceptional cases, Member States may grant approval for a shorter period.

3.   Member States may require, in accordance with national legislation, a written undertaking of the research organisation that in cases where a researcher remains illegally in the territory of the Member State concerned, the said organisation is responsible for reimbursing the costs related to his/her stay and return incurred by public funds. The financial responsibility of the research organisation shall end at the latest six months after the termination of the hosting agreement.

4.   Member States may provide that, within two months of the date of expiry of the hosting agreement concerned, the approved organisation shall provide the competent authorities designated for the purpose by the Member States with confirmation that the work has been carried out for each of the research projects in respect of which a hosting agreement has been signed pursuant to Article 9.

5.   The competent authorities in each Member State shall publish and update lists of the research organisations approved for the purposes of this Directive whenever a change is made to those lists.

6.   A Member State may, among other measures, refuse to renew or decide to withdraw the approval of a research organisation which no longer meets the conditions laid down in paragraphs 2, 3 and 4 or in cases where the approval has been fraudulently acquired or where a research organisation has signed a hosting agreement with a third-country national fraudulently or negligently. Where approval has been refused or withdrawn, the organisation concerned may be banned from reapplying for approval up to five years from the date of publication of the decision on withdrawal or non-renewal.

7.   Member States may determine in their national legislation the consequences of the withdrawal of the approval or refusal to renew the approval for the existing hosting agreements, concluded in accordance with Article 9, as well as the consequences for the residence permits of the researchers concerned.

Article 9

Hosting agreement

1.   A research organisation wishing to host a researcher shall sign a hosting agreement with the latter provided that the conditions laid down in Articles 6 and 7 are met.

The hosting agreement shall contain at least the following elements:

| (a) | the title and purpose of the research project; |
| --- | --- |

(a)

the title and purpose of the research project;

| (b) | an undertaking by the researcher to complete the research project; |
| --- | --- |

(b)

an undertaking by the researcher to complete the research project;

| (c) | confirmation by the organisation that it undertakes to host the researcher so that he or she can complete the research project; |
| --- | --- |

(c)

confirmation by the organisation that it undertakes to host the researcher so that he or she can complete the research project;

| (d) | the start and end date of the research project; |
| --- | --- |

(d)

the start and end date of the research project;

| (e) | information on the legal relationship between the research organisation and the researcher; |
| --- | --- |

(e)

information on the legal relationship between the research organisation and the researcher;

| (f) | information on the working conditions of the researcher. |
| --- | --- |

(f)

information on the working conditions of the researcher.

2.   Research organisations may sign hosting agreements only if the following conditions are met:

| (a) | the research project has been accepted by the relevant authorities in the organisation, after examination of:






  (i) | the purpose and duration of the research, and the availability of the necessary financial resources for it to be carried out; |
| --- | --- | --- |

(a)

the research project has been accepted by the relevant authorities in the organisation, after examination of:

(i)

the purpose and duration of the research, and the availability of the necessary financial resources for it to be carried out;

| (ii) | the researcher’s qualifications in the light of the research objectives, as evidenced by a certified copy of his/her qualification in accordance with Article 2(b). |
| --- | --- |

(ii)

the researcher’s qualifications in the light of the research objectives, as evidenced by a certified copy of his/her qualification in accordance with Article 2(b).

3.   Once the hosting agreement is signed, the research organisation may be required, in accordance with national legislation, to provide the researcher with an individual statement that for costs within the meaning of Article 8(3) financial responsibility has been assumed.

4.   The hosting agreement shall automatically lapse when the researcher is not admitted or when the legal relationship between the researcher and the research organisation is terminated.

5.   Research organisations shall promptly inform the authority designated for the purpose by the Member States of any occurrence likely to prevent implementation of the hosting agreement.

Article 10

Specific conditions for students

1.   In addition to the general conditions laid down in Article 6, a third-country national who applies to be admitted for the purpose of study shall:

| (a) | provide evidence that he/she has been accepted by an establishment of higher education to follow a course of study; |
| --- | --- |

(a)

provide evidence that he/she has been accepted by an establishment of higher education to follow a course of study;

| (b) | provide evidence, if the Member State so requires, that he/she has paid the fees charged by the establishment; |
| --- | --- |

(b)

provide evidence, if the Member State so requires, that he/she has paid the fees charged by the establishment;

| (c) | provide evidence, if the Member State so requires, of sufficient knowledge of the language of the course to be followed by him/her. |
| --- | --- |

(c)

provide evidence, if the Member State so requires, of sufficient knowledge of the language of the course to be followed by him/her.

2.   Students who automatically qualify for sickness insurance for all risks normally covered for the nationals of the Member State concerned as a result of enrolment at an establishment shall be presumed to meet the condition laid down in Article 6(1)(c).

Article 11

Specific conditions for school pupils

1.   A third-country national who applies to be admitted in a pupil exchange scheme shall, in addition to the general conditions laid down in Article 6:

| (a) | not be below the minimum age nor above the maximum age set by the Member State concerned; |
| --- | --- |

(a)

not be below the minimum age nor above the maximum age set by the Member State concerned;

| (b) | provide evidence of acceptance by a secondary education establishment; |
| --- | --- |

(b)

provide evidence of acceptance by a secondary education establishment;

| (c) | provide evidence of participation in a recognised pupil exchange scheme programme operated by an organisation recognised for that purpose by the Member State concerned in accordance with its national legislation or administrative practice; |
| --- | --- |

(c)

provide evidence of participation in a recognised pupil exchange scheme programme operated by an organisation recognised for that purpose by the Member State concerned in accordance with its national legislation or administrative practice;

| (d) | provide evidence that the pupil exchange organisation accepts responsibility for him/her throughout his/her period of presence in the territory of the Member State concerned, in particular as regards subsistence, study, healthcare and return travel costs; |
| --- | --- |

(d)

provide evidence that the pupil exchange organisation accepts responsibility for him/her throughout his/her period of presence in the territory of the Member State concerned, in particular as regards subsistence, study, healthcare and return travel costs;

| (e) | be accommodated throughout his/her stay by a family meeting the conditions set by the Member State concerned and selected in accordance with the rules of the pupil exchange scheme in which he/she is participating. |
| --- | --- |

(e)

be accommodated throughout his/her stay by a family meeting the conditions set by the Member State concerned and selected in accordance with the rules of the pupil exchange scheme in which he/she is participating.

2.   Member States may confine the admission of school pupils participating in an exchange scheme to nationals of third countries which offer the same possibility for their own nationals.
  [Am. 29]

Article 12

Specific conditions for
  unremunerated and remunerated
  trainees [Am. 30]

1.   A third-country national who applies to be admitted as an unremunerated or remunerated trainee shall, in addition to the general conditions laid down in Article 6:

| (a) | have

  provide evidence of a
  signed a training agreement
  or employment contract
  , approved if need be by the relevant authority in the Member State concerned in accordance with its national legislation or administrative practice, for a placement with a public- or private-sector enterprise or vocational training establishment recognised by the Member State in accordance with its national legislation or administrative practice. [Am. 31] |
| --- | --- |

(a)

have

  provide evidence of a
  signed a training agreement
  or employment contract
  , approved if need be by the relevant authority in the Member State concerned in accordance with its national legislation or administrative practice, for a placement with a public- or private-sector enterprise or vocational training establishment recognised by the Member State in accordance with its national legislation or administrative practice. [Am. 31]

| (b) | prove, if the Member State so requires, that they have previous relevant education or qualifications or professional experience to benefit from the work experience.
  [Am. 32] |
| --- | --- |

(b)

prove, if the Member State so requires, that they have previous relevant education or qualifications or professional experience to benefit from the work experience.
  [Am. 32]

| (c) | receive, if the Member State so requires, basic language training so as to acquire the knowledge needed for the purposes of the placement. |
| --- | --- |

(c)

receive, if the Member State so requires, basic language training so as to acquire the knowledge needed for the purposes of the placement.

The agreement referred to in point (a) shall describe the training programme, specify its duration, the conditions under which the trainee is supervised in the performance of this programme, his/her working hours, the legal relationship with the host entity and, where the trainee is remunerated, the remuneration granted to him/her.

2.   Member States may require the host entity to declare that the third country national is not filling a job.

Article 13

Specific conditions for volunteers

A third-country national who applies to be admitted to a voluntary service scheme shall, in addition to the general conditions laid down in Article 6:

| (a) | produce an agreement with the organisation responsible in the Member State concerned for the voluntary service scheme
  /project
  in which he/she is participating, giving a description of

  which specifies the name, purpose and start and end date of the voluntary service project, the volunteer’s
  tasks, the conditions in which he/she is supervised in the performance of those tasks, his/her working hours, the resources available to cover his/her travel, subsistence, accommodation costs and pocket money throughout his/her stay and, if appropriate, the training he/she will receive to help him/her perform his/her service; [Am. 33] |
| --- | --- |

(a)

produce an agreement with the organisation responsible in the Member State concerned for the voluntary service scheme
  /project
  in which he/she is participating, giving a description of

  which specifies the name, purpose and start and end date of the voluntary service project, the volunteer’s
  tasks, the conditions in which he/she is supervised in the performance of those tasks, his/her working hours, the resources available to cover his/her travel, subsistence, accommodation costs and pocket money throughout his/her stay and, if appropriate, the training he/she will receive to help him/her perform his/her service; [Am. 33]

| (b) | provide evidence that the organisation responsible for the voluntary service scheme in which he/she is participating has subscribed to a third-party insurance policy; |
| --- | --- |

(b)

provide evidence that the organisation responsible for the voluntary service scheme in which he/she is participating has subscribed to a third-party insurance policy;

| (c) | and, if the host Member State specifically requires it, receive a basic introduction to the language, history and political and social structures of that Member State. |
| --- | --- |

(c)

and, if the host Member State specifically requires it, receive a basic introduction to the language, history and political and social structures of that Member State.

Article 14

Specific conditions for au-pairs

A third-country national who applies to be admitted for the purpose of working as an au-pair shall, in addition to the general conditions laid down in Article 6:

| (a) | be at least 17 but not more than 30 or, except in individually justified cases, more than 30 years of age; |
| --- | --- |

(a)

be at least 17 but not more than 30 or, except in individually justified cases, more than 30 years of age;

| (b) | provide evidence that the host family accepts responsibility for him/her throughout his/her period of presence in the territory of the Member State concerned, in particular with regard to subsistence, accommodation, healthcare, maternity or accident risks; [Am. 34] |
| --- | --- |

(b)

provide evidence that the host family accepts responsibility for him/her throughout his/her period of presence in the territory of the Member State concerned, in particular with regard to subsistence, accommodation, healthcare, maternity or accident risks; [Am. 34]

| (c) | produce an agreement between the au-pair and the host family defining his/her rights and obligations, including specifications about the pocket money to be received, and adequate arrangements
  on the hours dedicated to

  allowing him/her to attend courses, and participation in day-to-day family duties
  , indicating the maximum hours per day which may be dedicated to participation in such duties, including the grant of at least one full free day per week and allowing him/her to attend courses
  . [Am. 35] |
| --- | --- |

(c)

produce an agreement between the au-pair and the host family defining his/her rights and obligations, including specifications about the pocket money to be received, and adequate arrangements
  on the hours dedicated to

  allowing him/her to attend courses, and participation in day-to-day family duties
  , indicating the maximum hours per day which may be dedicated to participation in such duties, including the grant of at least one full free day per week and allowing him/her to attend courses
  . [Am. 35]

CHAPTER III

AUTHORISATIONS AND DURATION OF RESIDENCE

Article 15

Authorisations

Long-stay visas and residence permits shall bear the title ‘researcher’, ‘student’, ‘volunteer’, ‘school pupil’, ‘remunerated trainee’, ‘unremunerated trainee’ or ‘au pair’. For third-country national researchers and students coming to the Union under a specific Union programme including mobility measures, the authorisation shall mention the specific programme.

After successful authorisation and grant of a visa, the host entity shall be registered with an accreditation system, in order to facilitate future application procedures. [Am. 36]

Article 16

Duration of residence

1.   Member States shall issue an authorisation for researchers for a period of at least one year and shall renew it if the conditions laid down in Articles 6, 7 and 9 are still met. If the research project is scheduled to last less than one year, the authorisation shall be issued for the duration of the project.

2.   Member States shall issue an authorisation for students
  which shall be
  for a period of at least one year and

  or, when the duration of their studies is longer than one year, for the whole duration of their studies and where appropriate
  shall renew it if the conditions laid down in Articles 6 and 10 are still met. If the period of studies is scheduled to last less than one year, the authorisation shall be issued for the duration of the studies.
  [Am. 37]

3.   For school pupils and au pairs, Member States shall issue an authorisation
  covering the whole duration of the pupil exchange scheme or of the agreement between the host family and the au pair
  for a maximum period of one year. [Am. 38]

4.   The period of validity of an authorisation issued to trainees shall correspond to the duration of the placement or shall be for a maximum of one year. In exceptional cases, it may be renewed, once only and in the form of a permit and exclusively for such time as is needed to acquire a vocational qualification recognised by a Member State in accordance with its national legislation or administrative practice, provided the holder still meets the conditions laid down in Articles 6 and 12.

5.   An authorisation issued to volunteers shall be issued for a period of no more than one year. In exceptional cases, if the duration of the relevant programme is longer than one year, the duration of the validity of the required authorisation may correspond to the period concerned.

6.   In cases where Member States allow entry and residence on the basis of a long-stay visa, a residence permit shall be issued with the first extension of the initial stay. Where the validity of the long-stay visa is shorter than the authorised duration of stay, the long-stay visa shall be replaced by a residence permit without additional formalities before the expiry of the visa.

Article 17

Additional information

Member States may indicate additional information related to the stay of the third-country national, such as the full list of Member States that the researcher or student
  has declared that he/she
  intends to go to
  in accordance with Article 27(1)(a)
  , in paper format, or store such data in electronic format as referred to in Article 4 of Regulation (EC) No 1030/2002 and in point (a) 16 of the Annex thereto. [Am. 39]

CHAPTER IV

Grounds for refusal, withdrawal or non-renewal of authorisations

Article 18

Grounds for rejection

  refusal
  of an application

  authorisation

1.   Member States shall reject an application

  refuse an authorisation
  in the following cases:

| (a) | where the general conditions laid down in Article 6
  or
  the relevant specific conditions laid down in Articles 7 and 10 to 16 are not met; |
| --- | --- |

(a)

where the general conditions laid down in Article 6
  or
  the relevant specific conditions laid down in Articles 7 and 10 to 16 are not met;

| (b) | where the documents presented have been fraudulently acquired, falsified or tampered with; |
| --- | --- |

(b)

where the documents presented have been fraudulently acquired, falsified or tampered with;

| (c) | where the host entity or educational establishment was established in the sole purpose of facilitating entry; |
| --- | --- |

(c)

where the host entity or educational establishment was established in the sole purpose of facilitating entry;

| (d) | where the host entity has been sanctioned in conformity with national law for undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent; |
| --- | --- |

(d)

where the host entity has been sanctioned in conformity with national law for undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent;

| (e) | where the host family, or, if applicable, any intermediary organisation involved in the placement of the au-pair, has been sanctioned in conformity with national law for breach of the conditions and/or objectives of au-pair placements and/or illegal employment. |
| --- | --- |

(e)

where the host family, or, if applicable, any intermediary organisation involved in the placement of the au-pair, has been sanctioned in conformity with national law for breach of the conditions and/or objectives of au-pair placements and/or illegal employment.

2.   Member States may reject an application if the host entity appears to have deliberately eliminated the positions it is trying to fill through the new application within the 12 months immediately preceding the date of the application.

  refuse an authorisation in the following cases:

| (a) | where the host entity has been sanctioned in accordance with national law for undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent; |
| --- | --- |

(a)

where the host entity has been sanctioned in accordance with national law for undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent;

| (b) | where the host family, or, if applicable, any intermediary organisation involved in the placement of the au-pair, has been sanctioned in accordance with national law for breach of the conditions and/or objectives of au-pair placements and/or illegal employment; |
| --- | --- |

(b)

where the host family, or, if applicable, any intermediary organisation involved in the placement of the au-pair, has been sanctioned in accordance with national law for breach of the conditions and/or objectives of au-pair placements and/or illegal employment;

| (c) | where the host entity or educational establishment was established for the sole purpose of facilitating entry. [Am. 40] |
| --- | --- |

(c)

where the host entity or educational establishment was established for the sole purpose of facilitating entry. [Am. 40]

Article 19

Grounds for withdrawal
  or non-renewal
  of an authorisation

1.   Member States shall withdraw
  or refuse to renew
  an authorisation in the following cases:

| (a) | where the holder no longer meets the general conditions laid down in Article 6 or the relevant specific conditions laid down in Articles 7, 10 to 14 or 16; |
| --- | --- |

(a)

where the holder no longer meets the general conditions laid down in Article 6 or the relevant specific conditions laid down in Articles 7, 10 to 14 or 16;

| (a

  b
  ) | where authorisations and documents presented have been fraudulently acquired, falsified or tampered with; |
| --- | --- |

(a

  b
  )

where authorisations and documents presented have been fraudulently acquired, falsified or tampered with;

| (b) | where the third-country national is residing for purposes other than those for which he/she was authorised to reside; |
| --- | --- |

(b)

where the third-country national is residing for purposes other than those for which he/she was authorised to reside;

| (c) | where the host entity was established for the sole purpose of facilitating entry; |
| --- | --- |

(c)

where the host entity was established for the sole purpose of facilitating entry;

2.
     
  Member States may withdraw or refuse to renew an authorisation in the following cases:

| (d

  a
  ) | where the host entity does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent.
  In the event of this occurring during a course of study, reasonable time should be given for the student to find an equivalent course to enable the completion of his/her studies
  ; |
| --- | --- |

(d

  a
  )

where the host entity does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent.
  In the event of this occurring during a course of study, reasonable time should be given for the student to find an equivalent course to enable the completion of his/her studies
  ;

| (e

  b
  ) | where the host family, or, if applicable, any intermediary organisation involved for the placement of the au-pair,

  entity
  has been sanctioned in conformity

  accordance
  with national law for breach of the conditions and/or objectives of au-pair placements and/or for illegal employment

  undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent
  ; |
| --- | --- |

(e

  b
  )

where the host family, or, if applicable, any intermediary organisation involved for the placement of the au-pair,

  entity
  has been sanctioned in conformity

  accordance
  with national law for breach of the conditions and/or objectives of au-pair placements and/or for illegal employment

  undeclared work and/or illegal employment or does not meet the legal obligations regarding social security and/or taxation set out in national law or has filed for bankruptcy or is otherwise insolvent
  ;

| (c) | where the host entity was established for the sole purpose of facilitating entry; |
| --- | --- |

(c)

where the host entity was established for the sole purpose of facilitating entry;

| (d) | where the host family, or, if applicable, any intermediary organisation involved for the placement of the au-pair, has been sanctioned in accordance with national law for breach of the conditions and/or objectives of au-pair placements and/or for illegal employment; |
| --- | --- |

(d)

where the host family, or, if applicable, any intermediary organisation involved for the placement of the au-pair, has been sanctioned in accordance with national law for breach of the conditions and/or objectives of au-pair placements and/or for illegal employment;

| (e) | where the third-country national is residing for purposes other than those for which he/she was authorised to reside; |
| --- | --- |

(e)

where the third-country national is residing for purposes other than those for which he/she was authorised to reside;

| (f) | for students, where the time limits imposed on access to economic activities under Article 23 are not respected; or if the respective student does . |
| --- | --- |

(f)

for students, where the time limits imposed on access to economic activities under Article 23 are not respected; or if the respective student does .

| (g) | for students, where they do
  not make acceptable progress in the relevant studies in accordance with national legislation or administrative practice
  . The Member State concerned may withdraw or refuse to renew an authorisation on this ground only by a decision stating specific reasons based on the evaluation of the educational establishment, which shall be consulted on the student's progress, save when the establishment fails to respond to a request for an opinion within a reasonable period of time; |
| --- | --- |

(g)

for students, where they do
  not make acceptable progress in the relevant studies in accordance with national legislation or administrative practice
  . The Member State concerned may withdraw or refuse to renew an authorisation on this ground only by a decision stating specific reasons based on the evaluation of the educational establishment, which shall be consulted on the student's progress, save when the establishment fails to respond to a request for an opinion within a reasonable period of time;

2.   Member States may withdraw an authorisation

| (h) | for reasons of public policy, public security or public health
  . Public policy or public security grounds shall be based exclusively on the personal conduct of the third-country national concerned. Public health grounds shall be based on an objective analysis of genuine risks and shall not be applied in a discriminatory way when compared to nationals of the Member State concerned. |
| --- | --- |

(h)

for reasons of public policy, public security or public health
  . Public policy or public security grounds shall be based exclusively on the personal conduct of the third-country national concerned. Public health grounds shall be based on an objective analysis of genuine risks and shall not be applied in a discriminatory way when compared to nationals of the Member State concerned.

2a.
     
  When a Member State withdraws an authorisation on one of the grounds under paragraph 2(a), (b) or (c), the third-country national shall be entitled to stay on the territory of that Member State if he/she finds another host entity or host family in order to finish his/her studies or research or for another purpose for which the authorisation was granted. [Am. 41]

Article 20

Grounds for non-renewal of an authorisation

1.   Member States may refuse to renew an authorisation in the following cases:

| (a) | where the authorisation and documents presented have been fraudulently acquired, falsified or tampered with; |
| --- | --- |

(a)

where the authorisation and documents presented have been fraudulently acquired, falsified or tampered with;

| (b) | where it appears that the holder no longer meets the general conditions for entry and residence laid down in Article 6 and the relevant specific conditions laid down in Articles 7, 9 and 10; |
| --- | --- |

(b)

where it appears that the holder no longer meets the general conditions for entry and residence laid down in Article 6 and the relevant specific conditions laid down in Articles 7, 9 and 10;

| (c) | for students, where the time limits imposed on access to economic activities under Article 23 are not respected or where the student does not make acceptable progress in the relevant studies in accordance with national legislation or administrative practice. |
| --- | --- |

(c)

for students, where the time limits imposed on access to economic activities under Article 23 are not respected or where the student does not make acceptable progress in the relevant studies in accordance with national legislation or administrative practice.

2.   Member States may refuse to renew an authorisation on grounds of public policy, public security and public health.
  [Am. 42]

CHAPTER V

RIGHTS

Article 21

Equal treatment

1.   By way of derogation from Article 12(2)
  (a) and
  (b) of Directive 2011/98/EU, third-country national researchers
  and students
  shall be entitled to equal treatment with nationals of the host Member State as regards
  education and vocational training and
  branches of social security, including family benefits, as defined in Regulation (EC) No 883/2004. [Am. 43]

2.   
  Students,

  School

  school
  pupils, volunteers, unremunerated trainees and au pairs, irrespective of whether they are allowed to work in accordance with Union or national law, shall be entitled to equal treatment in relation to access to goods and services and the supply of goods and services made available to the public, except procedures for obtaining housing as provided for by national law. [Am. 44]

2a.
     
  Third-country nationals falling within the scope of this Directive and being authorised to enter and stay on the territory of a Member State on the basis of a long-stay visa shall be entitled to equal treatment with nationals of the host Member State as regards the rights referred to in paragraphs 1 and 2 of this Article. [Am. 45]

Article 22

Teaching by researchers

Researchers admitted under this Directive may teach in accordance with national legislation.. Member States may set a maximum number of hours or of days for the activity of teaching.

Article 23

Economic activities by students

1.   Outside their study time and subject to the rules and conditions applicable to the relevant activity in the host Member State, students shall be entitled to be employed and may be entitled to exercise self-employed economic activity. The situation of the labour market in the host Member State may be taken into account
  , but not in a systematic manner which could result in students being excluded from the labour market
  . [Am. 46]

2.   Where necessary, Member States shall grant students and/or employers prior authorisation in accordance with national legislation.

3.   Each Member State shall determine the maximum number of hours per week or days or months per year allowed for such an activity, which shall not be less than 20 hours per week, or the equivalent in days or months per year.

4.   Member States may require students to report, in advance or otherwise, to an authority designated by the Member State concerned, that they are engaging in an economic activity. Their employers may also be subject to a reporting obligation, in advance or otherwise.

Article 24

Job-searching and entrepreneurship for researchers and students

1.
     After finalisation of research or studies in the Member State, third-country nationals shall be entitled to stay on the territory of the Member State for a period of 12

  18
  months in order to look for work or set up a business, if the conditions laid down in points (a) and (c) to (f) of Article 6 are still fulfilled. In a period of more than 3

  six
  and less than 6

  nine
  months, third-country nationals may be requested to provide evidence that they continue to seek employment or are in the process of setting up a business. After a period of 6

  nine
  months, third-country nationals may additionally be requested to provide evidence that they have a genuine chance of being engaged or of launching a business.

2.
     
  Member States shall issue an authorisation for the purposes of paragraph 1 of this Article to the third-country national concerned and, where relevant, to his/her family members in accordance with their national law, provided that the conditions laid down in points (a) and (c) to (f) of Article 6 are fulfilled. [Am. 47]

Article 25

Researchers'
  and students'
  family members

1.   By way of derogation from Article 3(1) and Article 8 of Directive 2003/86/EC, family reunification shall not be made dependent on the holder of the authorisation to stay for the purposes of research
  or studies
  having reasonable prospects of obtaining the right of permanent residence and having a minimum period of residence.

2.   By way of derogation from the last subparagraph of Article 4(1) and Article 7(2) of Directive 2003/86/EC, the integration conditions and measures referred to in those provisions may only be applied after the persons concerned have been granted family reunification.

3.   By way of derogation from the first subparagraph of Article 5(4) of Directive 2003/86/EC, authorisations for family members shall be granted, where the conditions for family reunification are fulfilled, within 90 days from the date on which the application was lodged, and 60 days from the date of the initial application for family members of third-country national researchers
  and students
  covered by the relevant Union programmes including mobility measures.

4.   By way of derogation from Article 13(2) and (3) of Directive 2003/86/EC, the duration of validity of the authorisation of family members shall be the same as that of the authorisation granted to the researcher
  or the student
  insofar as the period of validity of their travel documents allows it.

5.   By way of derogation from the second sentence of Article 14(2) of Directive 2003/86/EC, Member States shall not apply any time limit in respect of access to the labour market. [Am. 48]

CHAPTER VI

MOBILITY BETWEEN MEMBER STATES

Article 26

Right to mobility between Member States for researchers, students
  , volunteers,

  and remunerated trainees

1.   A third-country national who has been admitted as a researcher under this Directive shall be allowed to carry out part of his/her research in another Member State under the conditions as set out in this Article.

If the researcher stays in another Member State for a period of up to six months, the research may be carried out on the basis of the hosting agreement concluded in the first Member State, provided that he
  /she
  has sufficient resources in the other Member State and is not considered as a threat to public policy, public security or public health in the second Member State.

If the researcher stays in another Member State for more than six months, Member States may require a new hosting agreement to carry out the research in that Member State. If Member States require an authorisation in order to exercise mobility, such authorisations shall be granted in accordance with the procedural guarantees specified in Article 30

  29
  Member States shall not require researchers to leave the territory in order to submit applications for authorisations.

2.   For periods exceeding three months, but not exceeding six months, a third-country national who has been admitted as a student
  , volunteer,
  or as a remunerated trainee under this Directive shall be allowed to carry out part of his/her studies/traineeship
  /volunteer activity
  in another Member State provided that before his or her transfer to that Member State, he/she has submitted the following to the competent authority of the second Member State:

| (a) | a valid travel document; |
| --- | --- |

(a)

a valid travel document;

| (b) | proof of sickness insurance for all risks normally covered for the nationals of the Member State concerned; |
| --- | --- |

(b)

proof of sickness insurance for all risks normally covered for the nationals of the Member State concerned;

| (c) | proof that he/she has been accepted by an establishment of higher education or a training
  or a volunteer
  host entity; |
| --- | --- |

(c)

proof that he/she has been accepted by an establishment of higher education or a training
  or a volunteer
  host entity;

| (d) | evidence that during his/her stay he/she will have sufficient resources to cover his/her subsistence, study and return travel costs. |
| --- | --- |

(d)

evidence that during his/her stay he/she will have sufficient resources to cover his/her subsistence, study and return travel costs.

3.   For the mobility of students
  , volunteers
  and trainees from the first Member State to a second Member State, the authorities of the second Member State shall inform the authorities of the first Member State on their decision. The cooperation procedures set out in Article 32 shall apply.

4.   For a third-country national who has been admitted as a student, transfers to a second Member State exceeding six months may be granted under the same conditions as those applied for mobility for a period exceeding three months but less than six months. If Member States require a new application for an authorisation to exercise mobility for a period exceeding six months, such authorisations shall be granted in accordance with Article 29.

5.   Member States shall not require students
  , volunteers or trainees
  to leave the territory in order to submit applications for authorisations for mobility between Member States. [Am. 49]

Article 27

Rights for researchers
  , volunteers, unremunerated and remunerated trainees
  and students covered by Union programmes including mobility measures

1.   Member States shall grant third-country nationals, who have been admitted as researchers
  , volunteers, unremunerated or remunerated trainees
  or students under this Directive and who are covered by Union programmes including mobility measures, an authorization covering the whole duration of their stay in the Member States concerned where:

| (a) | the full list of Member States that the researcher
  , volunteer, unremunerated or remunerated trainee
  or student
  has declared that he/she
  intends to go to is known prior to entry to the first Member State; |
| --- | --- |

(a)

the full list of Member States that the researcher
  , volunteer, unremunerated or remunerated trainee
  or student
  has declared that he/she
  intends to go to is known prior to entry to the first Member State;

| (b) | in the case of students, the applicant can provide evidence of acceptance by the relevant
  educational
  establishment of higher education to follow a course of study.; |
| --- | --- |

(b)

in the case of students, the applicant can provide evidence of acceptance by the relevant
  educational
  establishment of higher education to follow a course of study.;

| (ba) | in the case of volunteers, the applicant can provide evidence of acceptance by the relevant volunteering provider organisation or programme, such as the European Voluntary Service; |
| --- | --- |

(ba)

in the case of volunteers, the applicant can provide evidence of acceptance by the relevant volunteering provider organisation or programme, such as the European Voluntary Service;

| (bb) | in the case of trainees, the applicant can provide evidence of acceptance by the relevant host entity. |
| --- | --- |

(bb)

in the case of trainees, the applicant can provide evidence of acceptance by the relevant host entity.

2.   The authorisation shall be granted by the first Member State that the researcher
  , volunteer, unremunerated or remunerated trainee
  or student resides in.

3.   Where the full list of Member States is not known prior to entry into the first Member State:

| (a) | for researchers, the conditions as set out in Article 26 for stays in another Member States for periods of up to six months shall apply; |
| --- | --- |

(a)

for researchers, the conditions as set out in Article 26 for stays in another Member States for periods of up to six months shall apply;

| (b) | for students,
  unremunerated or remunerated trainees and volunteers
  , the conditions as set out in Article 26 for stays in another Member States for periods between three and six months shall apply. [Am. 50] |
| --- | --- |

(b)

for students,
  unremunerated or remunerated trainees and volunteers
  , the conditions as set out in Article 26 for stays in another Member States for periods between three and six months shall apply. [Am. 50]

Article 28

Residence in the second Member State for family members

1.   When a researcher moves to a second Member State in accordance with Articles 26 and 27, and when the family was already constituted in the first Member State, the members of his
  /her
  family shall be authorised to accompany or join him
  /her
  . [Am. not concerning all languages]

2.   No later than one month after entering the territory of the second Member State, the family members concerned or the researcher, in accordance with national law, shall submit an application for a residence permit as a family member to the competent authorities of that Member State.

In cases where the residence permit of the family members issued by the first Member State expires during the procedure or no longer entitles the holder to reside legally on the territory of the second Member State, Member States shall allow the person to stay in their territory, if necessary by issuing national temporary residence permits, or equivalent authorisations, allowing the applicant to continue to stay legally on their territory with the researcher until a decision on the application has been taken by the competent authorities of the second Member State.

3.   The second Member State may require the family members concerned to present with their application for a residence permit:

| (a) | their residence permit in the first Member State and a valid travel document, or their certified copies, as well as a visa, if required; |
| --- | --- |

(a)

their residence permit in the first Member State and a valid travel document, or their certified copies, as well as a visa, if required;

| (b) | evidence that they have resided as members of the family of the researcher in the first Member State; |
| --- | --- |

(b)

evidence that they have resided as members of the family of the researcher in the first Member State;

| (c) | evidence that they have a sickness insurance covering all risks in the second Member State, or that the researcher has such insurance for them. |
| --- | --- |

(c)

evidence that they have a sickness insurance covering all risks in the second Member State, or that the researcher has such insurance for them.

4.   The second Member State may require the researcher to provide evidence that the holder:

| (a) | has an accommodation regarded as normal for a comparable family in the same region and which meets the general health and safety standards in the Member State concerned; |
| --- | --- |

(a)

has an accommodation regarded as normal for a comparable family in the same region and which meets the general health and safety standards in the Member State concerned;

| (b) | has stable and regular resources which are sufficient to maintain himself
  /herself
  and the members of his
  /her
  family, without recourse to the social assistance of the Member State concerned. [Am. not concerning all languages] |
| --- | --- |

(b)

has stable and regular resources which are sufficient to maintain himself
  /herself
  and the members of his
  /her
  family, without recourse to the social assistance of the Member State concerned. [Am. not concerning all languages]

Member States shall evaluate these resources by reference to their nature and regularity and may take into account the level of minimum national wages and pensions as well as the number of family members.

CHAPTER VII

PROCEDURE AND TRANSPARENCY

Article 29

Procedural guarantees and transparency

1.   The competent authorities of the Member States shall decide on the complete application for an authorisation and shall notify the applicant in writing, in accordance with the notification procedures laid down in the national law of the Member State concerned, as soon as possible and at the latest within 60

  30
  days from the date on which the application was lodged, and within 30 days in the case of third-country national researchers and students covered by Union programmes including mobility measures.
  In the event that their national law provides for the possibility of an appeal before an administrative authority, the competent authorities of the Member States shall decide on the appeal at the latest within 30 days from the date on which the appeal was lodged. [Am. 53]

2.   If the information supplied in support of the application is inadequate, the competent authorities shall inform the applicant of any further information they need and
  , when registering the application,
  indicate a reasonable deadline to complete the application. The period referred to in paragraph 1 shall be suspended until the authorities have received the additional information required. [Am. 54]

3.   Any decision rejecting

  refusing
  an application

  authorisation

  for an authorisation shall be notified to the third-country national concerned in accordance with the notification procedures provided for under the relevant national legislation. The notification shall specify the possible redress procedures available, the national court or authority with which the person concerned may lodge an appeal and the time limit for taking action
  and provide all relevant practical information which facilitates the exercise of his/her right
  . [Am. 55]

4.   Where an application

  authorisation
  is rejected

  refused
  or an authorisation issued in accordance with this Directive is withdrawn, the person concerned shall have the right to mount a legal challenge before the authorities of the Member State concerned. [Am. 56]

Article 29a

Fast-track procedure for issuing residence permits or visas to students, school pupils and researchers

An agreement on the establishment of a fast-track admission procedure allowing residence permits or visas to be issued in the name of the third-country national concerned may be concluded between the authority of a Member State with responsibility for the entry and residence of students, school pupils or researchers who are third-country nationals and an educational establishment, an organisation operating pupil exchange schemes which has been recognised for this purpose or a research organisation which has been approved by the Member State concerned in accordance with its national legislation or administrative practice. [Am. 57]

Article 30

Transparency and access to information

Member States shall make available
  easily accessible and understandable
  information on entry and residence conditions for third-country nationals falling under the scope of this Directive, including the minimum monthly resources required, rights, all documentary evidence needed for an application and the applicable fees. Member States shall make available information on the research organisations approved under Article 8. [Am. 58]

Article 31

Fees

Member States may require applicants to pay

  payment of
  fees for the processing of

  handling
  applications in accordance with this Directive. The amount

  level
  of such fees shall not endanger

  be excessive or disproportionate in a way that would hinder
  the fulfilment of its objectives.
  Where those fees are paid by the third-country national, that third-country national shall be entitled to be reimbursed by the host entity or the host family respectively
  . [Am. 59]

CHAPTER VIII

FINAL PROVISIONS

Article 32

Contact points

1.   Member States shall appoint contact points which shall be responsible for receiving and transmitting the information needed to implement Articles 26 and 27.

2.   Member States shall provide appropriate cooperation in exchanges of the information referred to in paragraph 1.

2a.
     
  Member States shall facilitate the application procedure by allowing third-country nationals to apply and to be able to complete the procedure for any Member State in the embassy or consulate of the Member State which is most convenient for the applicant. [Am. 60]

Article 33

Statistics

Annually, and the first time no later than [...] Member States shall, in accordance with Regulation (EC) No 862/2007 of the European Parliament and of the Council (16), communicate to the Commission statistics on the volumes of third-country nationals who have been granted authorisations. In addition, and as far as possible, statistics shall be communicated to the Commission on volumes of third-country nationals whose authorisations have been renewed or withdrawn, during the previous calendar year, indicating their citizenship. Statistics on the admitted family members of researchers shall be communicated in the same manner.

The statistics referred to in paragraph 1 shall relate to reference periods of one calendar year and shall be supplied to the Commission within six months of the end of the reference year. The first reference year shall be [...]

Article 34

Reporting

Periodically, and for the first time by [five years after the date of transposition of this Directive], the Commission shall evaluate the application of this Directive and report to the European Parliament and the Council on the application of this Directive in the Member States and propose amendments if appropriate.

Article 35

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by [two years after the entry into force] at the latest. They shall forthwith communicate to the Commission the text of those provisions.

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. They shall also include a statement that references in existing laws, regulations and administrative provisions to the directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 36

Repeal

Directives 2005/71/EC and 2004/114/EC are repealed with effect from [day after the date set out in the first subparagraph of Article 35(1) of this Directive], without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex I, Part B.

References to the repealed Directives shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex II.

Article 37

Entry into force

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

Article 38

Addressees

This Directive is addressed to the Member States in accordance with the Treaties.

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 341, 21.11.2013, p. 50.

1

(2)  OJ C 114, 15.4.2014, p. 42.

2

(3)  Position of the European Parliament of 25 February 2014.

3

(4)  Council Directive 2004/114/EC of 13 December 2004 on the conditions of admission of third-country nationals for the purposes of studies, pupil exchange, unremunerated training or voluntary service (OJ L 375, 23.12.2004, p. 12).

4

(5)  Council Directive 2005/71/EC of 12 October 2005 on a specific procedure for admitting third-country nationals for the purposes of scientific research (OJ L 289, 3.11.2005, p. 15).

5

(6)  COM(2011)0587 and COM(2011)0901.

6

(7)  Council Directive 2003/86/EC of 22 September 2003 on the right to family reunification (OJ L 251, 3.10.2003, p. 12).

7

(8)  COM(2011)0567.

8

(9)  Joint declaration of the European Ministers of Education of 19 June 1999.

9

(10)  Council of Europe European Agreement on ‘au pair’ Placement, Article 8.

10

(11)  Directive 2011/98/EU of the European Parliament and of the Council of 13 December 2011 on a single application procedure for a single permit for third-country nationals to reside and work in the territory of a Member State and on a common set of rights for third-country workers legally residing in a Member State (OJ L 343, 23.12.2011, p. 1).

11

(12)  Regulation (EC) No 883/2004 of the European Parliament and of the Council of 29 April 2004 on the coordination of social security systems (OJ L 166, 30.4.2004, p. 1).

12

(13)  Council Regulation (EC) No 1030/2002 of 13 June 2002 laying down a uniform format for residence permits for third-country nationals (OJ L 157, 15.6.2002, p. 1).

13

(14)  Council Directive 2003/109/EC of 25 November 2003 concerning the status of third-country nationals who are long-term residents (OJ L 16, 23.1.2004, p. 44).

14

(15)  
  Communication from the Commission on Promoting the Role of Voluntary Organisations and Foundations in Europe, COM(1997)0241.

15

Communication from the Commission on Promoting the Role of Voluntary Organisations and Foundations in Europe, COM(1997)0241.

(16)  Regulation (EC) No 862/2007 of the European Parliament and of the Council of 11 July 2007 on Community statistics on migration and international protection and repealing Council Regulation (EEC) No 311/76 on the compilation of statistics on foreign workers (OJ L 199, 31.7.2007, p. 23).

16

ANNEX I

Part A

Repealed Directive with list of its successive amendments

(referred to in Article 37)

| Directive 2004/114EC of the European Parliament and of the Council | (OJ L 375, 23.12.2004, p. 12) |
| --- | --- |
| Directive 2005/71/EC of the European Parliament and of the Council | (OJ L 289, 3.11.2005, p. 15) |

Directive 2004/114EC of the European Parliament and of the Council

(OJ L 375, 23.12.2004, p. 12)

Directive 2005/71/EC of the European Parliament and of the Council

(OJ L 289, 3.11.2005, p. 15)

Part B

List of time-limits for transposition into national law [and application]

(referred to in Article 36)

| Directive | Time-limit for transposition | Date of application |
| --- | --- | --- |
| 2004/114/EC
  2005/71/EC | 12.1.2007
  12.10.2007 | |

Directive

Time-limit for transposition

Date of application

2004/114/EC

2005/71/EC

12.1.2007

12.10.2007

ANNEX II

CORRELATION TABLE

| Directive 2004/114/EC | Directive 2005/71/EC | This Directive |
| --- | --- | --- |
| Article 1 (a) | | Article 1 (a) |
| Article 1 (b) | | — |
| — | | Article 1 (b) and (c) |
| Article 2 introductory wording | | Article 3 introductory wording |
| Article 2 (a) | | Article 3 (a) |
| Article 2 (b) | | Article 3 (c) |
| Article 2 (c) | | Article 3 (d) |
| Article 2 (d) | | Article 3 (e) |
| — | | Article 3 (f) and (g) |
| Article 2 (e) | | Article 3 (l) |
| Article 2 (f) | | Article 3 (h) |
| Article 2 (g) | | — |
| — | | Article 3 (i) |
| — | | Article 3 (m) to (s) |
| Article 3 (1) | | Article 2 (1) |
| Article 3 (2) | | Article 2 (2) (a) to (e) |
| — | | Article 2 (2) (f) and (g) |
| Article 4 | | Article 4 |
| Article 5 | | Article 5 (1) |
| — | | Article 5 (2) |
| Article 6 (1) | | Article 6 (a) to (e) |
| — | | Article 6 (f) |
| Article 6 (2) | | — |
| — | | Article 7 |
| Article 7 (1) introductory wording | | Article 10 (1) introductory wording |
| Article 7 (1) (a) | | Article 10 (1) (a) |
| Article 7 (1) (b) and (c) | | — |
| Article 7 (1) (d) | | Article 10 (1) (b) |
| Article 7 (2) | | Article 10 (2) |
| — | | Article 10 (3) |
| Article 8 | | — |
| — | | Article 11 |
| Article 9 (1) and (2) | | Article 12 (1) and (2) |
| Article 10 introductory wording | | Article 13 (1) introductory wording |
| Article 10 (a) | | Article 13 (1) (a) |
| Article 10 (b) and (c) | | — |
| — | | Article 12 (1) (b) |
| — | | Article 12 (2) |
| Article 11 introductory wording | | Article 14 (1) introductory wording |
| Article 11 (a) | | — |
| Article 11 (b) | | Article 13 (1) (a) |
| Article 11 (c) | | Article 13 (1) (b) |
| Article 11 (d) | | Article 13 (1) (c) |
| Articles 12 to 15 | | — |
| — | | Articles 14, 15 and 16 |
| Article 16 (1) | | Article 20 (1) introductory wording |
| — | | Article 20 (1) (a) to (c) |
| Article 16 (2) | | Article 20 (2) |
| — | | Article 21 |
| Article 17 (1) first subparagraph | | Article 23 (1) |
| Article 17 (1) second subparagraph | | Article 23 (2) |
| Article 17 (2) | | Article 23 (3) |
| Article 17 (3) | | — |
| Article 17 (4) | | Article 23 (4) |
| — | | Articles 15, 24, 25, 27 |
| — | | Article 17 |
| Article 18 (1) | | — |
| — | | Article 29 (1) |
| Article 18 (2), (3) and (4) | | Article 29 (2), (3) and (4) |
| Article 19 | | — |
| — | | Article 30 |
| Article 20 | | Article 31 |
| — | | Articles 32 and 33 |
| Article 21 | | Article 34 |
| Articles 22 to 25 | | — |
| — | | Articles 35, 36 and 37 |
| Article 26 | | Article 38 |
| — | | Annexes I and II |
| | Article 1 | — |
| | Article 2 introductory wording | — |
| | Article 2 (a) | Article 3 (a) |
| | Article 2 (b) | Article 3 (i) |
| | Article 2 (c) | Article 3 (k) |
| | Article 2 (d) | Article 3 (b) |
| | Article 2 (e) | — |
| | Articles 3 and 4 | — |
| | Article 5 | Article 8 |
| | Article 6 (1) | Article 9 (1) |
| | — | Article 9 (1) (a) to (f) |
| | Article 6 (2) (a) | Article 9 (2) (a) |
| | Article 6 (2) (a), (b) and (c) | — |
| | Article 6 (3), (4) and (5) | Article 9 (3), (4) and (5) |
| | Article 7 | — |
| | Article 8 | Article 16 (1) |
| | Article 9 | — |
| | Article 10 (1) | Article 19 (2) (a) |
| | — | Article 19 (2) (b) |
| | Article 10 (2) | — |
| | Article 11 (1) and (2) | Article 22 |
| | Article 12 introductory wording | — |
| | Article 12 (a) | — |
| | Article 12 (b) | — |
| | Article 12 (c) | Article 21 (1) |
| | Article 12 (d) | — |
| | Article 12 (e) | — |
| | — | Article 21 (2) |
| | Article 13 (1) | Article 26 (1) |
| | Article 13 (2) | Article 26 (1) |
| | Article 13 (3) and (5) | Article 26 (1) |
| | Article 13 (4) | — |
| | — | Article 26 (2), (3) and (4) |
| | Articles 14 to 21 | — |

Directive 2004/114/EC

Directive 2005/71/EC

This Directive

Article 1 (a)

Article 1 (a)

Article 1 (b)

—

—

Article 1 (b) and (c)

Article 2 introductory wording

Article 3 introductory wording

Article 2 (a)

Article 3 (a)

Article 2 (b)

Article 3 (c)

Article 2 (c)

Article 3 (d)

Article 2 (d)

Article 3 (e)

—

Article 3 (f) and (g)

Article 2 (e)

Article 3 (l)

Article 2 (f)

Article 3 (h)

Article 2 (g)

—

—

Article 3 (i)

—

Article 3 (m) to (s)

Article 3 (1)

Article 2 (1)

Article 3 (2)

Article 2 (2) (a) to (e)

—

Article 2 (2) (f) and (g)

Article 4

Article 4

Article 5

Article 5 (1)

—

Article 5 (2)

Article 6 (1)

Article 6 (a) to (e)

—

Article 6 (f)

Article 6 (2)

—

—

Article 7

Article 7 (1) introductory wording

Article 10 (1) introductory wording

Article 7 (1) (a)

Article 10 (1) (a)

Article 7 (1) (b) and (c)

—

Article 7 (1) (d)

Article 10 (1) (b)

Article 7 (2)

Article 10 (2)

—

Article 10 (3)

Article 8

—

—

Article 11

Article 9 (1) and (2)

Article 12 (1) and (2)

Article 10 introductory wording

Article 13 (1) introductory wording

Article 10 (a)

Article 13 (1) (a)

Article 10 (b) and (c)

—

—

Article 12 (1) (b)

—

Article 12 (2)

Article 11 introductory wording

Article 14 (1) introductory wording

Article 11 (a)

—

Article 11 (b)

Article 13 (1) (a)

Article 11 (c)

Article 13 (1) (b)

Article 11 (d)

Article 13 (1) (c)

Articles 12 to 15

—

—

Articles 14, 15 and 16

Article 16 (1)

Article 20 (1) introductory wording

—

Article 20 (1) (a) to (c)

Article 16 (2)

Article 20 (2)

—

Article 21

Article 17 (1) first subparagraph

Article 23 (1)

Article 17 (1) second subparagraph

Article 23 (2)

Article 17 (2)

Article 23 (3)

Article 17 (3)

—

Article 17 (4)

Article 23 (4)

—

Articles 15, 24, 25, 27

—

Article 17

Article 18 (1)

—

—

Article 29 (1)

Article 18 (2), (3) and (4)

Article 29 (2), (3) and (4)

Article 19

—

—

Article 30

Article 20

Article 31

—

Articles 32 and 33

Article 21

Article 34

Articles 22 to 25

—

—

Articles 35, 36 and 37

Article 26

Article 38

—

Annexes I and II

Article 1

—

Article 2 introductory wording

—

Article 2 (a)

Article 3 (a)

Article 2 (b)

Article 3 (i)

Article 2 (c)

Article 3 (k)

Article 2 (d)

Article 3 (b)

Article 2 (e)

—

Articles 3 and 4

—

Article 5

Article 8

Article 6 (1)

Article 9 (1)

—

Article 9 (1) (a) to (f)

Article 6 (2) (a)

Article 9 (2) (a)

Article 6 (2) (a), (b) and (c)

—

Article 6 (3), (4) and (5)

Article 9 (3), (4) and (5)

Article 7

—

Article 8

Article 16 (1)

Article 9

—

Article 10 (1)

Article 19 (2) (a)

—

Article 19 (2) (b)

Article 10 (2)

—

Article 11 (1) and (2)

Article 22

Article 12 introductory wording

—

Article 12 (a)

—

Article 12 (b)

—

Article 12 (c)

Article 21 (1)

Article 12 (d)

—

Article 12 (e)

—

—

Article 21 (2)

Article 13 (1)

Article 26 (1)

Article 13 (2)

Article 26 (1)

Article 13 (3) and (5)

Article 26 (1)

Article 13 (4)

—

—

Article 26 (2), (3) and (4)

Articles 14 to 21

—

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/376 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/376

---

P7_TA(2014)0123

European Voluntary Humanitarian Aid Corps ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council Establishing the European Voluntary Humanitarian Aid Corps — EU Aid Volunteers (COM(2012)0514 — C7-0303/2012 — 2012/0245(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/39)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2012)0514), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2012)0514),

| — | having regard to Article 294(2) and Article 214(5) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0303/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 214(5) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0303/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Development and the opinions of the Committee on Budgets and the Committee on Employment and Social Affairs (A7-0158/2013), |
| --- | --- |

—

having regard to the report of the Committee on Development and the opinions of the Committee on Budgets and the Committee on Employment and Social Affairs (A7-0158/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Considers that separate funding and budgetary allocations should be guaranteed for this initiative whilst remaining mutually complementary with the other instruments for the Union's external policies. |
| --- | --- |

2.

Considers that separate funding and budgetary allocations should be guaranteed for this initiative whilst remaining mutually complementary with the other instruments for the Union's external policies.

| 3. | 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.

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;

| 4. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

4.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2012)0245

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council establishing the European Voluntary Humanitarian Aid Corps (‘EU Aid Volunteers initiative’)

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 375/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/377 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/377

---

P7_TA(2014)0124

Fund for European aid to the most deprived ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived (COM(2012)0617 — C7-0358/2012 — 2012/0295(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/40)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0617), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0617),

| — | having regard to Article 294(2) and Article 175(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0358/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 175(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0358/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol (No 2) on the application of the principles of subsidiarity and proportionality, by the Riksdag of the Kingdom of Sweden, by the House of Lords and the House of Commons of the United Kingdom and by the German Bundestag, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol (No 2) on the application of the principles of subsidiarity and proportionality, by the Riksdag of the Kingdom of Sweden, by the House of Lords and the House of Commons of the United Kingdom and by the German Bundestag, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 14 February 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 14 February 2013 (1),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to the Charter of Fundamental Rights and in particular Articles 1, 24, 34 thereof; |
| --- | --- |

—

having regard to the Charter of Fundamental Rights and in particular Articles 1, 24, 34 thereof;

| — | having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Employment and Social Affairs and the opinions of the Committee on Budgets, the Committee on Budgetary Control, the Committee on Regional Development, the Committee on Agriculture and Rural Development, and the Committee of Women's Rights and Gender Equality (A7-0183/2013), |
| --- | --- |

—

having regard to the report of the Committee on Employment and Social Affairs and the opinions of the Committee on Budgets, the Committee on Budgetary Control, the Committee on Regional Development, the Committee on Agriculture and Rural Development, and the Committee of Women's Rights and Gender Equality (A7-0183/2013),

| 1. | Adopts its position at first reading hereinafter set out (2); |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out (2);

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 133, 9.5.2013, p. 62.

(2)  This position replaces the amendments adopted on 12 June 2013 (Texts adopted P7_TA(2013)0257).

---

P7_TC1-COD(2012)0295

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the Fund for European Aid to the Most Deprived

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 223/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/378 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/378

---

P7_TA(2014)0125

Biocidal products ***I

European Parliament legislative resolution of 25 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products with regard to certain conditions for access to the market (COM(2013)0288 — C7-0141/2013 — 2013/0150(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/41)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0288), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0288),

| — | having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0141/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0141/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 18 September 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 18 September 2013 (1),

| — | having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 11 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rules 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Environment, Public Health and Food Safety (A7-0354/2013), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Food Safety (A7-0354/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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 the Commission. |
| --- | --- |

3.

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

---

(1)  OJ C 341, 21.11.2013, p. 44.

---

P7_TC1-COD(2013)0150

Position of the European Parliament adopted at first reading on 25 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EU) No 528/2012 concerning the making available on the market and use of biocidal products, with regard to certain conditions for access to the market

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 334/2014.)

---

Wednesday 26 February 2014

| 29.8.2017 | EN | Official Journal of the European Union | C 285/379 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/379

---

P7_TA(2014)0135

EC-Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama Political Dialogue and Cooperation Agreement, with the exception of Article 49(3) thereof ***

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, with the exception of Article 49(3) thereof (12399/2013 — C7-0425/2013 — 2012/0219A(NLE))

(Consent)

(2017/C 285/42)

The European Parliament,

| — | having regard to the draft Council decision (12399/2013), |
| --- | --- |

—

having regard to the draft Council decision (12399/2013),

| — | having regard to the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part (13368/2012), |
| --- | --- |

—

having regard to the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part (13368/2012),

| — | having regard to the request for consent submitted by the Council in accordance with Article 209(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0425/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 209(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0425/2013),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Foreign Affairs (A7-0463/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on Foreign Affairs (A7-0463/2013),

| 1. | Consents to conclusion of the agreement; |
| --- | --- |

1.

Consents to conclusion of the agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/380 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/380

---

P7_TA(2014)0136

EC-Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama Political Dialogue and Cooperation Agreement, as regards Article 49(3) thereof ***

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion on behalf of the European Union of the Political Dialogue and Cooperation Agreement between the European Community and its Member States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part, as regards Article 49(3) thereof (12400/2013 — C7-0426/2013 — 2012/0219B(NLE))

(Consent)

(2017/C 285/43)

The European Parliament,

| — | having regard to the draft Council decision (12400/2013), |
| --- | --- |

—

having regard to the draft Council decision (12400/2013),

| — | having regard to the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part (13368/2012), |
| --- | --- |

—

having regard to the Political Dialogue and Cooperation Agreement between the European Community and its Members States, of the one part, and the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama, of the other part (13368/2012),

| — | having regard to the request for consent submitted by the Council in accordance with Article 79(3) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0426/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 79(3) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0426/2013),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs (A7-0119/2014), |
| --- | --- |

—

having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs (A7-0119/2014),

| 1. | Consents to the conclusion of the Agreement; |
| --- | --- |

1.

Consents to the conclusion of the Agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission, and the governments and parliaments of the Member States and of the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission, and the governments and parliaments of the Member States and of the Republics of Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/381 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/381

---

P7_TA(2014)0137

Guidelines for the employment policies of the Member States *

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision on guidelines for the employment policies of the Member States (COM(2013)0803 — C7-0417/2013 — 2013/0392(NLE))

(Consultation)

(2017/C 285/44)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2013)0803), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2013)0803),

| — | having regard to Article 148(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0417/2013), |
| --- | --- |

—

having regard to Article 148(2) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0417/2013),

| — | having regard to Rules 55 and 46(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 46(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Employment and Social Affairs (A7-0470/2013), |
| --- | --- |

—

having regard to the report of the Committee on Employment and Social Affairs (A7-0470/2013),

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

1.

Approves the Commission proposal;

| 2. | Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
| --- | --- |

2.

Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

| 3. | Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament; |
| --- | --- |

3.

Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

| 4. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

4.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/382 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/382

---

P7_TA(2014)0138

Common system of value added tax *

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council directive amending Directive 2006/112/EC on the common system of value added tax as regards a standard VAT return (COM(2013)0721 — C7-0394/2013 — 2013/0343(CNS))

(Special legislative procedure — consultation)

(2017/C 285/45)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2013)0721), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2013)0721),

| — | having regard to Article 113 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0394/2013), |
| --- | --- |

—

having regard to Article 113 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0394/2013),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Economic and Monetary Affairs (A7-0090/2014), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs (A7-0090/2014),

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

1.

Approves the Commission proposal as amended;

| 2. | Calls on the Commission to alter its proposal accordingly, in accordance with Article 293(2) of the Treaty on the Functioning of the European Union; |
| --- | --- |

2.

Calls on the Commission to alter its proposal accordingly, in accordance with Article 293(2) of the Treaty on the Functioning of the European Union;

| 3. | Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
| --- | --- |

3.

Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

| 4. | Asks the Council to consult Parliament again if it intends to substantially amend the Commission proposal; |
| --- | --- |

4.

Asks the Council to consult Parliament again if it intends to substantially amend the Commission proposal;

| 5. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

5.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Amendment 1

Proposal for a directive

Recital 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| (1) | Council Directive 2006/112/EC (12) requires taxable persons to submit VAT returns but allows flexibility for the Member States to determine the information needed. This gives rise to disparate rules and procedures governing the submission of VAT returns in the Union, added complexity for businesses
  and
  VAT obligations that create obstacles to Union trade. |

Text proposed by the Commission

Amendment

(1)

Council Directive 2006/112/EC (12) requires taxable persons to submit VAT returns but allows flexibility for the Member States to determine the information needed. This gives rise to disparate rules and procedures governing the submission of VAT returns in the Union, added complexity for businesses
  and
  VAT obligations that create obstacles to Union trade.

| (1) | Council Directive 2006/112/EC (12) requires taxable persons to submit VAT returns but allows flexibility for the Member States to determine the information needed. This gives rise to disparate rules and procedures governing the submission of VAT returns in the Union, added complexity for businesses
  , unnecessary administrative burden on Member State tax authorities and taxable persons, loopholes allowing VAT fraud,
  VAT obligations that create obstacles to Union trade
  , and unnecessary costs for both Member States tax authorities and taxable persons
  . |
| --- | --- |

(1)

Council Directive 2006/112/EC (12) requires taxable persons to submit VAT returns but allows flexibility for the Member States to determine the information needed. This gives rise to disparate rules and procedures governing the submission of VAT returns in the Union, added complexity for businesses
  , unnecessary administrative burden on Member State tax authorities and taxable persons, loopholes allowing VAT fraud,
  VAT obligations that create obstacles to Union trade
  , and unnecessary costs for both Member States tax authorities and taxable persons
  .

Amendment 2

Proposal for a directive

Recital 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| (2) | To reduce burdens on business and improve the functioning of the internal market a standard VAT return should be introduced for all businesses trading in the Union. The use of standardised returns should facilitate the control of VAT returns by the Member States. |

Text proposed by the Commission

Amendment

(2)

To reduce burdens on business and improve the functioning of the internal market a standard VAT return should be introduced for all businesses trading in the Union. The use of standardised returns should facilitate the control of VAT returns by the Member States.

| (2) | To reduce burdens on business and improve the functioning of the internal market a standard VAT return should be introduced for all businesses trading in the Union
  , and
  the use of standardised returns should facilitate
  both the collection and payment of VAT and
  the control of VAT returns by the Member States
  tax authorities
  .
  It should also contribute to helping businesses comply with VAT legislation, thus reducing the error rate, and ultimately contributing towards a reduction or even elimination of VAT fraud and the VAT gap. |
| --- | --- |

(2)

To reduce burdens on business and improve the functioning of the internal market a standard VAT return should be introduced for all businesses trading in the Union
  , and
  the use of standardised returns should facilitate
  both the collection and payment of VAT and
  the control of VAT returns by the Member States
  tax authorities
  .
  It should also contribute to helping businesses comply with VAT legislation, thus reducing the error rate, and ultimately contributing towards a reduction or even elimination of VAT fraud and the VAT gap.

Amendment 3

Proposal for a directive

Recital 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| (3) | It is necessary that administrative burdens are reduced to a minimum. The information required on the standard VAT return should therefore have a limited set of mandatory information. Moreover, as regards the standard VAT return and other returns, Member States should not be allowed to require other information than the one laid down in chapter 5 of Title XI of the Directive. |

Text proposed by the Commission

Amendment

(3)

It is necessary that administrative burdens are reduced to a minimum. The information required on the standard VAT return should therefore have a limited set of mandatory information. Moreover, as regards the standard VAT return and other returns, Member States should not be allowed to require other information than the one laid down in chapter 5 of Title XI of the Directive.

| (3) | It is necessary that administrative burdens are reduced to a minimum. The information required on the standard VAT return should therefore have a limited set of mandatory information. Moreover, as regards the standard VAT return and other returns, Member States should not be allowed to require other information than the one laid down in chapter 5 of Title XI of the Directive.
  The standard VAT return will only fulfil its full potential if the Member States fully transpose this Directive, in a timely manner, into their national laws, regulations and administrative provisions, without deviating from its scope. |
| --- | --- |

(3)

It is necessary that administrative burdens are reduced to a minimum. The information required on the standard VAT return should therefore have a limited set of mandatory information. Moreover, as regards the standard VAT return and other returns, Member States should not be allowed to require other information than the one laid down in chapter 5 of Title XI of the Directive.
  The standard VAT return will only fulfil its full potential if the Member States fully transpose this Directive, in a timely manner, into their national laws, regulations and administrative provisions, without deviating from its scope.

Amendment 4

Proposal for a directive

Recital 9 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (9a) | Member State tax authorities should provide their officials and taxable persons with online tutorials on the appropriate use of electronic filing to ensure that submission of the standard VAT return is conducted in an appropriate and secure manner. |

Text proposed by the Commission

Amendment

(9a)

Member State tax authorities should provide their officials and taxable persons with online tutorials on the appropriate use of electronic filing to ensure that submission of the standard VAT return is conducted in an appropriate and secure manner.

Amendment 5

Proposal for a directive

Recital 14 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (14a) | In order to further reduce burden on business and improve the functioning of the internal market the information requirements in the standard VAT return should become unified in all Member States, and the Commission should, within five years of the date of entry into force of this Directive, evaluate the implementation of this Directive from that point of view and make proposals if appropriate. |

Text proposed by the Commission

Amendment

(14a)

In order to further reduce burden on business and improve the functioning of the internal market the information requirements in the standard VAT return should become unified in all Member States, and the Commission should, within five years of the date of entry into force of this Directive, evaluate the implementation of this Directive from that point of view and make proposals if appropriate.

Amendment 6

Proposal for a directive

Article 2 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2a. | By ...* [OJ please insert date: 5 years after the date of entry into force of this Directive], the Commission shall review the adequacy of this Directive with a view to further reducing burden on business and improving the functioning of the internal market. The results of the review shall be communicated to the European Parliament and to the Council accompanied, where necessary, by appropriate legislative proposals. |

Text proposed by the Commission

Amendment

2a.

By ...* [OJ please insert date: 5 years after the date of entry into force of this Directive], the Commission shall review the adequacy of this Directive with a view to further reducing burden on business and improving the functioning of the internal market. The results of the review shall be communicated to the European Parliament and to the Council accompanied, where necessary, by appropriate legislative proposals.

Amendment 7

Proposal for a directive

Article 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union. | This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
  It shall be made available in consolidated form with the Directive which it amends within three months of its publication. |

Text proposed by the Commission

Amendment

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

This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
  It shall be made available in consolidated form with the Directive which it amends within three months of its publication.

---

(12)  Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax (OJ L 347, 11.12.2006, p. 1).

(12)  Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax (OJ L 347, 11.12.2006, p. 1).

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/385 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/385

---

P7_TA(2014)0139

Amendment of Decision 2009/831/EC as regards its period of application *

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2009/831/EC as regards its period of application (COM(2013)0930 — C7-0022/2014 — 2013/0446(CNS))

(Special legislative procedure — consultation)

(2017/C 285/46)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2013)0930), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2013)0930),

| — | having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0022/2014), |
| --- | --- |

—

having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0022/2014),

| — | having regard to Rules 55 and 46(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 46(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Regional Development (A7-0113/2014), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development (A7-0113/2014),

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

1.

Approves the Commission proposal;

| 2. | Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
| --- | --- |

2.

Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

| 3. | Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament; |
| --- | --- |

3.

Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

| 4. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

4.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/386 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/386

---

P7_TA(2014)0140

Amendment to Decision 2004/162/EC with regard to its implementation in Mayotte from 1 January 2014 *

European Parliament legislative resolution of 26 February 2014 on the proposal for a Council decision amending Decision 2004/162/EC with regard to its implementation in Mayotte from 1 January 2014 (COM(2014)0024 — C7-0031/2014 — 2014/0010(CNS))

(Special legislative procedure — consultation)

(2017/C 285/47)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2014)0024), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2014)0024),

| — | having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0031/2014), |
| --- | --- |

—

having regard to Article 349 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0031/2014),

| — | having regard to Rules 55 and 46(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 46(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Regional Development (A7-0144/2014), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development (A7-0144/2014),

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

1.

Approves the Commission proposal;

| 2. | Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament; |
| --- | --- |

2.

Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

| 3. | Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament; |
| --- | --- |

3.

Asks the Council to consult Parliament again if it intends to substantially amend the text approved by Parliament;

| 4. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

4.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/387 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/387

---

P7_TA(2014)0141

EC-Indonesia framework agreement on comprehensive partnership and cooperation, with the exception of matters related to readmission

European Parliament resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 – C7-0351/2013 — 2013/0120A(NLE))

(2017/C 285/48)

The European Parliament,

| — | having regard to the draft Council decision (11250/2013), |
| --- | --- |

—

having regard to the draft Council decision (11250/2013),

| — | having regard to the draft Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009), |
| --- | --- |

—

having regard to the draft Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009),

| — | having regard to the Cooperation Agreement of 7 March 1980 between the European Economic Community and Indonesia, Malaysia, the Philippines, Singapore and Thailand — member countries of the Association of South-East Asian Nations (1) (ASEAN) and subsequent accession protocols, |
| --- | --- |

—

having regard to the Cooperation Agreement of 7 March 1980 between the European Economic Community and Indonesia, Malaysia, the Philippines, Singapore and Thailand — member countries of the Association of South-East Asian Nations (1) (ASEAN) and subsequent accession protocols,

| — | having regard to its resolution of 5 September 2002 on the Commission Communication on Europe and Asia: A Strategic Framework for Enhanced Partnerships (2), |
| --- | --- |

—

having regard to its resolution of 5 September 2002 on the Commission Communication on Europe and Asia: A Strategic Framework for Enhanced Partnerships (2),

| — | having regard to its resolution of 5 June 2003 on the situation in Indonesia, particularly in the Aceh province (3), |
| --- | --- |

—

having regard to its resolution of 5 June 2003 on the situation in Indonesia, particularly in the Aceh province (3),

| — | having regard to its resolution of 20 November 2003 on Aceh (4), |
| --- | --- |

—

having regard to its resolution of 20 November 2003 on Aceh (4),

| — | having regard to its resolution of 13 January 2005 on the recent tsunami disaster in the Indian Ocean (5), |
| --- | --- |

—

having regard to its resolution of 13 January 2005 on the recent tsunami disaster in the Indian Ocean (5),

| — | having regard to the negotiations on comprehensive partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, authorised by the Council on 25 November 2004, concluded in June 2007 and signed on 9 November 2009, |
| --- | --- |

—

having regard to the negotiations on comprehensive partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, authorised by the Council on 25 November 2004, concluded in June 2007 and signed on 9 November 2009,

| — | having regard to the Agreement between the European Union and the Government of the Republic of Indonesia on certain aspects of air services, signed on 29 June 2011 (6), |
| --- | --- |

—

having regard to the Agreement between the European Union and the Government of the Republic of Indonesia on certain aspects of air services, signed on 29 June 2011 (6),

| — | having regard to its resolution of 7 July 2011 on Indonesia, including attacks on minorities (7), |
| --- | --- |

—

having regard to its resolution of 7 July 2011 on Indonesia, including attacks on minorities (7),

| — | having regard to its resolution of 2 February 2012 on the EU foreign policy towards the BRICS and other emerging powers: objectives and strategies (8), |
| --- | --- |

—

having regard to its resolution of 2 February 2012 on the EU foreign policy towards the BRICS and other emerging powers: objectives and strategies (8),

| — | having regard to Council Decision 2012/308/CFSP of 26 April 2012 on the accession of the European Union to the Treaty of Amity and Cooperation in Southeast Asia (9), |
| --- | --- |

—

having regard to Council Decision 2012/308/CFSP of 26 April 2012 on the accession of the European Union to the Treaty of Amity and Cooperation in Southeast Asia (9),

| — | having regard to the European Parliament Election Observation Missions' reports on elections in Indonesia of 5 April 2004 and 20 September 2004, in East Timor of 30 August 1999, 30 August 2001, 9 April 2007, 30 June 2007 and 7 July 2012, and in Aceh province of 11 December 2006, |
| --- | --- |

—

having regard to the European Parliament Election Observation Missions' reports on elections in Indonesia of 5 April 2004 and 20 September 2004, in East Timor of 30 August 1999, 30 August 2001, 9 April 2007, 30 June 2007 and 7 July 2012, and in Aceh province of 11 December 2006,

| — | having regard to the Jakarta Statement on Principles for Anti-Corruption Agencies of 27 November 2012, |
| --- | --- |

—

having regard to the Jakarta Statement on Principles for Anti-Corruption Agencies of 27 November 2012,

| — | having regard to Article 21 of the Treaty on European Union, |
| --- | --- |

—

having regard to Article 21 of the Treaty on European Union,

| — | having regard Articles 91, 100, 191(4), 207 and 209, in conjunction with Article 218(6)(a) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard Articles 91, 100, 191(4), 207 and 209, in conjunction with Article 218(6)(a) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 81(3) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 81(3) of its Rules of Procedure,

| — | having regard to the interim report of the Committee on Foreign Affairs (A7-0093/2014), |
| --- | --- |

—

having regard to the interim report of the Committee on Foreign Affairs (A7-0093/2014),

| A. | whereas relations between the European Union and the Republic of Indonesia (hereinafter referred to as ‘Indonesia’) are to be governed by the abovementioned Framework Agreement on Comprehensive Partnership and Cooperation (hereinafter referred to as ‘the PCA’); |
| --- | --- |

A.

whereas relations between the European Union and the Republic of Indonesia (hereinafter referred to as ‘Indonesia’) are to be governed by the abovementioned Framework Agreement on Comprehensive Partnership and Cooperation (hereinafter referred to as ‘the PCA’);

| B. | whereas the PCA is the first of its kind between the European Union and Indonesia and aims at strengthening political, economic and sectorial cooperation of mutual interest and at further enhancing bilateral and regional cooperation in responding to global challenges; |
| --- | --- |

B.

whereas the PCA is the first of its kind between the European Union and Indonesia and aims at strengthening political, economic and sectorial cooperation of mutual interest and at further enhancing bilateral and regional cooperation in responding to global challenges;

| C. | whereas the PCA contains, as essential elements, confirmation of the values expressed in the Charter of the United Nations, the United Nations Universal Declaration on Human Rights and other international treaties applicable to both parties as well as their commitment to the principles of democracy, good governance and the rule of law, and provisions on establishing or enhancing cooperation in areas such as human rights, trade and investment, energy, tourism, transport and infrastructure, marine conservation and fisheries, industrial policy and small and medium-sized enterprises (SMEs), data protection and intellectual property rights, as well as counter-proliferation of weapons of mass destruction (WMD), the fight against organised crime, corruption, money laundering, terrorism and terrorist financing; |
| --- | --- |

C.

whereas the PCA contains, as essential elements, confirmation of the values expressed in the Charter of the United Nations, the United Nations Universal Declaration on Human Rights and other international treaties applicable to both parties as well as their commitment to the principles of democracy, good governance and the rule of law, and provisions on establishing or enhancing cooperation in areas such as human rights, trade and investment, energy, tourism, transport and infrastructure, marine conservation and fisheries, industrial policy and small and medium-sized enterprises (SMEs), data protection and intellectual property rights, as well as counter-proliferation of weapons of mass destruction (WMD), the fight against organised crime, corruption, money laundering, terrorism and terrorist financing;

| D. | whereas Indonesia is the world’s fourth most populous nation, the third largest democracy, the largest Muslim majority country with millions of followers of other beliefs, and a heterogeneous society comprising over 240 million citizens of various ethnicities, languages and cultures, 40 % of whom are below 25 years of age, strategically located in an archipelago of more than 17 000 islands, spanning 5 400 kilometres from east to west in the Indian and Pacific Oceans; |
| --- | --- |

D.

whereas Indonesia is the world’s fourth most populous nation, the third largest democracy, the largest Muslim majority country with millions of followers of other beliefs, and a heterogeneous society comprising over 240 million citizens of various ethnicities, languages and cultures, 40 % of whom are below 25 years of age, strategically located in an archipelago of more than 17 000 islands, spanning 5 400 kilometres from east to west in the Indian and Pacific Oceans;

| 1. | Asks the Council to take into account the following recommendations:






  (a) | Welcomes the PCA as the first of its kind between the EU and ASEAN countries; considers it to be a testimony to the rapidly growing importance of EU-Indonesian ties and expects it to open a new era in bilateral relations, based on shared principles such as democracy, the rule of law and human rights, equality, mutual respect and mutual benefit; |
| --- | --- | --- |

1.

Asks the Council to take into account the following recommendations:

(a)

Welcomes the PCA as the first of its kind between the EU and ASEAN countries; considers it to be a testimony to the rapidly growing importance of EU-Indonesian ties and expects it to open a new era in bilateral relations, based on shared principles such as democracy, the rule of law and human rights, equality, mutual respect and mutual benefit;

| (b) | Highlights Indonesia's 15-year process of democratic, political, social and economic transformation, after 33 years of authoritarian military rule; notes that Indonesia is urbanising rapidly, has a fast-rising middle class (of over 70 million), ample natural resources, the largest economy in Southeast Asia (GDP growing by more than 6 % in the last two years), with half of the world's trade passing its northern maritime border, and an increasing diplomatic presence in regional and global fora, such as the UN, the WTO, the IOC and the G20, as well as the ASEAN, of which Indonesia is both a founder and its largest member, and recognises the important role played by Indonesia in the broader region; |
| --- | --- |

(b)

Highlights Indonesia's 15-year process of democratic, political, social and economic transformation, after 33 years of authoritarian military rule; notes that Indonesia is urbanising rapidly, has a fast-rising middle class (of over 70 million), ample natural resources, the largest economy in Southeast Asia (GDP growing by more than 6 % in the last two years), with half of the world's trade passing its northern maritime border, and an increasing diplomatic presence in regional and global fora, such as the UN, the WTO, the IOC and the G20, as well as the ASEAN, of which Indonesia is both a founder and its largest member, and recognises the important role played by Indonesia in the broader region;

| (c) | Commends the progress made by Indonesia in developing democratic governance and the commitment to democracy displayed by its pluralistic society, shown in free and fair elections, media freedom, civil society activism, economic resilience and poverty reduction, in education and other Millennium Development Goals indicators, in nurturing good relations with neighbours and in advocating democracy and human rights; notes, however, that serious challenges remain to the rule of law and the protection of human rights, namely ensuring the accountability of perpetrators of human rights violations, including the military, and of persons violating minority rights, such as the rights of members of religious, ethnic, gender and LGBTI groups, and including the challenges linked to the fight against corruption; underlines that these challenges can be addressed through international cooperation, namely in the framework of the PCA; |
| --- | --- |

(c)

Commends the progress made by Indonesia in developing democratic governance and the commitment to democracy displayed by its pluralistic society, shown in free and fair elections, media freedom, civil society activism, economic resilience and poverty reduction, in education and other Millennium Development Goals indicators, in nurturing good relations with neighbours and in advocating democracy and human rights; notes, however, that serious challenges remain to the rule of law and the protection of human rights, namely ensuring the accountability of perpetrators of human rights violations, including the military, and of persons violating minority rights, such as the rights of members of religious, ethnic, gender and LGBTI groups, and including the challenges linked to the fight against corruption; underlines that these challenges can be addressed through international cooperation, namely in the framework of the PCA;

| (d) | Points out the fast-growing ties between the EU and Indonesia in trade and other economic areas, in view of the business opportunities offered by an economy that has attracted increased levels of foreign and domestic investment; suggests that better infrastructure and connectivity and an improved regulatory framework should be sought through cooperation under provisions of the PCA relating to trade and investment, taxation and customs, economic policy dialogue, the environment, industrial policy and SMEs, as well as transport, in order to unlock the full economic potential of Indonesia and promote sustainable growth, job creation and poverty reduction, both in the EU Member States and in Indonesia; |
| --- | --- |

(d)

Points out the fast-growing ties between the EU and Indonesia in trade and other economic areas, in view of the business opportunities offered by an economy that has attracted increased levels of foreign and domestic investment; suggests that better infrastructure and connectivity and an improved regulatory framework should be sought through cooperation under provisions of the PCA relating to trade and investment, taxation and customs, economic policy dialogue, the environment, industrial policy and SMEs, as well as transport, in order to unlock the full economic potential of Indonesia and promote sustainable growth, job creation and poverty reduction, both in the EU Member States and in Indonesia;

| (e) | Stresses that the PCA aims to further strengthen relations between the EU and Indonesia, in addition to the existing cooperation mechanisms, and to cooperate in addressing global challenges, based on the shared principles of equality, mutual respect, mutual benefit, democracy, active civil society participation, the rule of law, good governance and human rights, by developing political and economic cooperation in matters concerning trade, investment, industrial policy and SMEs, the environment, climate change, energy, science and technology, intellectual property rights, tourism, education and culture and migration, as well as combating money laundering and terrorist financing, drug trafficking, corruption, organised crime and human trafficking; |
| --- | --- |

(e)

Stresses that the PCA aims to further strengthen relations between the EU and Indonesia, in addition to the existing cooperation mechanisms, and to cooperate in addressing global challenges, based on the shared principles of equality, mutual respect, mutual benefit, democracy, active civil society participation, the rule of law, good governance and human rights, by developing political and economic cooperation in matters concerning trade, investment, industrial policy and SMEs, the environment, climate change, energy, science and technology, intellectual property rights, tourism, education and culture and migration, as well as combating money laundering and terrorist financing, drug trafficking, corruption, organised crime and human trafficking;

| (f) | Believes that the relationship between Indonesia and the EU ought to be recognised as strategic and that regular summits should be held to review bilateral and global developments; recommends that high-level visits to Indonesia take place regularly, namely by the President of the European Commission, the High Representative/Vice-President and Members of the European Parliament, and that the issue of visas and access by international civil society organisations should be mutually facilitated in such a way as to intensify people-to-people contacts and civil society exchanges; welcomes in this regard the establishment of the Joint Committee, under Article 41 of the PCA, which is required to meet at least every two years in Indonesia and in Brussels alternately; |
| --- | --- |

(f)

Believes that the relationship between Indonesia and the EU ought to be recognised as strategic and that regular summits should be held to review bilateral and global developments; recommends that high-level visits to Indonesia take place regularly, namely by the President of the European Commission, the High Representative/Vice-President and Members of the European Parliament, and that the issue of visas and access by international civil society organisations should be mutually facilitated in such a way as to intensify people-to-people contacts and civil society exchanges; welcomes in this regard the establishment of the Joint Committee, under Article 41 of the PCA, which is required to meet at least every two years in Indonesia and in Brussels alternately;

| (g) | Urges the EU and Indonesia to make full use of the PCA in order to achieve long-term geostrategic benefits in facing global security challenges at bilateral, regional and global multilateral fora, such as tackling climate change and the proliferation of WMD, combating terrorism, corruption, organised crime, drug trafficking, money laundering and terrorist financing, cooperating in the field of data protection and continuing the cooperation in other areas not explicitly covered by the PCA, such as disaster preparedness and response, conflict resolution, small arms and light weapons and maritime security, including piracy; |
| --- | --- |

(g)

Urges the EU and Indonesia to make full use of the PCA in order to achieve long-term geostrategic benefits in facing global security challenges at bilateral, regional and global multilateral fora, such as tackling climate change and the proliferation of WMD, combating terrorism, corruption, organised crime, drug trafficking, money laundering and terrorist financing, cooperating in the field of data protection and continuing the cooperation in other areas not explicitly covered by the PCA, such as disaster preparedness and response, conflict resolution, small arms and light weapons and maritime security, including piracy;

| (h) | Welcomes Indonesia’s ratification of the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights in 2006, as well as its recent ratifications of various United Nations human rights instruments relating to migrant workers, persons with disabilities, children in armed conflicts and the sale of children, child prostitution and child pornography; expects the institutional and legal reforms necessary to bring about compliance with those instruments; |
| --- | --- |

(h)

Welcomes Indonesia’s ratification of the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights in 2006, as well as its recent ratifications of various United Nations human rights instruments relating to migrant workers, persons with disabilities, children in armed conflicts and the sale of children, child prostitution and child pornography; expects the institutional and legal reforms necessary to bring about compliance with those instruments;

| (i) | Highly appreciates the peace agreement and economic development achieved in Aceh over the last eight years, and hopes that further progress can be made towards lifting the province and its people out of poverty; |
| --- | --- |

(i)

Highly appreciates the peace agreement and economic development achieved in Aceh over the last eight years, and hopes that further progress can be made towards lifting the province and its people out of poverty;

| (j) | Commends the efforts undertaken by the Indonesian authorities to combat corruption, including the work done by the Corruption Eradication Commission (KPK); is worried, however, that corruption remains a serious problem and a major impediment to development, despite Indonesia’s ratification in 2006 of the UN Convention against Corruption, and therefore urges further action under Article 35 of the PCA to share best practices in tackling corruption, including the recovery of assets hidden in EU Member States or in any other jurisdiction, and in combating economic and financial crime; |
| --- | --- |

(j)

Commends the efforts undertaken by the Indonesian authorities to combat corruption, including the work done by the Corruption Eradication Commission (KPK); is worried, however, that corruption remains a serious problem and a major impediment to development, despite Indonesia’s ratification in 2006 of the UN Convention against Corruption, and therefore urges further action under Article 35 of the PCA to share best practices in tackling corruption, including the recovery of assets hidden in EU Member States or in any other jurisdiction, and in combating economic and financial crime;

| (k) | Encourages EU Member States to extend mutual legal assistance with Indonesia in the fight against corruption and to cooperate with Indonesia in denying sanctuary to entities involved in corruption and human rights violations; |
| --- | --- |

(k)

Encourages EU Member States to extend mutual legal assistance with Indonesia in the fight against corruption and to cooperate with Indonesia in denying sanctuary to entities involved in corruption and human rights violations;

| (l) | Notes the importance of the Indonesian Law 34/2004 and the 2009 Ministerial Regulation 22 providing for the compulsory takeover of all military businesses and economic activities by the Government of Indonesia; stresses the fundamental impact of compliance with that Law and that Regulation for democratic accountability in the fight against corruption and the protection of human rights; |
| --- | --- |

(l)

Notes the importance of the Indonesian Law 34/2004 and the 2009 Ministerial Regulation 22 providing for the compulsory takeover of all military businesses and economic activities by the Government of Indonesia; stresses the fundamental impact of compliance with that Law and that Regulation for democratic accountability in the fight against corruption and the protection of human rights;

| (m) | Commends Indonesia for the role played by it in steering the process of the Bali Forum for Human Rights at regional level; is concerned, however, by the inconsistency of Law 8/1985 and the new Law on Mass Organisations 17/2013 (repealing the former Law on Associations 8/1985) on civil organisations (the ‘Ormas Bill’), which, despite the stated purpose of ensuring tolerance and preventing violence against society groups, if not revised to conform with international human rights standards, risks imposing unnecessary and sometimes onerous administrative, legal and financial restrictions on the activities of non-governmental organisations, thereby significantly undermining the capacities of civil society to work in Indonesia and restricting freedom of association, freedom of expression, freedom of assembly and freedom of thought, conscience and religion; believes in this regard that the annual EU-Indonesia Human Rights dialogue is the appropriate platform to address such concerns; |
| --- | --- |

(m)

Commends Indonesia for the role played by it in steering the process of the Bali Forum for Human Rights at regional level; is concerned, however, by the inconsistency of Law 8/1985 and the new Law on Mass Organisations 17/2013 (repealing the former Law on Associations 8/1985) on civil organisations (the ‘Ormas Bill’), which, despite the stated purpose of ensuring tolerance and preventing violence against society groups, if not revised to conform with international human rights standards, risks imposing unnecessary and sometimes onerous administrative, legal and financial restrictions on the activities of non-governmental organisations, thereby significantly undermining the capacities of civil society to work in Indonesia and restricting freedom of association, freedom of expression, freedom of assembly and freedom of thought, conscience and religion; believes in this regard that the annual EU-Indonesia Human Rights dialogue is the appropriate platform to address such concerns;

| (n) | Stresses that both national and foreign enterprises operating in Indonesia need to develop their activities in accordance with the principles of corporate social responsibility; welcomes Government Regulation No GR 47/2012 concerning Social and Environmental Responsibility of Limited Liability Companies, which is generally applicable to Indonesian companies and provides for incentives and sanctions: highlights, none the less, the need for capacity-building to implement the UN Guiding Principles on Business and Human Rights; calls on the EU to provide, within the framework of the PCA, the necessary technical assistance, and on Indonesia to develop its own national plan of implementation of the UN Guiding Principles; commends Indonesia for hosting, in November 2012, the international meeting steered by its Corruption Eradications Commission together with the United Nations Development Programme and the United Nations Office on Drugs and Crime, which discussed the ‘Principles for Anti-Corruption Agencies’; |
| --- | --- |

(n)

Stresses that both national and foreign enterprises operating in Indonesia need to develop their activities in accordance with the principles of corporate social responsibility; welcomes Government Regulation No GR 47/2012 concerning Social and Environmental Responsibility of Limited Liability Companies, which is generally applicable to Indonesian companies and provides for incentives and sanctions: highlights, none the less, the need for capacity-building to implement the UN Guiding Principles on Business and Human Rights; calls on the EU to provide, within the framework of the PCA, the necessary technical assistance, and on Indonesia to develop its own national plan of implementation of the UN Guiding Principles; commends Indonesia for hosting, in November 2012, the international meeting steered by its Corruption Eradications Commission together with the United Nations Development Programme and the United Nations Office on Drugs and Crime, which discussed the ‘Principles for Anti-Corruption Agencies’;

| (o) | Notes with regret that the increasingly strong focus on Islamic teachings in the public education system, to the detriment of the stress on religious, ethnic and cultural plurality and diversity enshrined in the Indonesian motto ‘Bhineka Tunggal Ika’ (Unity in Diversity), and also the widespread perception of the lack of political decisiveness on the part of the authorities in dealing with religious extremism, are seen as contributing to the rise of incidents involving sectarian violence and discrimination against people belonging to religious and ethnic minorities; remains concerned about the acts of discrimination, harassment or violence perpetrated against people belonging to ethnic minorities, women and LGBTI people, sometimes pursued under various rules and regulations relating to pornography, blasphemy or the activities of religious minorities; |
| --- | --- |

(o)

Notes with regret that the increasingly strong focus on Islamic teachings in the public education system, to the detriment of the stress on religious, ethnic and cultural plurality and diversity enshrined in the Indonesian motto ‘Bhineka Tunggal Ika’ (Unity in Diversity), and also the widespread perception of the lack of political decisiveness on the part of the authorities in dealing with religious extremism, are seen as contributing to the rise of incidents involving sectarian violence and discrimination against people belonging to religious and ethnic minorities; remains concerned about the acts of discrimination, harassment or violence perpetrated against people belonging to ethnic minorities, women and LGBTI people, sometimes pursued under various rules and regulations relating to pornography, blasphemy or the activities of religious minorities;

| (p) | Expresses concern about the violence perpetrated against religious minorities, which is reflected in attacks against Ahmadiyya followers and Shia Muslims and the closure of churches in some parts of the country, as well as discriminatory regulations and state practices against persons not belonging to one of the six recognised religions, in the context of civil registration of marriages and births or the issuance of identity cards; urges the Indonesian authorities to ensure the practical application of freedom of religion as provided for by the Constitution, and to continue to promote religious tolerance; believes in this regard that the annual EU-Indonesia Human Rights dialogue, as well as Article 39 of the PCA on the modernisation of the State and Public Administration is the appropriate platform to address such concerns; |
| --- | --- |

(p)

Expresses concern about the violence perpetrated against religious minorities, which is reflected in attacks against Ahmadiyya followers and Shia Muslims and the closure of churches in some parts of the country, as well as discriminatory regulations and state practices against persons not belonging to one of the six recognised religions, in the context of civil registration of marriages and births or the issuance of identity cards; urges the Indonesian authorities to ensure the practical application of freedom of religion as provided for by the Constitution, and to continue to promote religious tolerance; believes in this regard that the annual EU-Indonesia Human Rights dialogue, as well as Article 39 of the PCA on the modernisation of the State and Public Administration is the appropriate platform to address such concerns;

| (q) | Recalls that abolition of the death penalty is a key objective of the Union's human rights policy; calls on the Indonesian authorities to consider abolishing the death penalty, or at least declaring a moratorium on its application; believes in this regard that the annual EU-Indonesia Human Rights dialogue is the appropriate platform to address such concerns; moreover, urges the EU to engage more closely with Indonesia's civil society with a view to promoting human rights, the rule of law and the fight against corruption, as well as advocating the abolition of the death penalty; |
| --- | --- |

(q)

Recalls that abolition of the death penalty is a key objective of the Union's human rights policy; calls on the Indonesian authorities to consider abolishing the death penalty, or at least declaring a moratorium on its application; believes in this regard that the annual EU-Indonesia Human Rights dialogue is the appropriate platform to address such concerns; moreover, urges the EU to engage more closely with Indonesia's civil society with a view to promoting human rights, the rule of law and the fight against corruption, as well as advocating the abolition of the death penalty;

| (r) | Remains gravely concerned about torture and other human rights abuses against the civilian population in Papua and West Papua, where according to estimates over 100 000 people have been killed in the last 50 years; welcomes the recent announcement by the Papuan Governor to open Papua up to foreign journalists and NGOs for the first time in years; calls on the EU to offer assistance to the Indonesian authorities, as previously done in the case of Aceh, in developing a comprehensive approach to improving the situation in Papua; remains concerned about the clashes between the security forces and the pro-independence groups, and the disturbing reports of human rights violations attributed to the security forces, as well as the lack of progress in the areas of education, healthcare and work opportunities and the ability to exercise freedom of expression and assembly, which are essential for Papuans, as well as protection of the environment, natural resources and their cultural identity; urges the Indonesian authorities to give free access to independent EU observers into the area; |
| --- | --- |

(r)

Remains gravely concerned about torture and other human rights abuses against the civilian population in Papua and West Papua, where according to estimates over 100 000 people have been killed in the last 50 years; welcomes the recent announcement by the Papuan Governor to open Papua up to foreign journalists and NGOs for the first time in years; calls on the EU to offer assistance to the Indonesian authorities, as previously done in the case of Aceh, in developing a comprehensive approach to improving the situation in Papua; remains concerned about the clashes between the security forces and the pro-independence groups, and the disturbing reports of human rights violations attributed to the security forces, as well as the lack of progress in the areas of education, healthcare and work opportunities and the ability to exercise freedom of expression and assembly, which are essential for Papuans, as well as protection of the environment, natural resources and their cultural identity; urges the Indonesian authorities to give free access to independent EU observers into the area;

| (s) | Commends the Indonesian government for its efforts in enabling the UNHCR to operate in the country and to assist in the handling of asylum seekers and refugees; notes the importance of public political discourse with a view to broadening society’s support for asylum seekers and refugees; suggests, in addition, that Indonesia and the EU fully implement Article 34 of the PCA with a view to cooperating on migration issues, including legal and illegal migration, smuggling and trafficking in human beings; |
| --- | --- |

(s)

Commends the Indonesian government for its efforts in enabling the UNHCR to operate in the country and to assist in the handling of asylum seekers and refugees; notes the importance of public political discourse with a view to broadening society’s support for asylum seekers and refugees; suggests, in addition, that Indonesia and the EU fully implement Article 34 of the PCA with a view to cooperating on migration issues, including legal and illegal migration, smuggling and trafficking in human beings;

| (t) | Urges the EU and Indonesia to cooperate closely under Article 4 of the PCA on legal cooperation with a view to the finalisation of Indonesia's ratification of the 1948 UN Convention on the Prevention and Punishment of the Crime of Genocide and the Rome Statute on the International Criminal Court; |
| --- | --- |

(t)

Urges the EU and Indonesia to cooperate closely under Article 4 of the PCA on legal cooperation with a view to the finalisation of Indonesia's ratification of the 1948 UN Convention on the Prevention and Punishment of the Crime of Genocide and the Rome Statute on the International Criminal Court;

| (u) | Welcomes the continued Human Rights Dialogue, established in 2010, between the EU and Indonesia and encourages the wider participation and input of civil society in that dialogue and in the implementation of the National Plan of Action of Human Rights; |
| --- | --- |

(u)

Welcomes the continued Human Rights Dialogue, established in 2010, between the EU and Indonesia and encourages the wider participation and input of civil society in that dialogue and in the implementation of the National Plan of Action of Human Rights;

| (v) | Welcomes the 2006, 2008 and 2010 regulations banning female genital mutilation; acknowledges the efforts made by the Indonesian authorities, including the ratification of the Convention to Eliminate All Forms of Discrimination Against Women and the UN Convention on the Rights of the Child, as well as the work done by the National Commission on Violence Against Women (Komnas Perempuan) and local civil society to disseminate information about the dangers of female genital mutilation; notes that, despite those efforts and the adoption of the UN resolution on banning female genital mutilation, that tradition is still practiced in some parts of Indonesia; recommends, in this respect, that the EU and Indonesia cooperate closely under Article 31 of the PCA on health and that they make use of the Human Rights Dialogue in order to exchange best practice aimed at eradicating genital mutilation and minimising the health risks to young girls and women posed by such procedures; calls on Indonesia to redouble its efforts to put an end to this serious form of gender-based violence against girls and women, constituting a gross violation of their human rights; |
| --- | --- |

(v)

Welcomes the 2006, 2008 and 2010 regulations banning female genital mutilation; acknowledges the efforts made by the Indonesian authorities, including the ratification of the Convention to Eliminate All Forms of Discrimination Against Women and the UN Convention on the Rights of the Child, as well as the work done by the National Commission on Violence Against Women (Komnas Perempuan) and local civil society to disseminate information about the dangers of female genital mutilation; notes that, despite those efforts and the adoption of the UN resolution on banning female genital mutilation, that tradition is still practiced in some parts of Indonesia; recommends, in this respect, that the EU and Indonesia cooperate closely under Article 31 of the PCA on health and that they make use of the Human Rights Dialogue in order to exchange best practice aimed at eradicating genital mutilation and minimising the health risks to young girls and women posed by such procedures; calls on Indonesia to redouble its efforts to put an end to this serious form of gender-based violence against girls and women, constituting a gross violation of their human rights;

| (w) | Commends the progress made by Indonesia through its National Action Plan for the Elimination of the Worst Forms of Child Labour, and its legal framework to tackle child exploitation; |
| --- | --- |

(w)

Commends the progress made by Indonesia through its National Action Plan for the Elimination of the Worst Forms of Child Labour, and its legal framework to tackle child exploitation;

| (x) | Acknowledges the important role played by labour movements in dialogues and negotiations with the Government and other stakeholders to promote working conditions and social security rights in Indonesia; recommends that the cooperation sought under the provisions of the PCA on safeguarding human rights and non-discrimination should address issues relating to gender equality in the workplace and tackling the gender-based pay gap; stresses in particular the importance of specific action to ensure that international core labour standards are comprehensively implemented, given that women workers are still subjected to exploitation and discrimination in the form of overwork, underpayment and abuses by management; |
| --- | --- |

(x)

Acknowledges the important role played by labour movements in dialogues and negotiations with the Government and other stakeholders to promote working conditions and social security rights in Indonesia; recommends that the cooperation sought under the provisions of the PCA on safeguarding human rights and non-discrimination should address issues relating to gender equality in the workplace and tackling the gender-based pay gap; stresses in particular the importance of specific action to ensure that international core labour standards are comprehensively implemented, given that women workers are still subjected to exploitation and discrimination in the form of overwork, underpayment and abuses by management;

| (y) | Stresses that exports from the EU to Indonesia have doubled in the last six years, reaching a value of EUR 9,6 billion in 2012; notes that bilateral trade was worth only EUR 25 billion, making Indonesia the EU's 29th trading partner and only fourth as an EU trading partner in the region, despite the fact that Indonesia represents 40 % of ASEAN’s GDP and population; notes, however, that EU investment in Indonesia is booming, ranking second in terms of foreign direct investment after Singapore, and that 1 000 EU companies have invested over EUR 1 000 billion and employ 1,1 million Indonesians; |
| --- | --- |

(y)

Stresses that exports from the EU to Indonesia have doubled in the last six years, reaching a value of EUR 9,6 billion in 2012; notes that bilateral trade was worth only EUR 25 billion, making Indonesia the EU's 29th trading partner and only fourth as an EU trading partner in the region, despite the fact that Indonesia represents 40 % of ASEAN’s GDP and population; notes, however, that EU investment in Indonesia is booming, ranking second in terms of foreign direct investment after Singapore, and that 1 000 EU companies have invested over EUR 1 000 billion and employ 1,1 million Indonesians;

| (z) | Calls on Indonesia and the EU to consider starting negotiations on a free trade agreement, in addition to the cooperation called for within the framework of the PCA, with a view to progressively removing major trade barriers, including strengthening the consultations on compliance with WTO rules, promoting the use of international standards on technical barriers to trade, improving the protection of intellectual property rights, increasing the transparency of trade regulations, developing customs cooperation and promoting a non-discriminatory investment regime, and thereby further increasing trade in goods, investment, services and procurement; |
| --- | --- |

(z)

Calls on Indonesia and the EU to consider starting negotiations on a free trade agreement, in addition to the cooperation called for within the framework of the PCA, with a view to progressively removing major trade barriers, including strengthening the consultations on compliance with WTO rules, promoting the use of international standards on technical barriers to trade, improving the protection of intellectual property rights, increasing the transparency of trade regulations, developing customs cooperation and promoting a non-discriminatory investment regime, and thereby further increasing trade in goods, investment, services and procurement;

| (aa) | Commends Indonesia for its efforts to work in partnership with the EU to eradicate the trade in illegal timber and timber products; notes the signature of the Forest Law Enforcement, Governance and Trade Voluntary Partnership Agreement (FLEGT –VPA) between the EU and Indonesia in September 2013; notes that the Indonesian timber product exports to the EU rose by 114 % in the first quarter of 2013; looks forward to the issuance of FLEGT licences, which certify the legality of timber and timber products, for the importation of Indonesian timber and timber products into the EU, once both sides have assessed that Indonesia's Timber Legality Assurance System (TLAS) is sufficiently robust; and expects that joint regular assessments will examine the capacity of relevant players to implement the FLEGT-VPA; |
| --- | --- |

(aa)

Commends Indonesia for its efforts to work in partnership with the EU to eradicate the trade in illegal timber and timber products; notes the signature of the Forest Law Enforcement, Governance and Trade Voluntary Partnership Agreement (FLEGT –VPA) between the EU and Indonesia in September 2013; notes that the Indonesian timber product exports to the EU rose by 114 % in the first quarter of 2013; looks forward to the issuance of FLEGT licences, which certify the legality of timber and timber products, for the importation of Indonesian timber and timber products into the EU, once both sides have assessed that Indonesia's Timber Legality Assurance System (TLAS) is sufficiently robust; and expects that joint regular assessments will examine the capacity of relevant players to implement the FLEGT-VPA;

| (ab) | Recognizes the key role of Indonesia and the EU in tackling climate change, given their geo-political and economic importance, territorial extent and population size, welcomes the increasing role of Indonesia in international climate change negotiations; praises Indonesia’s ambitious plans, announced in 2009, to cut the growth of emissions and its call for international support to help the country to achieve even greater reductions; notes that deforestation and land use change are mainly responsible for greenhouse gas emissions in Indonesia but that the growing energy sector is expected to take over from forestry by 2027; therefore calls on the parties to the PCA to immediately establish pursuant to Article 23 of the PCA on energy, an institutionalised bilateral cooperation mechanism which could be built on the example of the UK Climate Change Unit (UKCCU) Indonesia established in 2011, in order to diversify energy supplies by developing new and renewable forms of energy and their transmission infrastructures to connect renewable energy to centres of demand and to achieve a rational use of energy in order to combat climate change and promote sustainable development; |
| --- | --- |

(ab)

Recognizes the key role of Indonesia and the EU in tackling climate change, given their geo-political and economic importance, territorial extent and population size, welcomes the increasing role of Indonesia in international climate change negotiations; praises Indonesia’s ambitious plans, announced in 2009, to cut the growth of emissions and its call for international support to help the country to achieve even greater reductions; notes that deforestation and land use change are mainly responsible for greenhouse gas emissions in Indonesia but that the growing energy sector is expected to take over from forestry by 2027; therefore calls on the parties to the PCA to immediately establish pursuant to Article 23 of the PCA on energy, an institutionalised bilateral cooperation mechanism which could be built on the example of the UK Climate Change Unit (UKCCU) Indonesia established in 2011, in order to diversify energy supplies by developing new and renewable forms of energy and their transmission infrastructures to connect renewable energy to centres of demand and to achieve a rational use of energy in order to combat climate change and promote sustainable development;

| (ac) | Expresses serious concern over the effects of the growing demand for palm oil on deforestation in Indonesia, which is the world's biggest producer and consumer of palm oil; welcomes the moratorium on the clearing of new forest decided by the Government in 2011 but urges that measures be taken to close the numerous loopholes which so far have greatly diminished its effects; |
| --- | --- |

(ac)

Expresses serious concern over the effects of the growing demand for palm oil on deforestation in Indonesia, which is the world's biggest producer and consumer of palm oil; welcomes the moratorium on the clearing of new forest decided by the Government in 2011 but urges that measures be taken to close the numerous loopholes which so far have greatly diminished its effects;

| (ad) | Welcomes the aviation agreement signed by the EU and Indonesia in 2011, which removes nationality restrictions in bilateral air services and is a step towards strengthening overall cooperation between the EU and Indonesia; recommends that further steps be taken under Article 34 of the PCA on transport, in particular the establishment of a close dialogue in the field of maritime and land transport to enhance the infrastructure in the Indonesian archipelago, as well as measures to fully implement international transport security, safety and pollution prevention standards; |
| --- | --- |

(ad)

Welcomes the aviation agreement signed by the EU and Indonesia in 2011, which removes nationality restrictions in bilateral air services and is a step towards strengthening overall cooperation between the EU and Indonesia; recommends that further steps be taken under Article 34 of the PCA on transport, in particular the establishment of a close dialogue in the field of maritime and land transport to enhance the infrastructure in the Indonesian archipelago, as well as measures to fully implement international transport security, safety and pollution prevention standards;

| (ae) | Expresses alarm over the annually recurring forest fires, which are largely blamed on palm oil plantations, logging firms and farmers as a means of clearing land for planting but which add to global warming, making Indonesia one of the highest emitters of greenhouse gases; welcomes the promise by the Indonesian Government to ratify the ASEAN Agreement on Transboundary Haze by early next year, and urges the authorities to take more effective preventive measures as a matter of urgency; |
| --- | --- |

(ae)

Expresses alarm over the annually recurring forest fires, which are largely blamed on palm oil plantations, logging firms and farmers as a means of clearing land for planting but which add to global warming, making Indonesia one of the highest emitters of greenhouse gases; welcomes the promise by the Indonesian Government to ratify the ASEAN Agreement on Transboundary Haze by early next year, and urges the authorities to take more effective preventive measures as a matter of urgency;

| (af) | Notes that tourism is one of the leading sectors of the Indonesian economy; stresses in this regard that Article 17 of the PCA provides an excellent opportunity to exchange information and to establish best practices with a view to maximising the Indonesian potential of natural and cultural heritage and mitigating negative impacts, such as pollution or damage to marine ecosystems, in order to develop sustainable tourism models and to increase the positive contribution of tourism whilst respecting the interests of local communities; |
| --- | --- |

(af)

Notes that tourism is one of the leading sectors of the Indonesian economy; stresses in this regard that Article 17 of the PCA provides an excellent opportunity to exchange information and to establish best practices with a view to maximising the Indonesian potential of natural and cultural heritage and mitigating negative impacts, such as pollution or damage to marine ecosystems, in order to develop sustainable tourism models and to increase the positive contribution of tourism whilst respecting the interests of local communities;

| (ag) | Notes that the people-to-people exchanges between Indonesia and the EU have been implemented via the Erasmus Mundus II programme, which awarded 200 scholarships between 2008-2010; acknowledges that the European Commission envisages workshops and seminars to increase Indonesian SMEs' understanding and knowledge of international standards and quality requirements; however, urges further intensification of student and academic staff exchanges and the establishment of regular training schemes under Article 25 of the PCA on culture and education, as well as exchange of best practices and know-how in the field of tourism, entrepreneurialism and languages; in addition, calls on Indonesia and the EU in this context to look into starting negotiations on visa facilitation with a view to increasing people-to-people exchanges; |
| --- | --- |

(ag)

Notes that the people-to-people exchanges between Indonesia and the EU have been implemented via the Erasmus Mundus II programme, which awarded 200 scholarships between 2008-2010; acknowledges that the European Commission envisages workshops and seminars to increase Indonesian SMEs' understanding and knowledge of international standards and quality requirements; however, urges further intensification of student and academic staff exchanges and the establishment of regular training schemes under Article 25 of the PCA on culture and education, as well as exchange of best practices and know-how in the field of tourism, entrepreneurialism and languages; in addition, calls on Indonesia and the EU in this context to look into starting negotiations on visa facilitation with a view to increasing people-to-people exchanges;

| (ah) | Notes that, between 2007 and 2013, approximately EUR 400 million were provided by the EU to Indonesia by way of development assistance; recognises that, as of 2014, Indonesia will no longer be eligible for Multiannual Indicative Programmes (MIP) after having achieved the status of lower middle income country, while it continues to benefit from the EU’s Generalised Scheme of Preferences; urges Indonesia, therefore, to continue to implement the policies prioritised and funded previously by MIPs, such as those relating to education, trade and investment, law enforcement and justice, general capacity-building and climate change; believes that the bilateral cooperation under the PCA, combined with financing from the European Investment Bank, and any future economic partnership agreements, will play a vital role in furthering such priorities in Indonesia; |
| --- | --- |

(ah)

Notes that, between 2007 and 2013, approximately EUR 400 million were provided by the EU to Indonesia by way of development assistance; recognises that, as of 2014, Indonesia will no longer be eligible for Multiannual Indicative Programmes (MIP) after having achieved the status of lower middle income country, while it continues to benefit from the EU’s Generalised Scheme of Preferences; urges Indonesia, therefore, to continue to implement the policies prioritised and funded previously by MIPs, such as those relating to education, trade and investment, law enforcement and justice, general capacity-building and climate change; believes that the bilateral cooperation under the PCA, combined with financing from the European Investment Bank, and any future economic partnership agreements, will play a vital role in furthering such priorities in Indonesia;

| (ai) | Suggests that Indonesia and the EU identify areas of cooperation under the provisions of the PCA, in order to better implement and manage Indonesia’s Economic Master Plan (MP3EI), by exchanging know-how and best practice for public-private partnerships and, as part of the G20 obligations of Indonesia and some of the EU Member States, that they cooperate closely in tackling profit shifting and tax avoidance and establishing the automatic exchange of tax information; |
| --- | --- |

(ai)

Suggests that Indonesia and the EU identify areas of cooperation under the provisions of the PCA, in order to better implement and manage Indonesia’s Economic Master Plan (MP3EI), by exchanging know-how and best practice for public-private partnerships and, as part of the G20 obligations of Indonesia and some of the EU Member States, that they cooperate closely in tackling profit shifting and tax avoidance and establishing the automatic exchange of tax information;

| (aj) | Urges the EU, within the framework of the PCA, to support Indonesia’s efforts to modernise its public administration, in particular by building capacities for policy design and implementation and reinforcement of the judiciary and law-enforcement institutions; |
| --- | --- |

(aj)

Urges the EU, within the framework of the PCA, to support Indonesia’s efforts to modernise its public administration, in particular by building capacities for policy design and implementation and reinforcement of the judiciary and law-enforcement institutions;

| (ak) | Calls for EU-Indonesia cooperation in implementing the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) and to conserve and manage in a sustainable manner natural resources and biological diversity, namely forest, marine and fisheries resources; expresses concern at the increase in deforestation by the private sector for palm oil and rubber plantations, to the detriment of monoculture; |
| --- | --- |

(ak)

Calls for EU-Indonesia cooperation in implementing the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) and to conserve and manage in a sustainable manner natural resources and biological diversity, namely forest, marine and fisheries resources; expresses concern at the increase in deforestation by the private sector for palm oil and rubber plantations, to the detriment of monoculture;

| (al) | Welcomes Indonesia’s ratification of the United Nations Convention on the Law of the Sea and calls on the EU to offer assistance in the institutional and other reforms needed to comply with that Convention and to enhance maritime security in the region; |
| --- | --- |

(al)

Welcomes Indonesia’s ratification of the United Nations Convention on the Law of the Sea and calls on the EU to offer assistance in the institutional and other reforms needed to comply with that Convention and to enhance maritime security in the region;

| (am) | Welcomes the PCA, which testifies to the growing importance of EU-Indonesian ties and opens a new era in bilateral relations by strengthening political, economic and sectorial cooperation across a wide range of policy fields, by facilitating trade and investment flows and people-to-people exchanges, including in the context of EU-ASEAN initiatives, as well as enhancing cooperation between Indonesia and the EU in responding to global challenges, in addition to the existing cooperation in the context of other international organisations, in which both the EU and Indonesia are playing an increasingly important role; stresses that bilateral and multilateral cooperation may foster conflict resolution at the regional and global level and improve efficiency in asset recovery and fighting terrorism, piracy, organised crime, money laundering and tax havens; welcomes, therefore, the fact that all the Member States have ratified the PCA, which was signed as long ago as 2009; |
| --- | --- |

(am)

Welcomes the PCA, which testifies to the growing importance of EU-Indonesian ties and opens a new era in bilateral relations by strengthening political, economic and sectorial cooperation across a wide range of policy fields, by facilitating trade and investment flows and people-to-people exchanges, including in the context of EU-ASEAN initiatives, as well as enhancing cooperation between Indonesia and the EU in responding to global challenges, in addition to the existing cooperation in the context of other international organisations, in which both the EU and Indonesia are playing an increasingly important role; stresses that bilateral and multilateral cooperation may foster conflict resolution at the regional and global level and improve efficiency in asset recovery and fighting terrorism, piracy, organised crime, money laundering and tax havens; welcomes, therefore, the fact that all the Member States have ratified the PCA, which was signed as long ago as 2009;

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

2.

Instructs its President to forward this resolution to the Council and to the Commission.

---

(1)  OJ L 144, 10.6.1980, p. 2.

(2)  OJ C 272 E, 13.11.2003, p. 476.

(3)  OJ C 68 E, 18.3.2004, p. 617.

(4)  OJ C 87 E, 7.4.2004, p. 528.

(5)  OJ C 247 E, 6.10.2005, p. 147.

(6)  OJ L 264, 8.10.2011, p. 2.

(7)  OJ C 33 E, 5.2.2013, p. 201.

(8)  OJ C 239 E, 20.8.2013, p. 1.

(9)  OJ L 154, 15.6.2012, p. 1.

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| 29.8.2017 | EN | Official Journal of the European Union | C 285/394 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/394

---

P7_TA(2014)0142

EC-Indonesia Framework Agreement on Comprehensive Partnership and cooperation, with the exception of matters related to readmission ***

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of a Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, with the exception of matters related to readmission (11250/2013 — C7-0351/2013 — 2013/0120A(NLE))

(Consent)

(2017/C 285/49)

The European Parliament,

| — | having regard to the draft Council decision (11250/2013), |
| --- | --- |

—

having regard to the draft Council decision (11250/2013),

| — | having regard to the draft Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009), |
| --- | --- |

—

having regard to the draft Framework Agreement on Comprehensive Partnership and cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009),

| — | having regard to the request for consent submitted by the Council in accordance with Articles 91, 100, 191(4), 207 and 209, in conjunction with Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0351/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Articles 91, 100, 191(4), 207 and 209, in conjunction with Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0351/2013),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Foreign Affairs (A7-0134/2014), |
| --- | --- |

—

having regard to the recommendation of the Committee on Foreign Affairs (A7-0134/2014),

| 1. | Consents to the conclusion of the Agreement; |
| --- | --- |

1.

Consents to the conclusion of the Agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/395 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/395

---

P7_TA(2014)0143

EC-Indonesia framework agreement on comprehensive partnership and cooperation, as regards matters related to readmission ***

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Framework Agreement on Comprehensive Partnership and Cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part, as regards matters related to readmission (11313/2013 — C7-0356/2013 — 2013/0120B(NLE))

(Consent)

(2017/C 285/50)

The European Parliament,

| — | having regard to the draft Council decision (11313/2013), |
| --- | --- |

—

having regard to the draft Council decision (11313/2013),

| — | having regard to the draft Framework Agreement on Comprehensive Partnership and Cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009), |
| --- | --- |

—

having regard to the draft Framework Agreement on Comprehensive Partnership and Cooperation between the European Community and its Member States, of the one part, and the Republic of Indonesia, of the other part (14032/2009),

| — | having regard to the request for consent submitted by the Council in accordance with Articles 79(3) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0356/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Articles 79(3) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0356/2013),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Foreign Affairs (A7-0115/2014), |
| --- | --- |

—

having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Foreign Affairs (A7-0115/2014),

| 1. | Consents to the conclusion of the Agreement; |
| --- | --- |

1.

Consents to the conclusion of the Agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/396 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/396

---

P7_TA(2014)0144

EU-Turkey agreement on the readmission of persons residing without authorisation ***

European Parliament legislative resolution of 26 February 2014 on the draft Council decision on the conclusion of the Agreement between the European Union and the Republic of Turkey on the readmission of persons residing without authorisation (10697/2012 — C7-0029/2014 — 2012/0122(NLE))

(Consent)

(2017/C 285/51)

The European Parliament,

| — | having regard to the draft Council decision (10697/2012), |
| --- | --- |

—

having regard to the draft Council decision (10697/2012),

| — | having regard to the draft Agreement between the European Union and the Republic of Turkey on the readmission of persons residing without authorisation (10693/2012), |
| --- | --- |

—

having regard to the draft Agreement between the European Union and the Republic of Turkey on the readmission of persons residing without authorisation (10693/2012),

| — | having regard to the request for consent submitted by the Council in accordance with Article 79(3) and Article 218(6), second subparagraph, point (a)(v), of the Treaty on the Functioning of the European Union (C7-0029/2014), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 79(3) and Article 218(6), second subparagraph, point (a)(v), of the Treaty on the Functioning of the European Union (C7-0029/2014),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Foreign Affairs (A7-0097/2014), |
| --- | --- |

—

having regard to the recommendation of the Committee on Civil Liberties, Justice and Home Affairs and the opinion of the Committee on Foreign Affairs (A7-0097/2014),

| 1. | Consents to the conclusion of the Agreement; |
| --- | --- |

1.

Consents to the conclusion of the Agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Turkey. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Turkey.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/397 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/397

---

P7_TA(2014)0147

Single European railway area ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure (COM(2013)0029 — C7-0025/2013 — 2013/0029(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/52)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0029), |
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—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0029),

| — | having regard to Article 294(2) and Article 91 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0025/2013), |
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—

having regard to Article 294(2) and Article 91 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0025/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
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—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the French Senate, the Lithuanian Parliament, the Chamber of Deputies of the Grand Duchy of Luxembourg, the Netherlands Senate, the Netherlands House of Representatives and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
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—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the French Senate, the Lithuanian Parliament, the Chamber of Deputies of the Grand Duchy of Luxembourg, the Netherlands Senate, the Netherlands House of Representatives and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1), |
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—

having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 8 October 2013 (2), |
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—

having regard to the opinion of the Committee of the Regions of 8 October 2013 (2),

| — | having regard to Rule 55 of its Rules of Procedure, |
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—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0037/2014), |
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—

having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0037/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
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1.

Adopts its position at first reading hereinafter set out;

| 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; |
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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, the Commission and the national parliaments. |
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3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

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(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

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P7_TC1-COD(2013)0029

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council amending Directive 2012/34/EU of the European Parliament and of the Council establishing a single European railway area, as regards the opening of the market for domestic passenger transport services by rail and the governance of the railway infrastructure

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 91 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | Over the past decade,
  the European motorway network has grown by 27 %, but the railway network in use has shrunk by 2 %. Furthermore,
  the growth of passenger traffic by rail has been insufficient to increase its modal share in comparison to cars and aviation. The 6 % modal share of passenger transport for rail in the European Union has remained fairly stable.
  and
  rail passenger services have not kept pace with evolving needs in terms of offer or quality. [Am. 1] |
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(1)

Over the past decade,
  the European motorway network has grown by 27 %, but the railway network in use has shrunk by 2 %. Furthermore,
  the growth of passenger traffic by rail has been insufficient to increase its modal share in comparison to cars and aviation. The 6 % modal share of passenger transport for rail in the European Union has remained fairly stable.
  and
  rail passenger services have not kept pace with evolving needs in terms of offer or quality. [Am. 1]

| (1a) | The principal reasons for rail’s insufficient modal share in Europe include unfair competition as regards other modes of transport, a lack of political will to develop rail transport and under-investment in rail networks. [Am. 2] |
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(1a)

The principal reasons for rail’s insufficient modal share in Europe include unfair competition as regards other modes of transport, a lack of political will to develop rail transport and under-investment in rail networks. [Am. 2]

| (2) | The Union markets for freight and for international passenger trains have been opened to competition since 2007 and 2010 respectively through Directives 2004/51/EC (4) and 2007/58/EC (5). In addition, some Member States have opened their domestic passenger services to competition, either by introducing open access rights or competitive tendering for public service contracts or both. |
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(2)

The Union markets for freight and for international passenger trains have been opened to competition since 2007 and 2010 respectively through Directives 2004/51/EC (4) and 2007/58/EC (5). In addition, some Member States have opened their domestic passenger services to competition, either by introducing open access rights or competitive tendering for public service contracts or both.

| (2a) | The practical effects of the provisions of those Directives need to be assessed by checking the quality of the services provided on the basis of specific facts, tendering and use rates, costs and charges. [Am. 3] |
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(2a)

The practical effects of the provisions of those Directives need to be assessed by checking the quality of the services provided on the basis of specific facts, tendering and use rates, costs and charges. [Am. 3]

| (2b) | In order to establish a single European rail area, it is vital for the relevant legislation to be effectively and fully applied in all the Member States within the prescribed time-limits. Given the deficiencies that have been identified in the sector, the Member States should keep a close eye on the implementation of Union legislation. [Am. 4] |
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(2b)

In order to establish a single European rail area, it is vital for the relevant legislation to be effectively and fully applied in all the Member States within the prescribed time-limits. Given the deficiencies that have been identified in the sector, the Member States should keep a close eye on the implementation of Union legislation. [Am. 4]

| (2c) | Several studies and questionnaires demonstrate that, in Member States that have opened their markets for domestic passenger transport, such as Sweden and the United Kingdom, the railway market has grown, including more satisfied passengers and personnel. [Am. 5] |
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(2c)

Several studies and questionnaires demonstrate that, in Member States that have opened their markets for domestic passenger transport, such as Sweden and the United Kingdom, the railway market has grown, including more satisfied passengers and personnel. [Am. 5]

| (3) | Directive 2012/34/EU of the European Parliament and of the Council (6) establishes a single European railway area with common rules on the governance of railway undertakings and infrastructure managers, on infrastructure financing and charging, on conditions of access to railway infrastructure and services and on regulatory oversight of the rail market. With all these elements in place, it is now possible to complete the opening of the Union railway market and reform the governance of infrastructure managers with the objective of ensuring equal access to the infrastructure
  in order to improve the quality of rail services throughout the Union while safeguarding social standards and employment conditions
  . [Am. 6] |
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(3)

Directive 2012/34/EU of the European Parliament and of the Council (6) establishes a single European railway area with common rules on the governance of railway undertakings and infrastructure managers, on infrastructure financing and charging, on conditions of access to railway infrastructure and services and on regulatory oversight of the rail market. With all these elements in place, it is now possible to complete the opening of the Union railway market and reform the governance of infrastructure managers with the objective of ensuring equal access to the infrastructure
  in order to improve the quality of rail services throughout the Union while safeguarding social standards and employment conditions
  . [Am. 6]

| (3a) | The completion of the opening of the Union railway market should be seen as essential in order to enable rail to become a credible alternative to other modes of transport in terms of price and quality. [Am. 7] |
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(3a)

The completion of the opening of the Union railway market should be seen as essential in order to enable rail to become a credible alternative to other modes of transport in terms of price and quality. [Am. 7]

| (4) | Directive 2012/34/EU requires the Commission to propose, if appropriate, legislative measures in relation of the opening of the market for domestic passenger transport services by rail and to develop appropriate conditions to ensure
  the most cost efficient
  non-discriminatory access to
  infrastructure including incumbent-owned sales
  infrastructure, building on the existing separation requirements between infrastructure management and transport operations. [Am. 8] |
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(4)

Directive 2012/34/EU requires the Commission to propose, if appropriate, legislative measures in relation of the opening of the market for domestic passenger transport services by rail and to develop appropriate conditions to ensure
  the most cost efficient
  non-discriminatory access to
  infrastructure including incumbent-owned sales
  infrastructure, building on the existing separation requirements between infrastructure management and transport operations. [Am. 8]

| (4a) | The opening of the market for domestic passenger transport will have a positive impact on the working of the European railway market; this will lead to greater flexibility and more possibilities for companies and passengers. Railway personnel will also benefit from the opening, as it will improve their chances of providing their services to new players on the market. Experienced workers can give the new players added value, leading to better labour conditions. [Am. 9] |
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(4a)

The opening of the market for domestic passenger transport will have a positive impact on the working of the European railway market; this will lead to greater flexibility and more possibilities for companies and passengers. Railway personnel will also benefit from the opening, as it will improve their chances of providing their services to new players on the market. Experienced workers can give the new players added value, leading to better labour conditions. [Am. 9]

| (4b) | Member States are responsible for the organisation of their labour markets for railway personnel. They should however make sure that the way in which the labour market is organised does not harm the quality of the service. Union law already provides for a clear framework for the protection of railway workers. [Am. 10] |
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(4b)

Member States are responsible for the organisation of their labour markets for railway personnel. They should however make sure that the way in which the labour market is organised does not harm the quality of the service. Union law already provides for a clear framework for the protection of railway workers. [Am. 10]

| (5) | Better coordination between infrastructure managers and railway undertakings should be ensured through the establishment of a coordination committee, in order to achieve efficient management and use of the infrastructure.
  In addition, in order to ensure the smooth running of operations in the daily management of the network, including the management of traffic on the network during the winter season, the infrastructure manager at traffic control level should coordinate with railway undertakings, without compromising its independence and responsibility for managing the network and complying with the existing rules. [Am. 117] |
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(5)

Better coordination between infrastructure managers and railway undertakings should be ensured through the establishment of a coordination committee, in order to achieve efficient management and use of the infrastructure.
  In addition, in order to ensure the smooth running of operations in the daily management of the network, including the management of traffic on the network during the winter season, the infrastructure manager at traffic control level should coordinate with railway undertakings, without compromising its independence and responsibility for managing the network and complying with the existing rules. [Am. 117]

| (6) | Member States should also ensure that all functions necessary to the sustainable operations, maintenance, and development of the rail infrastructure will be managed in a consistent manner by the infrastructure manager itself. |
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(6)

Member States should also ensure that all functions necessary to the sustainable operations, maintenance, and development of the rail infrastructure will be managed in a consistent manner by the infrastructure manager itself.

| (6a) | In order to secure sufficient and fair competition within the European railway area, it is necessary not only to guarantee non-discriminatory access to infrastructure but also to integrate national rail networks and strengthen the regulatory bodies. Such strengthening should take the form of extending the powers of the competent regulatory bodies and developing a network of regulatory bodies which would in future be a key operator in the regulation of the rail transport market in the Union. [Am. 12] |
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(6a)

In order to secure sufficient and fair competition within the European railway area, it is necessary not only to guarantee non-discriminatory access to infrastructure but also to integrate national rail networks and strengthen the regulatory bodies. Such strengthening should take the form of extending the powers of the competent regulatory bodies and developing a network of regulatory bodies which would in future be a key operator in the regulation of the rail transport market in the Union. [Am. 12]

| (6b) | The infrastructure manager, in exercising all the relevant functions as provided for in this Directive, should be required to use its competences to constantly improve the efficiency of the management of the rail infrastructure with a view to providing high-quality services to its users. [Am. 13] |
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(6b)

The infrastructure manager, in exercising all the relevant functions as provided for in this Directive, should be required to use its competences to constantly improve the efficiency of the management of the rail infrastructure with a view to providing high-quality services to its users. [Am. 13]

| (7) | Without prejudice to Member States’ powers as regards infrastructure planning and financing,
  cross-border issues
  such as track-access charges
  should be addressed efficiently between infrastructure managers of the different Member States through the establishment of a European network of infrastructure managers. [Am. 14] |
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(7)

Without prejudice to Member States’ powers as regards infrastructure planning and financing,
  cross-border issues
  such as track-access charges
  should be addressed efficiently between infrastructure managers of the different Member States through the establishment of a European network of infrastructure managers. [Am. 14]

| (8) | In order to ensure equal access to the infrastructure, any conflicts of interest resulting from integrated structures encompassing

  should be shaped in such a way that no conflicts of interest arise between
  infrastructure management and transport activities should be removed. Removing
  potential
  incentives to discriminate against competitors is the only way to guarantee equal access to the railway infrastructure. It is a requirement for the successful opening of the market for domestic passenger transport services by rail. This should also remove the potential for cross-subsidisation, which exists in such integrated structures, and which also leads to market distortions
  , as well as arrangements in respect of staff remuneration and other benefits which might result in preferential treatment compared to competitors
  . [Am. 15] |
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(8)

In order to ensure equal access to the infrastructure, any conflicts of interest resulting from integrated structures encompassing

  should be shaped in such a way that no conflicts of interest arise between
  infrastructure management and transport activities should be removed. Removing
  potential
  incentives to discriminate against competitors is the only way to guarantee equal access to the railway infrastructure. It is a requirement for the successful opening of the market for domestic passenger transport services by rail. This should also remove the potential for cross-subsidisation, which exists in such integrated structures, and which also leads to market distortions
  , as well as arrangements in respect of staff remuneration and other benefits which might result in preferential treatment compared to competitors
  . [Am. 15]

| (9) | The existing requirements for the independence of infrastructure managers from railway transport undertakings, as laid down in Directive 2012/34/EU, only cover the essential functions of the infrastructure manager, which are the decision-making on train path allocation, and the decision-making on infrastructure charging. It is however necessary that all the functions are exercised in an independent way, since other functions may equally be used to discriminate against competitors. This is in particular true for decisions on
  access to ticketing services, stations and depots, on
  investments or on maintenance which may be made to favour the parts of the network which are mainly used by the transport operators of the integrated undertaking. Decisions on the planning of maintenance works may influence the availability of train paths for the competitors. [Am. 16] |
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(9)

The existing requirements for the independence of infrastructure managers from railway transport undertakings, as laid down in Directive 2012/34/EU, only cover the essential functions of the infrastructure manager, which are the decision-making on train path allocation, and the decision-making on infrastructure charging. It is however necessary that all the functions are exercised in an independent way, since other functions may equally be used to discriminate against competitors. This is in particular true for decisions on
  access to ticketing services, stations and depots, on
  investments or on maintenance which may be made to favour the parts of the network which are mainly used by the transport operators of the integrated undertaking. Decisions on the planning of maintenance works may influence the availability of train paths for the competitors. [Am. 16]

| (9a) | Despite the implementation of the safeguards set out in Directive 2013/34/EU guaranteeing the independence of the infrastructure manager, vertically integrated undertakings could use their structure to give railway operators belonging to such undertakings an undue competitive edge. [Am. 17] |
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(9a)

Despite the implementation of the safeguards set out in Directive 2013/34/EU guaranteeing the independence of the infrastructure manager, vertically integrated undertakings could use their structure to give railway operators belonging to such undertakings an undue competitive edge. [Am. 17]

| (10) | The existing requirements of Directive 2012/34/EU only include legal, organisational and decision-making independence. This does not entirely exclude the possibility of maintaining an integrated undertaking, as long as these three categories of independence are ensured. Concerning the decision-making independence it must be ensured that the appropriate safeguards exclude control of an integrated undertaking over the decision-making of an infrastructure manager. However, even the full application of such safeguards does not completely remove all the possibilities for discriminatory behaviour towards competitors which exist in the presence of a vertically integrated undertaking. In particular, the potential for cross-subsidisation still exists in integrated structures, or at least it is very difficult for regulatory bodies to control and enforce safeguards which are established to prevent such cross-subsidisation. An institutional separation of infrastructure management and transport operation is the most effective measure to solve these problems. |
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(10)

The existing requirements of Directive 2012/34/EU only include legal, organisational and decision-making independence. This does not entirely exclude the possibility of maintaining an integrated undertaking, as long as these three categories of independence are ensured. Concerning the decision-making independence it must be ensured that the appropriate safeguards exclude control of an integrated undertaking over the decision-making of an infrastructure manager. However, even the full application of such safeguards does not completely remove all the possibilities for discriminatory behaviour towards competitors which exist in the presence of a vertically integrated undertaking. In particular, the potential for cross-subsidisation still exists in integrated structures, or at least it is very difficult for regulatory bodies to control and enforce safeguards which are established to prevent such cross-subsidisation. An institutional separation of infrastructure management and transport operation is the most effective measure to solve these problems.

| (11) | Member States should therefore be required to ensure that the same legal or natural person or persons are not entitled to exercise control over an infrastructure manager and, at the same time, exercise control or any right over a railway undertaking. Conversely, control over

  This Directive aims to establish free and fair competition between all railway undertakings, and therefore precludes
  a railway undertaking should preclude the possibility of exercising control or any right over an infrastructure manager

  from retaining a vertically integrated model as defined in Article 3
  . [Am. 18] |
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(11)

Member States should therefore be required to ensure that the same legal or natural person or persons are not entitled to exercise control over an infrastructure manager and, at the same time, exercise control or any right over a railway undertaking. Conversely, control over

  This Directive aims to establish free and fair competition between all railway undertakings, and therefore precludes
  a railway undertaking should preclude the possibility of exercising control or any right over an infrastructure manager

  from retaining a vertically integrated model as defined in Article 3
  . [Am. 18]

| (12) | Where Member States still maintain an infrastructure manager which is part of a vertically integrated undertaking, they should at least introduce strict safeguards to guarantee effective independence of the entire infrastructure manager in relation to the integrated undertaking. These safeguards should not only concern the corporate organisation of the infrastructure manager in relation to the integrated undertaking, but also the management structure of the infrastructure manager, and, as far as possible within an integrated structure, prevent financial transfers between the infrastructure manager and the other legal entities of the integrated undertaking. These safeguards do not only correspond to what is necessary to fulfil the existing requirements of decision-making independence of the essential functions under Directive 2012/34/EU, in terms of management independence of the infrastructure manager, but go beyond those requirements by adding clauses to exclude that incomes of the infrastructure manager may be used to fund the other entities within the vertically integrated undertaking. This should apply independently of the application of fiscal legislation of Member States and without prejudice to EU state aid rules. |
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(12)

Where Member States still maintain an infrastructure manager which is part of a vertically integrated undertaking, they should at least introduce strict safeguards to guarantee effective independence of the entire infrastructure manager in relation to the integrated undertaking. These safeguards should not only concern the corporate organisation of the infrastructure manager in relation to the integrated undertaking, but also the management structure of the infrastructure manager, and, as far as possible within an integrated structure, prevent financial transfers between the infrastructure manager and the other legal entities of the integrated undertaking. These safeguards do not only correspond to what is necessary to fulfil the existing requirements of decision-making independence of the essential functions under Directive 2012/34/EU, in terms of management independence of the infrastructure manager, but go beyond those requirements by adding clauses to exclude that incomes of the infrastructure manager may be used to fund the other entities within the vertically integrated undertaking. This should apply independently of the application of fiscal legislation of Member States and without prejudice to EU state aid rules.

| (12a) | Improving railway safety should be considered seriously during the process of opening the market for domestic passenger transport services by rail, particularly when it comes to reforming the integrated structures currently in place, in order to avoid the creation of additional administrative obstacles compromising the maintenance and improvements of safety. [Am. 19] |
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(12a)

Improving railway safety should be considered seriously during the process of opening the market for domestic passenger transport services by rail, particularly when it comes to reforming the integrated structures currently in place, in order to avoid the creation of additional administrative obstacles compromising the maintenance and improvements of safety. [Am. 19]

| (12b) | The possibility for an infrastructure manager to pay dividends to the ultimate owner of the vertically integrated undertaking should not prevent the infrastructure manager from constituting reserves in order to improve its financial situation and to balance its accounts over a reasonable period as required by this Directive. All dividend payments of the infrastructure manager should be earmarked to be used for investments in the renewal of the railway infrastructure in operation. [Am. 107] |
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(12b)

The possibility for an infrastructure manager to pay dividends to the ultimate owner of the vertically integrated undertaking should not prevent the infrastructure manager from constituting reserves in order to improve its financial situation and to balance its accounts over a reasonable period as required by this Directive. All dividend payments of the infrastructure manager should be earmarked to be used for investments in the renewal of the railway infrastructure in operation. [Am. 107]

| (12c) | The holding company in a vertically integrated undertaking may contribute to strategic decisions necessary for the good functioning of the railway transport system as a whole in the interest of all parties active in the railway market, without prejudice to the decisions pertaining to the functions of the infrastructure manager. [Am. 108] |
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(12c)

The holding company in a vertically integrated undertaking may contribute to strategic decisions necessary for the good functioning of the railway transport system as a whole in the interest of all parties active in the railway market, without prejudice to the decisions pertaining to the functions of the infrastructure manager. [Am. 108]

| (12d) | It shall also be possible for the representatives of the ultimate owners of the vertically integrated undertaking in the Supervisory Board to include persons appointed by the ultimate owners but not employed by them, provided they do not have any responsibility or interest in any other entity of the vertically integrated undertaking. [Am. 109] |
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(12d)

It shall also be possible for the representatives of the ultimate owners of the vertically integrated undertaking in the Supervisory Board to include persons appointed by the ultimate owners but not employed by them, provided they do not have any responsibility or interest in any other entity of the vertically integrated undertaking. [Am. 109]

| (12e) | The rules ensuring the independence of the infrastructure manager within the vertically integrated undertaking should be without prejudice to the Eurostat criteria on government deficit and debt, since in any case the holding, even taking into account the safeguards for the independence of the infrastructure manager, may still retain ownership of the infrastructure and in addition a sufficient number of functions in order not to be considered as a purely artificial entity having as its sole purpose the reduction of government debt within the meaning of those criteria. [Am. 110] |
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(12e)

The rules ensuring the independence of the infrastructure manager within the vertically integrated undertaking should be without prejudice to the Eurostat criteria on government deficit and debt, since in any case the holding, even taking into account the safeguards for the independence of the infrastructure manager, may still retain ownership of the infrastructure and in addition a sufficient number of functions in order not to be considered as a purely artificial entity having as its sole purpose the reduction of government debt within the meaning of those criteria. [Am. 110]

| (13) | Despite the implementation of the safeguards guaranteeing independence vertically integrated undertakings could abuse of their structure to provide undue competitive advantages for railway operators belonging to such undertakings, For this reason, without prejudice to Art 258 of the Treaty on the Functioning of the European Union, the Commission should verify, upon request of a Member State or on its own initiative, that these safeguards are effectively implemented and that any remaining distortions of competition are removed. In case the Commission is not in a position to confirm that this has been achieved, all Member States should have the possibility to limit or revoke access rights of the integrated operators concerned. |
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(13)

Despite the implementation of the safeguards guaranteeing independence vertically integrated undertakings could abuse of their structure to provide undue competitive advantages for railway operators belonging to such undertakings, For this reason, without prejudice to Art 258 of the Treaty on the Functioning of the European Union, the Commission should verify, upon request of a Member State or on its own initiative, that these safeguards are effectively implemented and that any remaining distortions of competition are removed. In case the Commission is not in a position to confirm that this has been achieved, all Member States should have the possibility to limit or revoke access rights of the integrated operators concerned.

| (13a) | Taking into account the heterogeneity of networks in terms of their size and density and the variety in the organisational structures of national and local or regional authorities and their respective experiences of the process of market opening, each Member State should be given sufficient flexibility to organise its network in such a way that a mix of open-access services and services performed under public service contracts can be achieved in order to ensure a high quality of services readily accessible to all passengers. Following selection of the public service contracts to be put out to tender, each Member State should establish on a case-by-case basis which safeguard mechanisms are to be introduced for each service should the tender procedure not be successfully completed. Those mechanisms should not in any way generate additional charges for the railway undertakings managing those services. [Am. 20] |
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(13a)

Taking into account the heterogeneity of networks in terms of their size and density and the variety in the organisational structures of national and local or regional authorities and their respective experiences of the process of market opening, each Member State should be given sufficient flexibility to organise its network in such a way that a mix of open-access services and services performed under public service contracts can be achieved in order to ensure a high quality of services readily accessible to all passengers. Following selection of the public service contracts to be put out to tender, each Member State should establish on a case-by-case basis which safeguard mechanisms are to be introduced for each service should the tender procedure not be successfully completed. Those mechanisms should not in any way generate additional charges for the railway undertakings managing those services. [Am. 20]

| (14) | Granting Union railway undertakings the right of access to railway infrastructure in all Member States for the purpose of operating domestic passenger services may have implications for the organisation and financing of rail passenger services provided under a public service contract. Member States should have the option of limiting such right of access where it would compromise the economic equilibrium of those public service contracts
  or the quality of the service that they provide
  and where approval has been given by the relevant regulatory body. [Am. 21] |
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(14)

Granting Union railway undertakings the right of access to railway infrastructure in all Member States for the purpose of operating domestic passenger services may have implications for the organisation and financing of rail passenger services provided under a public service contract. Member States should have the option of limiting such right of access where it would compromise the economic equilibrium of those public service contracts
  or the quality of the service that they provide
  and where approval has been given by the relevant regulatory body. [Am. 21]

| (15) | On its own initiative or following a request made by interested parties,
  regulatory bodies should assess
  , on the basis of an objective economic analysis,
  the potential economic impact of domestic passenger services provided under open access conditions on existing public service contracts following a request made by interested parties and on the basis of an objective economic analysis. [Am. 22] |
| --- | --- |

(15)

On its own initiative or following a request made by interested parties,
  regulatory bodies should assess
  , on the basis of an objective economic analysis,
  the potential economic impact of domestic passenger services provided under open access conditions on existing public service contracts following a request made by interested parties and on the basis of an objective economic analysis. [Am. 22]

| (16) | The process of the assessment should take into account the need to provide all market players with sufficient legal certainty to develop their activities. The procedure should be as simple, efficient and transparent as possible and coherent with the process for the allocation of infrastructure capacity. |
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(16)

The process of the assessment should take into account the need to provide all market players with sufficient legal certainty to develop their activities. The procedure should be as simple, efficient and transparent as possible and coherent with the process for the allocation of infrastructure capacity.

| (17) | The assessment of whether the economic equilibrium of the public service contract would be compromised should take into account predetermined criteria. Such criteria and the details of procedure to be followed may evolve over time, in particular in the light of the experience of regulatory bodies, competent authorities and railway undertakings and may take into account the specific characteristics of domestic passenger services. |
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(17)

The assessment of whether the economic equilibrium of the public service contract would be compromised should take into account predetermined criteria. Such criteria and the details of procedure to be followed may evolve over time, in particular in the light of the experience of regulatory bodies, competent authorities and railway undertakings and may take into account the specific characteristics of domestic passenger services.

| (18) | When assessing whether the economic equilibrium of the public service contract would be compromised, regulatory bodies should consider the economic
  and social
  impact of the intended service on existing public service contracts, taking into account its impact on the profitability of any services included in such public service contracts and, the consequences for
  enhancing cohesion policy in the area concerned and
  the net cost to the competent public authority that awarded the contracts. To make this assessment, factors such as passenger demand, ticket pricing, ticketing arrangements, location and number of stops and the timing and frequency of the proposed new service should be examined. [Am. 23] |
| --- | --- |

(18)

When assessing whether the economic equilibrium of the public service contract would be compromised, regulatory bodies should consider the economic
  and social
  impact of the intended service on existing public service contracts, taking into account its impact on the profitability of any services included in such public service contracts and, the consequences for
  enhancing cohesion policy in the area concerned and
  the net cost to the competent public authority that awarded the contracts. To make this assessment, factors such as passenger demand, ticket pricing, ticketing arrangements, location and number of stops and the timing and frequency of the proposed new service should be examined. [Am. 23]

| (18a) | In order to determine whether the quality of the service provided under a public service contract is affected by a free-access service on the same network, the regulatory bodies should take into account, in particular, network effects, the maintenance of connections and the punctuality of the services provided under the public service contract. [Am. 24] |
| --- | --- |

(18a)

In order to determine whether the quality of the service provided under a public service contract is affected by a free-access service on the same network, the regulatory bodies should take into account, in particular, network effects, the maintenance of connections and the punctuality of the services provided under the public service contract. [Am. 24]

| (19) | In order to increase the attractiveness of railway services for passengers, Member States should be in a position to require railway undertakings operating domestic passenger services to participate in a common information and integrated ticketing scheme for the supply of tickets, through-tickets and reservations. If Such a scheme is established, it should be ensured

  ensure
  that it does not create market distortion or discriminate between railway undertakings. [Am. 25] |
| --- | --- |

(19)

In order to increase the attractiveness of railway services for passengers, Member States should be in a position to require railway undertakings operating domestic passenger services to participate in a common information and integrated ticketing scheme for the supply of tickets, through-tickets and reservations. If Such a scheme is established, it should be ensured

  ensure
  that it does not create market distortion or discriminate between railway undertakings. [Am. 25]

| (19a) | It is important that railway undertakings engage in the development of integrated ticketing schemes, in particular as regards local and regional transport, in order to increase the attractiveness of rail transport for passengers. Such schemes should not create market distortion or discriminate between railway undertakings. [Am. 26] |
| --- | --- |

(19a)

It is important that railway undertakings engage in the development of integrated ticketing schemes, in particular as regards local and regional transport, in order to increase the attractiveness of rail transport for passengers. Such schemes should not create market distortion or discriminate between railway undertakings. [Am. 26]

| (19b) | Since the new package seeks to strengthen passenger rights, and as freedom of movement is one of the basic pillars of the Union, greater efforts should be made to also safeguard that right for disabled persons and for persons with reduced mobility. This makes improving accessibility to means of transport and infrastructure a priority. In order to achieve that objective, cross-border contacts should be encouraged. This also applies to the assistance provided for that specific category of passengers, which should be harmonised within a broader system. A consultation process should be launched in this respect, involving the social partners, the public and organisations for the protection of the rights of disabled persons. [Am. 27] |
| --- | --- |

(19b)

Since the new package seeks to strengthen passenger rights, and as freedom of movement is one of the basic pillars of the Union, greater efforts should be made to also safeguard that right for disabled persons and for persons with reduced mobility. This makes improving accessibility to means of transport and infrastructure a priority. In order to achieve that objective, cross-border contacts should be encouraged. This also applies to the assistance provided for that specific category of passengers, which should be harmonised within a broader system. A consultation process should be launched in this respect, involving the social partners, the public and organisations for the protection of the rights of disabled persons. [Am. 27]

| (19c) | In the light of the experience acquired through the network of regulatory bodies provided for in Article 57 of Directive 2012/34/EU, the Commission should, by no later than 31 December 2016, draw up a legislative proposal strengthening the network of regulatory bodies, formalising its procedures and giving it legal personality. That body should have a supervisory and arbitration function enabling it to deal with cross-border and international problems and to hear appeals against decisions taken by national regulatory bodies. [Am. 28] |
| --- | --- |

(19c)

In the light of the experience acquired through the network of regulatory bodies provided for in Article 57 of Directive 2012/34/EU, the Commission should, by no later than 31 December 2016, draw up a legislative proposal strengthening the network of regulatory bodies, formalising its procedures and giving it legal personality. That body should have a supervisory and arbitration function enabling it to deal with cross-border and international problems and to hear appeals against decisions taken by national regulatory bodies. [Am. 28]

| (19d) | With a view to completion of the Single European Railway Area, and given the competition in the railway sector, the Commission is committed to actively supporting and encouraging social dialogue at Union level in order to ensure that railway workers are protected in the long term against unwanted effects of market opening, such as social dumping. [Am. 29] |
| --- | --- |

(19d)

With a view to completion of the Single European Railway Area, and given the competition in the railway sector, the Commission is committed to actively supporting and encouraging social dialogue at Union level in order to ensure that railway workers are protected in the long term against unwanted effects of market opening, such as social dumping. [Am. 29]

| (19e) | Passengers should have access to functioning through-ticketing schemes and integrated ticketing schemes. Such schemes would also make railways a more attractive means of transport for people. Through-ticketing schemes developed by the sector within Member States should be interoperable with each other in order to enable a Union-wide scheme to be created that encompasses all rail passenger operators. [Am. 30] |
| --- | --- |

(19e)

Passengers should have access to functioning through-ticketing schemes and integrated ticketing schemes. Such schemes would also make railways a more attractive means of transport for people. Through-ticketing schemes developed by the sector within Member States should be interoperable with each other in order to enable a Union-wide scheme to be created that encompasses all rail passenger operators. [Am. 30]

| (19f) | In light of the experience acquired through the network of regulatory bodies established pursuant to Article 57 of Directive 2012/34/EU, the Commission should draw up a legislative proposal to replace the network with a European Regulatory Body, formalising its procedures and giving it legal personality, by no later than 31 December 2019, in time for the opening of domestic passenger transport services by rail. That body should have a supervisory and arbitration function enabling it to deal with cross-border and international problems and to hear appeals against decisions taken by national regulatory bodies. [Am. 31] |
| --- | --- |

(19f)

In light of the experience acquired through the network of regulatory bodies established pursuant to Article 57 of Directive 2012/34/EU, the Commission should draw up a legislative proposal to replace the network with a European Regulatory Body, formalising its procedures and giving it legal personality, by no later than 31 December 2019, in time for the opening of domestic passenger transport services by rail. That body should have a supervisory and arbitration function enabling it to deal with cross-border and international problems and to hear appeals against decisions taken by national regulatory bodies. [Am. 31]

| (19 g) | In order to avoid social dumping, a railway undertaking should only be able to provide rail transport services if it complies with collective agreements or national laws laying down standards within the Member State in which it intends to act. Provision should therefore be made for equal pay in the same place. The competent regulatory body should monitor compliance with this requirement. [Am. 32] |
| --- | --- |

(19 g)

In order to avoid social dumping, a railway undertaking should only be able to provide rail transport services if it complies with collective agreements or national laws laying down standards within the Member State in which it intends to act. Provision should therefore be made for equal pay in the same place. The competent regulatory body should monitor compliance with this requirement. [Am. 32]

| (19h) | The national regulatory body should approve or request changes to the arrangements for the transfer of staff. This may include the application of a cooling-off period for staff who are to be transferred. The regulatory body, when taking its decision, should aim at avoiding the transfer of sensitive information from the infrastructure manager to another entity within the integrated undertaking. [Am. 33] |
| --- | --- |

(19h)

The national regulatory body should approve or request changes to the arrangements for the transfer of staff. This may include the application of a cooling-off period for staff who are to be transferred. The regulatory body, when taking its decision, should aim at avoiding the transfer of sensitive information from the infrastructure manager to another entity within the integrated undertaking. [Am. 33]

| (19i) | The opening of the market should not have any adverse repercussions on the working and social conditions of railway workers. The relevant social clauses should be respected in order to avoid any social dumping or unfair competition by new entrants that fails to respect minimum social standards in the railway sector. [Am. 34] |
| --- | --- |

(19i)

The opening of the market should not have any adverse repercussions on the working and social conditions of railway workers. The relevant social clauses should be respected in order to avoid any social dumping or unfair competition by new entrants that fails to respect minimum social standards in the railway sector. [Am. 34]

| (19j) | Railway undertakings and infrastructure managers should establish within their safety culture a just culture' in order to actively encourage personnel to report safety related accidents, incidents and near misses without being subject to punishment or discrimination. A just culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and passengers. [Am. 35] |
| --- | --- |

(19j)

Railway undertakings and infrastructure managers should establish within their safety culture a just culture' in order to actively encourage personnel to report safety related accidents, incidents and near misses without being subject to punishment or discrimination. A just culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and passengers. [Am. 35]

| (19k) | The Commission should ensure the full and correct enforcement by Member States of the provisions of Council Directive 2005/47/EC

   (7)
  . [Am. 36] |
| --- | --- |

(19k)

The Commission should ensure the full and correct enforcement by Member States of the provisions of Council Directive 2005/47/EC

   (7)
  . [Am. 36]

| (19l) | In the light of the development of the single European railway area and the further opening of the rail transport market, Member States should make use of collective agreements in order to avoid social dumping and unfair competition. [Am. 37] |
| --- | --- |

(19l)

In the light of the development of the single European railway area and the further opening of the rail transport market, Member States should make use of collective agreements in order to avoid social dumping and unfair competition. [Am. 37]

| (19m) | The Commission should assess the impact of this Directive on the development of the labour market for railway on-board staff and, if appropriate, propose new legislative measures on the certification of such staff. [Am. 38] |
| --- | --- |

(19m)

The Commission should assess the impact of this Directive on the development of the labour market for railway on-board staff and, if appropriate, propose new legislative measures on the certification of such staff. [Am. 38]

| (19n) | On-board personnel are a professional group within the railway sector that performs safety-relevant tasks. It traditionally performs operational safety tasks within the railway system and is responsible for the comfort and safety of passengers on board trains. A certification similar to the certification of locomotive drivers is useful in order to guarantee a high level of qualifications and competences, to recognise the relevance of that professional group for the safety of rail services but also to facilitate mobility of workers. [Am. 39] |
| --- | --- |

(19n)

On-board personnel are a professional group within the railway sector that performs safety-relevant tasks. It traditionally performs operational safety tasks within the railway system and is responsible for the comfort and safety of passengers on board trains. A certification similar to the certification of locomotive drivers is useful in order to guarantee a high level of qualifications and competences, to recognise the relevance of that professional group for the safety of rail services but also to facilitate mobility of workers. [Am. 39]

| (19o) | The national regulatory body should approve or request changes to the arrangements for the transfer of staff. This may include the application of a cooling-off period for staff who are to be transferred. The regulatory body, when taking its decision, should aim at avoiding the transfer of sensitive information from the infrastructure manager to another entity within the integrated undertaking. [Am. 40] |
| --- | --- |

(19o)

The national regulatory body should approve or request changes to the arrangements for the transfer of staff. This may include the application of a cooling-off period for staff who are to be transferred. The regulatory body, when taking its decision, should aim at avoiding the transfer of sensitive information from the infrastructure manager to another entity within the integrated undertaking. [Am. 40]

| (20) | In accordance with the Joint Political Declaration of Member States and the Commission of 28 September 2011 on explanatory documents (8), Member States have undertaken to accompany the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments in justified cases. With regard to this Directive, the legislator considers the transmission of such documents to be justified |
| --- | --- |

(20)

In accordance with the Joint Political Declaration of Member States and the Commission of 28 September 2011 on explanatory documents (8), Member States have undertaken to accompany the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments in justified cases. With regard to this Directive, the legislator considers the transmission of such documents to be justified

| (20a) | Infrastructure managers should cooperate in cases concerning incidents or accidents with an impact on cross-border traffic, with a view to sharing any relevant information and thereby avoiding negative spill-over effects. [Am. 41] |
| --- | --- |

(20a)

Infrastructure managers should cooperate in cases concerning incidents or accidents with an impact on cross-border traffic, with a view to sharing any relevant information and thereby avoiding negative spill-over effects. [Am. 41]

| (20b) | The regulatory body should be competent to monitor infrastructure maintenance works so as to ensure that they are not undertaken in a way that leads to discrimination between railway undertakings. [Am. 42] |
| --- | --- |

(20b)

The regulatory body should be competent to monitor infrastructure maintenance works so as to ensure that they are not undertaken in a way that leads to discrimination between railway undertakings. [Am. 42]

| (20c) | The infrastructure manager within a vertically integrated undertaking should be able to offer its staff certain social services in premises that are used by other entities of the vertically integrated undertaking. [Am. 43] |
| --- | --- |

(20c)

The infrastructure manager within a vertically integrated undertaking should be able to offer its staff certain social services in premises that are used by other entities of the vertically integrated undertaking. [Am. 43]

| (20d) | The infrastructure manager within a vertically integrated undertaking should be allowed to cooperate with other entities of the vertically integrated undertaking as regards the development of IT systems, subject to the approval of the regulatory body. [Am. 44] |
| --- | --- |

(20d)

The infrastructure manager within a vertically integrated undertaking should be allowed to cooperate with other entities of the vertically integrated undertaking as regards the development of IT systems, subject to the approval of the regulatory body. [Am. 44]

| (20e) | The conditions for offering tickets, through tickets and reservations throughout the Union, as provided for in Article 9 of Regulation (EC) No 1371/2007 of the European Parliament and of the Council

   (9)

  , should be considered fulfilled once the common travel information and ticketing scheme is set up by 12 December 2019, in line with the provisions of this Directive. [Am. 45] |
| --- | --- |

(20e)

The conditions for offering tickets, through tickets and reservations throughout the Union, as provided for in Article 9 of Regulation (EC) No 1371/2007 of the European Parliament and of the Council

   (9)

  , should be considered fulfilled once the common travel information and ticketing scheme is set up by 12 December 2019, in line with the provisions of this Directive. [Am. 45]

| (20f) | The regulatory body may produce guidelines on the enhancement of the independence of the staff and management of the infrastructure manager within a vertically integrated undertaking with respect to train path allocation and infrastructure charging. [Am. 118] |
| --- | --- |

(20f)

The regulatory body may produce guidelines on the enhancement of the independence of the staff and management of the infrastructure manager within a vertically integrated undertaking with respect to train path allocation and infrastructure charging. [Am. 118]

| (20 g) | Under this Directive, Member States are free at any time to choose between different types of structures for infrastructure managers that co-exist within the single European railway area, namely separated and vertically integrated undertakings, even if they have already introduced a separated type of structure. This Directive lays down various rules and principles governing the internal organisation of those structures. [Am. 47] |
| --- | --- |

(20 g)

Under this Directive, Member States are free at any time to choose between different types of structures for infrastructure managers that co-exist within the single European railway area, namely separated and vertically integrated undertakings, even if they have already introduced a separated type of structure. This Directive lays down various rules and principles governing the internal organisation of those structures. [Am. 47]

| (20h) | For the purpose of this Directive, the concepts of supervisory board, administrative board, management board or bodies legally representing the undertaking should be applied to existing corporate structures in the Member States, while avoiding the creation of additional bodies, [Am. 119] |
| --- | --- |

(20h)

For the purpose of this Directive, the concepts of supervisory board, administrative board, management board or bodies legally representing the undertaking should be applied to existing corporate structures in the Member States, while avoiding the creation of additional bodies, [Am. 119]

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 2012/34/EU is amended as follows:

| -1. | In Article 1, the following paragraphs are added:




  ‘2a.
     
  This Directive aims to make rail transport a more attractive means of transport for the European public. It is designed to help to create workable information and integrated ticketing schemes. The through-ticketing schemes developed by the railway sector within Member States should be interoperable with each other in order to enable a Union-wide scheme to be created encompassing all rail passenger operators. [Am. 49]



  2b.
     
  The objective of this Directive, which is to complete the single European railway area, will be pursued on the basis of social dialogue at Union level in order to ensure that railway workers are appropriately protected against the unwanted effects of the opening of the market.’. [Am. 50] |
| --- | --- |

-1.

In Article 1, the following paragraphs are added:

‘2a.
     
  This Directive aims to make rail transport a more attractive means of transport for the European public. It is designed to help to create workable information and integrated ticketing schemes. The through-ticketing schemes developed by the railway sector within Member States should be interoperable with each other in order to enable a Union-wide scheme to be created encompassing all rail passenger operators. [Am. 49]

2b.
     
  The objective of this Directive, which is to complete the single European railway area, will be pursued on the basis of social dialogue at Union level in order to ensure that railway workers are appropriately protected against the unwanted effects of the opening of the market.’. [Am. 50]

| -1b. | In Article 2, the following paragraph is inserted:




  ‘3a.
     
  Articles 7, 7a, 7b, 7c, 7d and 7e shall not apply to networks of less than 500 km where:










  (a) | those networks do not have any strategic importance for the functioning of the European railway market; or |
| --- | --- | --- |

-1b.

In Article 2, the following paragraph is inserted:

‘3a.
     
  Articles 7, 7a, 7b, 7c, 7d and 7e shall not apply to networks of less than 500 km where:

(a)

those networks do not have any strategic importance for the functioning of the European railway market; or

| (b) | they are technically and organisationally isolated from the main domestic railway network.’. [Am. 87] |
| --- | --- |

(b)

they are technically and organisationally isolated from the main domestic railway network.’. [Am. 87]

| 1. | Article 3 is amended as follows:






  (a) | Point 2 is replaced by the following:
  ‘(2)   “infrastructure manager” means any body or firm ensuring the development, operation and maintenance of railway infrastructure on a network; development includes network planning, financial and investment planning as well as building and upgrades of the infrastructure; operation of the infrastructure includes all elements of the process of train path allocation, including both the definition and the assessment of availability and the allocation of individual paths, traffic management and infrastructure charging, including determination and collection of the charges; maintenance includes infrastructure renewals and the other asset management activities.’; |
| --- | --- | --- |

1.

Article 3 is amended as follows:

(a)

Point 2 is replaced by the following:

‘(2)   “infrastructure manager” means any body or firm ensuring the development, operation and maintenance of railway infrastructure on a network; development includes network planning, financial and investment planning as well as building and upgrades of the infrastructure; operation of the infrastructure includes all elements of the process of train path allocation, including both the definition and the assessment of availability and the allocation of individual paths, traffic management and infrastructure charging, including determination and collection of the charges; maintenance includes infrastructure renewals and the other asset management activities.’;

| (b) | Point 5 is deleted; |
| --- | --- |

(b)

Point 5 is deleted;

| (c) | the following new point is added:






  ‘(31) | “vertically integrated undertaking” means an undertaking where:






  — | one or several railway undertakings are owned or partly owned by the same undertaking as an infrastructure manager (holding company), or |
| --- | --- | --- | --- |

(c)

the following new point is added:

‘(31)

“vertically integrated undertaking” means an undertaking where:

—

one or several railway undertakings are owned or partly owned by the same undertaking as an infrastructure manager (holding company), or

| — | an infrastructure manager is owned or partly owned by one or several railway undertakings or |
| --- | --- |

—

an infrastructure manager is owned or partly owned by one or several railway undertakings or

| — | one or several railway undertakings are owned or partly owned by an infrastructure manager.’; |
| --- | --- |

—

one or several railway undertakings are owned or partly owned by an infrastructure manager.’;

| (ca) | The following point is added:










  ‘(32) | “integrated ticketing scheme” means a ticketing system which allows a person to make a journey that involves transfers within or between different transport modes, such as trains, buses, trams, metros, ferries or airplanes;’; |
| --- | --- | --- |

(ca)

The following point is added:

‘(32)

“integrated ticketing scheme” means a ticketing system which allows a person to make a journey that involves transfers within or between different transport modes, such as trains, buses, trams, metros, ferries or airplanes;’;

| (cb) | The following point is added:










  ‘(33) | “through ticket” means a ticket or tickets representing a transport contract for successive railway services operated by one or more railway undertakings;’; [Am. 52] |
| --- | --- | --- |

(cb)

The following point is added:

‘(33)

“through ticket” means a ticket or tickets representing a transport contract for successive railway services operated by one or more railway undertakings;’; [Am. 52]

| (cc) | The following points are added:










  ‘(34) | “supervisory board” means any group of individuals nominated by the owners of the company to promote their interests, monitor and control the work of the executives and approve the major business management decisions; |
| --- | --- | --- |

(cc)

The following points are added:

‘(34)

“supervisory board” means any group of individuals nominated by the owners of the company to promote their interests, monitor and control the work of the executives and approve the major business management decisions;

| (35) | “management board” means any group of individuals in charge of executive functions for the day-to-day management of the company;’; [Am. 53] |
| --- | --- |

(35)

“management board” means any group of individuals in charge of executive functions for the day-to-day management of the company;’; [Am. 53]

| (cd) | The following point is added:










  ‘(36) | “high speed passenger services” means passenger services operated on specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h and running at those speeds for most of the journey.’; [Am. 54] |
| --- | --- | --- |

(cd)

The following point is added:

‘(36)

“high speed passenger services” means passenger services operated on specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h and running at those speeds for most of the journey.’; [Am. 54]

| 2. | In Article 6, paragraph 2 is deleted. |
| --- | --- |

2.

In Article 6, paragraph 2 is deleted.

| 2a. | The following Article is inserted:




  ‘Article 6a




  Provided that no conflict of interest arises and that the confidentiality of commercially sensitive information is guaranteed, nothing in this Directive shall prevent Member States from authorising the infrastructure manager to engage in cooperation agreements, in a transparent, non-exclusive and non-discriminatory way, with one or more applicants as regards a specific line or a local or regional part of the network, in such a way as to give financial incentives to increase the efficiency of its cooperation in relation to the part of the network concerned. Such incentives may consist in reductions or increases of track access charges corresponding to possible cost savings or revenue increases for the railway undertaking or for the infrastructure manager as a result of that cooperation. Such cooperation shall be aimed at delivering more efficient management of disruptions, maintenance works or congested infrastructure, or of a line or a part of the network prone to delays, or at improving safety.




  Its duration shall be limited to a maximum of five years and shall be renewable. The infrastructure manager shall inform the regulatory body referred to in Article 55 of the planned cooperation. The regulatory body shall give its prior approval to the cooperation agreement, demand its modification or reject it if the above conditions are not fulfilled. It may require the agreement to be modified at any stage throughout the duration of the agreement. The infrastructure manager shall inform the coordination committee referred to in Article 7d about the cooperation agreement. This paragraph shall not apply to cooperation allowed under Articles 7a and 7b between the infrastructure manager and railway undertakings that are parts of the same vertically integrated undertaking.’. [Am. 120] |
| --- | --- |

2a.

The following Article is inserted:

‘Article 6a

Provided that no conflict of interest arises and that the confidentiality of commercially sensitive information is guaranteed, nothing in this Directive shall prevent Member States from authorising the infrastructure manager to engage in cooperation agreements, in a transparent, non-exclusive and non-discriminatory way, with one or more applicants as regards a specific line or a local or regional part of the network, in such a way as to give financial incentives to increase the efficiency of its cooperation in relation to the part of the network concerned. Such incentives may consist in reductions or increases of track access charges corresponding to possible cost savings or revenue increases for the railway undertaking or for the infrastructure manager as a result of that cooperation. Such cooperation shall be aimed at delivering more efficient management of disruptions, maintenance works or congested infrastructure, or of a line or a part of the network prone to delays, or at improving safety.

Its duration shall be limited to a maximum of five years and shall be renewable. The infrastructure manager shall inform the regulatory body referred to in Article 55 of the planned cooperation. The regulatory body shall give its prior approval to the cooperation agreement, demand its modification or reject it if the above conditions are not fulfilled. It may require the agreement to be modified at any stage throughout the duration of the agreement. The infrastructure manager shall inform the coordination committee referred to in Article 7d about the cooperation agreement. This paragraph shall not apply to cooperation allowed under Articles 7a and 7b between the infrastructure manager and railway undertakings that are parts of the same vertically integrated undertaking.’. [Am. 120]

| 3. | Article 7 is replaced by the following:
  ‘Article 7
  Institutional separation of the infrastructure manager
  1.   Member States shall ensure that the infrastructure manager performs all the functions referred to in Article 3(2) and is independent from any railway undertaking.


  Where, on the date of entry into force of this Directive, some items of railway infrastructure as defined in Annex I are owned and managed by undertakings other than the infrastructure manager, Member States may decide that such arrangements are to continue, provided that those undertakings are legally distinct and independent from any railway undertaking. [Am. 121]

  To guarantee the independence of the infrastructure manager, Member States shall ensure that infrastructure managers are organised in an entity that is legally distinct from any railway undertaking.
  2.   Member States shall also ensure the same legal or natural person or persons are not allowed:






  (a) | to directly or indirectly exercise control in the sense of Council Regulation (EC) No 139/2004 (*1), hold any financial interest in or exercise any right over a railway undertaking and over an infrastructure manager at the same time; |
| --- | --- | --- |

3.

Article 7 is replaced by the following:

‘Article 7

Institutional separation of the infrastructure manager

1.   Member States shall ensure that the infrastructure manager performs all the functions referred to in Article 3(2) and is independent from any railway undertaking.

Where, on the date of entry into force of this Directive, some items of railway infrastructure as defined in Annex I are owned and managed by undertakings other than the infrastructure manager, Member States may decide that such arrangements are to continue, provided that those undertakings are legally distinct and independent from any railway undertaking. [Am. 121]

To guarantee the independence of the infrastructure manager, Member States shall ensure that infrastructure managers are organised in an entity that is legally distinct from any railway undertaking.

2.   Member States shall also ensure the same legal or natural person or persons are not allowed:

(a)

to directly or indirectly exercise control in the sense of Council Regulation (EC) No 139/2004 (*1), hold any financial interest in or exercise any right over a railway undertaking and over an infrastructure manager at the same time;

| (b) | to appoint members of the supervisory board, the administrative board or bodies legally representing an infrastructure manager, and at the same time to directly or indirectly exercise control, hold any financial interest in or exercise any right over a railway undertaking; |
| --- | --- |

(b)

to appoint members of the supervisory board, the administrative board or bodies legally representing an infrastructure manager, and at the same time to directly or indirectly exercise control, hold any financial interest in or exercise any right over a railway undertaking;

| (c) | to be a member of the supervisory board, the administrative board or bodies legally representing the undertaking, of both a railway undertaking and an infrastructure manager; |
| --- | --- |

(c)

to be a member of the supervisory board, the administrative board or bodies legally representing the undertaking, of both a railway undertaking and an infrastructure manager;

| (d) | to manage the rail infrastructure or be part of the management of the infrastructure manager, and at the same time to directly or indirectly exercise control, hold any financial interest in or exercise any right over a railway undertaking, or to manage the railway undertaking or be part of its management, and at the same time to directly or indirectly exercise control, hold any interest in or exercise any right over an infrastructure manager. |
| --- | --- |

(d)

to manage the rail infrastructure or be part of the management of the infrastructure manager, and at the same time to directly or indirectly exercise control, hold any financial interest in or exercise any right over a railway undertaking, or to manage the railway undertaking or be part of its management, and at the same time to directly or indirectly exercise control, hold any interest in or exercise any right over an infrastructure manager.

3.   For the implementation of this Article, where the person referred to in paragraph 2 is a Member State or another public body, two public authorities which are separate and legally distinct from each other and which are exercising control or other rights mentioned in paragraph 2 over the infrastructure manager, on the one hand, and the railway undertaking, on the other hand, shall be deemed not to be the same person or persons.

4.   Provided that no conflict of interest arises and that confidentiality of commercially sensitive information is guaranteed, the infrastructure manager may subcontract specific development, renewal and maintenance works, over which it shall keep the decision-making power, to railway undertakings or to any other body acting under the supervision of the infrastructure manager.

4a.
     
  Provided that the provisions concerning the institutional separation of the infrastructure manager, as laid down in paragraphs 1 to 3, are respected, that no conflict of interest arises and that the confidentiality of commercially sensitive information is guaranteed, Member States may authorise the infrastructure manager to engage in cooperation agreements, in a transparent, non-exclusive and non-discriminatory way, with one or more applicants as regards a specific line or a local or regional part of the network, in such a way as to give such applicant an incentive to increase the efficiency of its cooperation in relation to the part of the network concerned. Such incentives shall consist in reductions of track access charges corresponding to possible cost savings for the infrastructure manager as a result of that cooperation. Such cooperation shall be aimed at delivering more efficient management of disruptions, maintenance works or congested infrastructure, or of a line or a part of the network prone to delays, or at improving safety. Its duration shall be limited to a maximum of five years and shall be renewable. The infrastructure manager shall inform the regulatory body referred to in Article 55 of the planned cooperation. The regulatory body shall give its prior approval to the cooperation agreement, demand its modification or reject it if the above conditions are not fulfilled. It may require the agreement to be modified at any stage throughout the duration of the agreement. The infrastructure manager shall inform the coordination committee referred to in Article 7d about the cooperation agreement. [Am. 56]

5.   Where on the date of entry into force of this Directive, the infrastructure manager belongs to a vertically integrated undertaking, Member States may decide not to apply paragraphs 2 to 4 of this Article. In such case, the Member State concerned shall ensure that the infrastructure manager performs all the functions referred to in Article 3(2) and has effective organisational and decision-making independence from any railway undertaking in accordance with the requirements set
  out
  in Articles 7a to 7c

  and 7b
  .

(*1)  Council Regulation (EC) No 139/2004 of 20 January 2004 on the control of concentrations between undertakings (the EC Merger Regulation) (OJ L 24, 29.1.2004, p. 1).’[Am. 122]"

| 4. | The following Articles are inserted:
  ‘Article 7a
  Effective independence of the infrastructure manager within a vertically integrated undertaking
  1.   Member States shall ensure that the infrastructure manager shall be organised in a body which is legally distinct from any railway undertaking or holding company controlling such undertakings and from any other legal entities within a vertically integrated undertaking.
  2.   Legal entities within the vertically integrated undertaking that are active in railway transport services markets shall not have any direct or indirect shareholding in the infrastructure manager
  , either directly, indirectly or through subsidiaries
  . Nor shall the infrastructure manager have any direct or indirect shareholding in any legal entities within the vertically integrated undertaking active in railway transport services markets
  , either directly, indirectly or through subsidiaries
  .


  This provision shall not, however, preclude the existence of a vertically integrated undertaking where one or more railway undertakings are owned or partly owned by the same undertaking as an infrastructure manager (holding company).


  3.   The infrastructure manager's incomes may not be used in order to finance other legal entities within the vertically integrated undertaking but only in order to finance the business of the infrastructure manager and to pay dividends

  . Dividend payments
  to the ultimate owner of the vertically integrated company
  shall be possible
  .
  Those dividend payments by the infrastructure manager shall be earmarked to be used for investment in the renewal of the infrastructure in operation and shall not prevent the infrastructure manager from constituting reserves in order to manage its profits and losses over the business cycle.




  These provisions shall not apply to payments to private investors in the case of public-private partnerships.


  The infrastructure manager may not grant loans to any other legal entities

  only to its own subsidiaries.
  Within the vertically integrated undertaking, and no other legal entity within the vertically integrated undertaking may grant loans to the infrastructure manager

  loans to the infrastructure manager may only be granted by the holding company and shall be subject to monitoring by the regulatory body referred to in Article 55. The holding company shall demonstrate to the satisfaction of the regulatory body that the loan is granted at market price and that it complies with Article 6
  .
  Any services offered by other legal entities to the infrastructure manager shall be based on contracts and be paid at market prices. The debt attributed to the infrastructure manager shall be clearly separated from the debt attributed to other legal entities within the vertically integrated undertaking, and these debts shall be serviced separately.
  The accounts of the infrastructure manager and of the other legal entities within the vertically integrated undertaking shall be kept in a way that ensures the fulfilment of these provisions and allows for separate financial circuits for the infrastructure manager and for the other legal entities within the vertically integrated undertaking.

  4.   Without prejudice to Article 8(4), the infrastructure manager shall raise funds on the capital markets independently and not via other legal entities within the vertically integrated undertaking. Other legal entities within the vertically integrated undertaking shall not raise funds via the infrastructure manager.
  [Am. 123]

  5.   The infrastructure manager shall keep detailed records of any commercial and financial relations with the other legal entities within the vertically integrated undertaking and make them available to the regulatory body upon request, in accordance with Article 56(12).
  Article 7b
  Effective independence of the staff and management of the infrastructure manager within a vertically integrated undertaking
  1.   Without prejudice to the decisions of the regulatory body under Article 56, the infrastructure manager shall have effective decision-making powers, independent from the other legal entities within the vertically integrated undertaking, with respect to all the functions referred to in Article 3(2)

  train path allocation and infrastructure charging
  .
  The overall management structure and the corporate statutes of the infrastructure manager shall ensure that none of the other legal entities within the vertically integrated undertaking shall determine, directly or indirectly, the behaviour of the infrastructure manager in relation to these functions

  train path allocation and infrastructure charging
  .


  The members of the supervisory board and of the management board of the infrastructure manager and the managers directly reporting to them shall act according to these principles
  .

  2.   The members of the management board and senior staff members of the infrastructure manager shall not be in the supervisory or management boards or be senior staff members of any other legal entities within the vertically integrated undertaking.


  The members of the supervisory or management boards and senior staff members of the other legal entities within the vertically integrated undertaking shall not be in the management board or be senior staff members of the infrastructure manager.


  3.   The infrastructure manager shall have a Supervisory Board which is composed of representatives of the ultimate owners of the vertically integrated undertaking.


  The Supervisory Board may consult the Coordination Committee referred to under Article 7d on issues under its competence.


  Decisions regarding the appointment and renewal, working conditions including remuneration, and termination of the office of the management board members of the infrastructure manager shall be taken by the Supervisory Board. The identity and the conditions governing the duration and the termination of office of the persons nominated by the Supervisory Board for appointment or renewal as members of the management board of the infrastructure manager, and the reasons for any proposed decision terminating the office, shall be notified to the regulatory body referred to in Article 55. Those conditions and the decisions referred to in this paragraph shall become binding only if the regulatory body has expressly approved them. The regulatory body may object to such decisions where doubts arise as to the professional independence of a person nominated for the management board or in the case of premature termination of office of a member of the management board of the infrastructure manager.


  Effective rights of appeal to the regulatory body shall be granted for members of the management board who wish to enter complaints against the premature termination of the office.


  4.   For a period of three years after leaving the infrastructure manager, members of the Supervisory Board or management board and senior staff members of the infrastructure manager shall not be entitled to hold any senior position with any other legal entities within the vertically integrated undertaking. For a period of three years after leaving those other legal entities within the vertically integrated undertaking, their supervisory or management boards' members and senior staff members shall not be entitled to hold any senior position with the infrastructure manager.

  5.   The infrastructure manager shall have its own
  management
  staff and be located in separate premises from the other legal entities within the vertically integrated undertaking. Access to information systems shall be protected to ensure the independence of the infrastructure manager. Internal rules or staff contracts shall clearly limit contacts with

  . Sensitive information held by the infrastructure manager shall be duly protected and shall not be passed on to other entities.




  The infrastructure manager may offer to its staff social services, such as those provided in schools, kindergartens, sport centres and restaurants, in premises used by
  the other legal entities within the vertically integrated undertaking to official communications connected with the exercise of the functions of the infrastructure manager which are also exercised in relation to other railway undertakings outside the vertically integrated undertaking. Transfers of staff other than those referred to under point (c) between

  . The infrastructure manager may cooperate with other entities of the vertically integrated undertaking as regards the development of their information systems.




  The regulatory body shall approve or request changes to the arrangements concerning the implementation of this paragraph with the aim of ensuring the independence of
  the infrastructure manager and the other legal entities within the vertically

  . The regulatory body may request the
  integrated undertaking shall only be possible if it can be ensured that sensitive

  to provide it with any
  information will not be passed on between them

  that may be necessary
  .
  6.   The infrastructure manager shall have the necessary organisational capacity to perform all of its functions independently from the other legal entities within the vertically integrated undertaking and shall not be allowed to delegate to these legal entities the operation of these functions or any activities related to them.


  Provided that no conflict of interest, market distortion or discrimination arises and that confidentiality of commercially sensitive information is guaranteed, the infrastructure manager may subcontract specific development, renewal and maintenance works, over which it shall keep the decision-making power, to railway undertakings or to any other body acting under the supervision of the infrastructure manager
  .

  7.   The members of the supervisory or management boards and senior staff of the infrastructure manager shall hold no interest in or receive any financial benefit, directly or indirectly, from any other legal entities within the vertically integrated undertaking. Performance-based elements of their remuneration shall not depend on the business results of any other legal entities within the vertically integrated undertaking or any legal entities under its control, but exclusively on those of the infrastructure manager.
  [Am. 124/rev]


  Article 7c


  Procedure of verification of compliance


  1.   Upon request of a Member State or on its own initiative, the Commission shall decide whether infrastructure managers which are part of a vertically integrated undertaking fulfil the requirements of Article 7a and Article 7b and whether the implementation of these requirements is appropriate to ensure a level playing field for all railway undertakings and the absence of distortion of competition in the relevant market.


  2.   The Commission shall be entitled to require all necessary information within a reasonable deadline from the Member State where the vertically integrated undertaking is established. The Commission shall consult the regulatory body or bodies concerned and, if appropriate, the network of regulatory bodies referred to in Article 57.


  3.   Member States may limit the rights of access provided for in Article 10 to railway undertakings which are part of the vertically integrated undertaking to which the infrastructure manager concerned belongs, if the Commission informs Member States that no request has been made in accordance with paragraph 1 or pending the examination of the request by the Commission or if it decides, in accordance with the procedure referred to in Article 62(2), that:








  (a) | no adequate replies to the Commission information requests in accordance with paragraph 2 have been made, or |
| --- | --- | --- |

4.

The following Articles are inserted:

‘Article 7a

Effective independence of the infrastructure manager within a vertically integrated undertaking

1.   Member States shall ensure that the infrastructure manager shall be organised in a body which is legally distinct from any railway undertaking or holding company controlling such undertakings and from any other legal entities within a vertically integrated undertaking.

2.   Legal entities within the vertically integrated undertaking that are active in railway transport services markets shall not have any direct or indirect shareholding in the infrastructure manager
  , either directly, indirectly or through subsidiaries
  . Nor shall the infrastructure manager have any direct or indirect shareholding in any legal entities within the vertically integrated undertaking active in railway transport services markets
  , either directly, indirectly or through subsidiaries
  .

This provision shall not, however, preclude the existence of a vertically integrated undertaking where one or more railway undertakings are owned or partly owned by the same undertaking as an infrastructure manager (holding company).

3.   The infrastructure manager's incomes may not be used in order to finance other legal entities within the vertically integrated undertaking but only in order to finance the business of the infrastructure manager and to pay dividends

  . Dividend payments
  to the ultimate owner of the vertically integrated company
  shall be possible
  .
  Those dividend payments by the infrastructure manager shall be earmarked to be used for investment in the renewal of the infrastructure in operation and shall not prevent the infrastructure manager from constituting reserves in order to manage its profits and losses over the business cycle.

These provisions shall not apply to payments to private investors in the case of public-private partnerships.

The infrastructure manager may not grant loans to any other legal entities

  only to its own subsidiaries.
  Within the vertically integrated undertaking, and no other legal entity within the vertically integrated undertaking may grant loans to the infrastructure manager

  loans to the infrastructure manager may only be granted by the holding company and shall be subject to monitoring by the regulatory body referred to in Article 55. The holding company shall demonstrate to the satisfaction of the regulatory body that the loan is granted at market price and that it complies with Article 6
  .

Any services offered by other legal entities to the infrastructure manager shall be based on contracts and be paid at market prices. The debt attributed to the infrastructure manager shall be clearly separated from the debt attributed to other legal entities within the vertically integrated undertaking, and these debts shall be serviced separately.

The accounts of the infrastructure manager and of the other legal entities within the vertically integrated undertaking shall be kept in a way that ensures the fulfilment of these provisions and allows for separate financial circuits for the infrastructure manager and for the other legal entities within the vertically integrated undertaking.

4.   Without prejudice to Article 8(4), the infrastructure manager shall raise funds on the capital markets independently and not via other legal entities within the vertically integrated undertaking. Other legal entities within the vertically integrated undertaking shall not raise funds via the infrastructure manager.
  [Am. 123]

5.   The infrastructure manager shall keep detailed records of any commercial and financial relations with the other legal entities within the vertically integrated undertaking and make them available to the regulatory body upon request, in accordance with Article 56(12).

Article 7b

Effective independence of the staff and management of the infrastructure manager within a vertically integrated undertaking

1.   Without prejudice to the decisions of the regulatory body under Article 56, the infrastructure manager shall have effective decision-making powers, independent from the other legal entities within the vertically integrated undertaking, with respect to all the functions referred to in Article 3(2)

  train path allocation and infrastructure charging
  .

The overall management structure and the corporate statutes of the infrastructure manager shall ensure that none of the other legal entities within the vertically integrated undertaking shall determine, directly or indirectly, the behaviour of the infrastructure manager in relation to these functions

  train path allocation and infrastructure charging
  .

The members of the supervisory board and of the management board of the infrastructure manager and the managers directly reporting to them shall act according to these principles
  .

2.   The members of the management board and senior staff members of the infrastructure manager shall not be in the supervisory or management boards or be senior staff members of any other legal entities within the vertically integrated undertaking.

The members of the supervisory or management boards and senior staff members of the other legal entities within the vertically integrated undertaking shall not be in the management board or be senior staff members of the infrastructure manager.

3.   The infrastructure manager shall have a Supervisory Board which is composed of representatives of the ultimate owners of the vertically integrated undertaking.

The Supervisory Board may consult the Coordination Committee referred to under Article 7d on issues under its competence.

Decisions regarding the appointment and renewal, working conditions including remuneration, and termination of the office of the management board members of the infrastructure manager shall be taken by the Supervisory Board. The identity and the conditions governing the duration and the termination of office of the persons nominated by the Supervisory Board for appointment or renewal as members of the management board of the infrastructure manager, and the reasons for any proposed decision terminating the office, shall be notified to the regulatory body referred to in Article 55. Those conditions and the decisions referred to in this paragraph shall become binding only if the regulatory body has expressly approved them. The regulatory body may object to such decisions where doubts arise as to the professional independence of a person nominated for the management board or in the case of premature termination of office of a member of the management board of the infrastructure manager.

Effective rights of appeal to the regulatory body shall be granted for members of the management board who wish to enter complaints against the premature termination of the office.

4.   For a period of three years after leaving the infrastructure manager, members of the Supervisory Board or management board and senior staff members of the infrastructure manager shall not be entitled to hold any senior position with any other legal entities within the vertically integrated undertaking. For a period of three years after leaving those other legal entities within the vertically integrated undertaking, their supervisory or management boards' members and senior staff members shall not be entitled to hold any senior position with the infrastructure manager.

5.   The infrastructure manager shall have its own
  management
  staff and be located in separate premises from the other legal entities within the vertically integrated undertaking. Access to information systems shall be protected to ensure the independence of the infrastructure manager. Internal rules or staff contracts shall clearly limit contacts with

  . Sensitive information held by the infrastructure manager shall be duly protected and shall not be passed on to other entities.

The infrastructure manager may offer to its staff social services, such as those provided in schools, kindergartens, sport centres and restaurants, in premises used by
  the other legal entities within the vertically integrated undertaking to official communications connected with the exercise of the functions of the infrastructure manager which are also exercised in relation to other railway undertakings outside the vertically integrated undertaking. Transfers of staff other than those referred to under point (c) between

  . The infrastructure manager may cooperate with other entities of the vertically integrated undertaking as regards the development of their information systems.

The regulatory body shall approve or request changes to the arrangements concerning the implementation of this paragraph with the aim of ensuring the independence of
  the infrastructure manager and the other legal entities within the vertically

  . The regulatory body may request the
  integrated undertaking shall only be possible if it can be ensured that sensitive

  to provide it with any
  information will not be passed on between them

  that may be necessary
  .

6.   The infrastructure manager shall have the necessary organisational capacity to perform all of its functions independently from the other legal entities within the vertically integrated undertaking and shall not be allowed to delegate to these legal entities the operation of these functions or any activities related to them.

Provided that no conflict of interest, market distortion or discrimination arises and that confidentiality of commercially sensitive information is guaranteed, the infrastructure manager may subcontract specific development, renewal and maintenance works, over which it shall keep the decision-making power, to railway undertakings or to any other body acting under the supervision of the infrastructure manager
  .

7.   The members of the supervisory or management boards and senior staff of the infrastructure manager shall hold no interest in or receive any financial benefit, directly or indirectly, from any other legal entities within the vertically integrated undertaking. Performance-based elements of their remuneration shall not depend on the business results of any other legal entities within the vertically integrated undertaking or any legal entities under its control, but exclusively on those of the infrastructure manager.
  [Am. 124/rev]

Article 7c

Procedure of verification of compliance

1.   Upon request of a Member State or on its own initiative, the Commission shall decide whether infrastructure managers which are part of a vertically integrated undertaking fulfil the requirements of Article 7a and Article 7b and whether the implementation of these requirements is appropriate to ensure a level playing field for all railway undertakings and the absence of distortion of competition in the relevant market.

2.   The Commission shall be entitled to require all necessary information within a reasonable deadline from the Member State where the vertically integrated undertaking is established. The Commission shall consult the regulatory body or bodies concerned and, if appropriate, the network of regulatory bodies referred to in Article 57.

3.   Member States may limit the rights of access provided for in Article 10 to railway undertakings which are part of the vertically integrated undertaking to which the infrastructure manager concerned belongs, if the Commission informs Member States that no request has been made in accordance with paragraph 1 or pending the examination of the request by the Commission or if it decides, in accordance with the procedure referred to in Article 62(2), that:

(a)

no adequate replies to the Commission information requests in accordance with paragraph 2 have been made, or

| (b) | the infrastructure manager concerned does not fulfil the requirements set out in Articles 7a and 7b, or |
| --- | --- |

(b)

the infrastructure manager concerned does not fulfil the requirements set out in Articles 7a and 7b, or

| (c) | the implementation of requirements set out in Articles 7a and 7b is not sufficient to ensure a level playing field for all railway undertakings and the absence of distortion of competition in the Member State where the infrastructure manager concerned is established. |
| --- | --- |

(c)

the implementation of requirements set out in Articles 7a and 7b is not sufficient to ensure a level playing field for all railway undertakings and the absence of distortion of competition in the Member State where the infrastructure manager concerned is established.

The Commission shall decide within a reasonable period of time.

4.   The Member State concerned may request the Commission to repeal its decision referred to in paragraph 3, in accordance with the procedure referred to in Article 62(2), when that Member State demonstrates to the satisfaction of the Commission that the reasons for the decision do not exist any longer. The Commission shall decide within a reasonable period of time.

5.   Without prejudice to paragraphs 1 to 4, the on-going compliance with the requirements set out in Articles 7a and 7b shall be monitored by the regulatory body referred to in Article 55. Any applicant shall have the right to appeal to the regulatory body if it believes that these requirements are not complied with. Upon such an appeal, the regulatory body shall decide, within the time-limits indicated in Article 56(9), on all the necessary measures to remedy the situation.
  [Ams 101 and 125/rev]

Article 7c

Coordination Committee

1.   Member States shall ensure that infrastructure managers set up and organise Coordination Committees for each network. Membership of this committee shall be open at least to the infrastructure manager, known applicants in the sense of Article 8(3) and, upon their request, potential applicants, their representative organisations, representatives of users of the rail freight and passenger transport services and, where relevant, regional and local authorities
  including the competent authorities
  . Member State representatives and the regulatory body concerned shall be invited to the meetings of the Coordination Committee as observers. [Am. 59]

2.   The Coordination Committee shall make proposals concerning or advising the infrastructure manager and, where appropriate, the Member State on:

| (a) | the needs of applicants related to the maintenance and development of the infrastructure capacity; |
| --- | --- |

(a)

the needs of applicants related to the maintenance and development of the infrastructure capacity;

| (b) | the content of the user-oriented performance targets contained in the contractual agreements referred to in Article 30 and of the incentives referred to in Article 30(1) and their implementation; |
| --- | --- |

(b)

the content of the user-oriented performance targets contained in the contractual agreements referred to in Article 30 and of the incentives referred to in Article 30(1) and their implementation;

| (c) | the content and implementation of the network statement referred to in Article 27; |
| --- | --- |

(c)

the content and implementation of the network statement referred to in Article 27;

| (d) | the charging framework and rules set by the State and the charging scheme established by the infrastructure manager in accordance with Article 29 and the level and structure of infrastructure charges; |
| --- | --- |

(d)

the charging framework and rules set by the State and the charging scheme established by the infrastructure manager in accordance with Article 29 and the level and structure of infrastructure charges;

| (e) | the process for allocation of infrastructure capacity, including priority rules for the allocation of capacity between different categories of infrastructure users;
  the principles of coordination in the event of conflicting requests to operate a rail service shall be governed by Article 46(4); [Am. 60] |
| --- | --- |

(e)

the process for allocation of infrastructure capacity, including priority rules for the allocation of capacity between different categories of infrastructure users;
  the principles of coordination in the event of conflicting requests to operate a rail service shall be governed by Article 46(4); [Am. 60]

| (f) | issues of intermodality; |
| --- | --- |

(f)

issues of intermodality;

| (g) | any other issue related to the conditions for access and use of the infrastructure and the quality of the services of the infrastructure manager; |
| --- | --- |

(g)

any other issue related to the conditions for access and use of the infrastructure and the quality of the services of the infrastructure manager;

| (ga) | issues faced by the users of the rail freight and passenger transport services, including the quality of the service provided, the infrastructure charges, and the level and transparency of the rail service prices. [Am. 61] |
| --- | --- |

(ga)

issues faced by the users of the rail freight and passenger transport services, including the quality of the service provided, the infrastructure charges, and the level and transparency of the rail service prices. [Am. 61]

The Coordination Committee shall have the power to request relevant information from the infrastructure manager on points (a) to (g)

  (ga)
  in order to be able to carry out these tasks
  , without prejudice to commercial confidentiality
  . [Am. 62]

3.   The Coordination Committee shall draw up rules of procedure that include, in particular, rules on participation in and frequency of meetings which shall be at least quarterly.
  The rules of procedure shall provide inter alia for regular consultation, at least once a year, of the users of the rail freight and passenger transport services and of railway sector workers' representatives.
   A report of the Coordination Committee's discussions shall be submitted annually to the infrastructure manager, the Member State, the regulatory body concerned
  , users of the rail freight and passenger transport services and the railway sector workers' representatives concerned
  and the Commission with an indication of the respective positions taken by the Committee members. [Am. 63]

Article 7d

European Network of Infrastructure Managers

1.   Member States shall ensure that infrastructure managers participate and cooperate in a network to develop the Union rail infrastructure,
  and
  in particular to ensure:

| (i) | timely and efficient implementation of the trans-European transport network, including the core network corridors, rail freight corridors according to Regulation (EU) No 913/2010 (*2) and the European Rail Traffic Management System (ERTMS) deployment plan laid down in Decision 2012/88/EU (*3)

  and |
| --- | --- |

(i)

timely and efficient implementation of the trans-European transport network, including the core network corridors, rail freight corridors according to Regulation (EU) No 913/2010 (*2) and the European Rail Traffic Management System (ERTMS) deployment plan laid down in Decision 2012/88/EU (*3)

  and

| (ii) | the facilitation of efficient and effective cross-border passenger services within the Union, including through cross-border cooperation to overcome bottlenecks
  . |
| --- | --- |

(ii)

the facilitation of efficient and effective cross-border passenger services within the Union, including through cross-border cooperation to overcome bottlenecks
  .

1a.
     
  The network shall also develop common framework principles in respect of charging for cross-border passenger services operating on more than one network as defined in Article 37 and allocation of capacity as provided for in Article 40. Those common principles shall be subject to the opinion of the network of regulatory bodies as referred to in Article 57. [Am. 64]

The Commission shall be a member of the Network. It shall coordinate and support the work of the Network and make recommendations to the Network, as appropriate. It shall ensure the active cooperation of the appropriate infrastructure managers.

2.   The Network shall participate in the market monitoring activities referred to in Article 15 and benchmark the efficiency
  and effectiveness
  of infrastructure managers on the basis of common indicators and quality criteria, such as the reliability, capacity, availability, punctuality and safety of their networks, asset quality and utilisation, maintenance, renewals, enhancements, investments, and financial efficiency
  and transparency of the charging framework and charging rules
  . [Am. 65]

3.   The Commission may

  , taking into account the views expressed by the Network, shall
  adopt measures setting out the common principles and practices of the Network, in particular to ensure consistency in benchmarking, and the procedures to be followed for cooperation in the Network. Those measures shall be adopted by means of an implementing

  a delegated
  act in accordance with the procedure referred to in Article 62(3)

  60
  .

(*2)  Regulation (EU) No 913/2010 of the European Parliament and of the Council of 22 September 2010 concerning a European rail network for competitive freight (OJ L 276, 20.10.2010, p. 22)."

(*3)  Commission Decision 2012/88/EU of 25 January 2012 on the technical specification for interoperability relating to the control-command and signalling subsystems of the trans-European rail system (OJ L 51, 23.2.2012, p. 51).’. [Am. 66]"

| 5. | Article 10 is amended as follows:






  (a) | paragraph 2 is replaced by the following:
  ‘2.   Railway undertakings shall be granted, under equitable, non-discriminatory and transparent conditions, the right of access to railway infrastructure in all Member States for the purpose of operating all types of rail passenger services. Railway undertakings shall have the right to pick up passengers at any station and set them down at another. That right shall include access to infrastructure connecting service facilities referred to in point 2 of Annex II.’; |
| --- | --- | --- |

5.

Article 10 is amended as follows:

(a)

paragraph 2 is replaced by the following:

‘2.   Railway undertakings shall be granted, under equitable, non-discriminatory and transparent conditions, the right of access to railway infrastructure in all Member States for the purpose of operating all types of rail passenger services. Railway undertakings shall have the right to pick up passengers at any station and set them down at another. That right shall include access to infrastructure connecting service facilities referred to in point 2 of Annex II.’;

| (aa) | the following paragraph is inserted:




  ‘2a.
     
  A Member State shall not be required to grant any right of access to infrastructure for the purpose of operating any type of services to a railway undertaking where that undertaking is controlled directly or indirectly by a person or persons from a third country or third countries in which rights of access to infrastructure and service facilities are not granted to Union undertakings on conditions similar to those specified in this Directive. For the purposes of this paragraph, control shall be constituted by rights, contracts or any other means which, either separately or in combination and having regard to the considerations of fact or law involved, confer the possibility of exercising decisive influence on an undertaking, in particular by:










  (a) | ownership or the right to use all or part of the assets of the undertaking concerned; |
| --- | --- | --- |

(aa)

the following paragraph is inserted:

‘2a.
     
  A Member State shall not be required to grant any right of access to infrastructure for the purpose of operating any type of services to a railway undertaking where that undertaking is controlled directly or indirectly by a person or persons from a third country or third countries in which rights of access to infrastructure and service facilities are not granted to Union undertakings on conditions similar to those specified in this Directive. For the purposes of this paragraph, control shall be constituted by rights, contracts or any other means which, either separately or in combination and having regard to the considerations of fact or law involved, confer the possibility of exercising decisive influence on an undertaking, in particular by:

(a)

ownership or the right to use all or part of the assets of the undertaking concerned;

| (b) | rights or contracts which confer decisive influence on the composition, voting or decisions of the organs of an undertaking.’; [Am. 67] |
| --- | --- |

(b)

rights or contracts which confer decisive influence on the composition, voting or decisions of the organs of an undertaking.’; [Am. 67]

| (b) | paragraphs 3 and 4 are deleted. |
| --- | --- |

(b)

paragraphs 3 and 4 are deleted.

| 6. | Article 11 is amended as follows:






  (a) | paragraph 1 is replaced by the following:
  ‘1.   Member States may limit the right of access provided for in Article 10(2) to passenger services between a given place of departure and a given destination when one or more public service contracts cover the same route or an alternative route if the exercise of this right would compromise the economic equilibrium of the public service contract or contracts in question.
  High-speed passenger services shall not be limited in their right of access provided for in Article 10(2).




  Competent authorities and infrastructure managers shall give advance notice to all interested parties of capacity requests pursuant to Regulation (EC) No 1370/2007 of the European Parliament and of the Council

   (*4)

  that may conflict with the rights of access pursuant to Article 10 of this Directive.




  All passenger services that are not part of a public service contract shall be referred to as open access services.




  If a competent authority creates a new public service contract, or extends the scope of an existing one, in the sense of using more infrastructure capacity than was previously used, the rights of access of undertakings that provide existing open access services which may be affected by the decision of the competent authority shall not be subject to any limitations.



  (*4)  
  Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road and repealing Council Regulations (EEC) Nos 1191/69 and 1107/70 (OJ L 315, 3.12.2007, p. 1).
  ’; [Am. 68]" |
| --- | --- | --- |

6.

Article 11 is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   Member States may limit the right of access provided for in Article 10(2) to passenger services between a given place of departure and a given destination when one or more public service contracts cover the same route or an alternative route if the exercise of this right would compromise the economic equilibrium of the public service contract or contracts in question.
  High-speed passenger services shall not be limited in their right of access provided for in Article 10(2).

Competent authorities and infrastructure managers shall give advance notice to all interested parties of capacity requests pursuant to Regulation (EC) No 1370/2007 of the European Parliament and of the Council

   (*4)

  that may conflict with the rights of access pursuant to Article 10 of this Directive.

All passenger services that are not part of a public service contract shall be referred to as open access services.

If a competent authority creates a new public service contract, or extends the scope of an existing one, in the sense of using more infrastructure capacity than was previously used, the rights of access of undertakings that provide existing open access services which may be affected by the decision of the competent authority shall not be subject to any limitations.

(*4)  
  Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road and repealing Council Regulations (EEC) Nos 1191/69 and 1107/70 (OJ L 315, 3.12.2007, p. 1).
  ’; [Am. 68]"

| (b) | the first subparagraph of paragraph 2 is replaced by the following:
  ‘In order to determine whether the economic equilibrium of a public service contract would be compromised, the relevant regulatory body or bodies referred to in Article 55 shall make an objective economic analysis and base its decision on pre-determined criteria. They shall determine this



  Those criteria shall cover, inter alia, the impact of the exercise of the right of access on the profitability of any services comprised in the public service contract, including the resulting impacts on the net cost to the competent public authority that awarded the contract, passenger demand, ticket pricing, ticketing arrangements, the location and number of stops and timing and the frequency of the proposed new service, and shall be established by the regulatory body referred to in Article 55 in compliance with the measures provided for in paragraph 4 of this Article. The analysis shall assess whether the viability of the services operated under the public service contract would be compromised by a new open access service.




  The economic equilibrium of the public service contract shall not be deemed to be compromised if the regulatory body predicts that the prospective new service would be mainly revenue-generating rather than revenue-abstracting for the rail sector, and that the revenue loss for the set of services under the public service contract or contracts, if any, would not be substantial. In accordance with such analysis and the decision of the relevant regulatory body, Member States shall be empowered to authorise, modify or deny the right of access for the passenger service sought.’ |
| --- | --- |

(b)

the first subparagraph of paragraph 2 is replaced by the following:

‘In order to determine whether the economic equilibrium of a public service contract would be compromised, the relevant regulatory body or bodies referred to in Article 55 shall make an objective economic analysis and base its decision on pre-determined criteria. They shall determine this

Those criteria shall cover, inter alia, the impact of the exercise of the right of access on the profitability of any services comprised in the public service contract, including the resulting impacts on the net cost to the competent public authority that awarded the contract, passenger demand, ticket pricing, ticketing arrangements, the location and number of stops and timing and the frequency of the proposed new service, and shall be established by the regulatory body referred to in Article 55 in compliance with the measures provided for in paragraph 4 of this Article. The analysis shall assess whether the viability of the services operated under the public service contract would be compromised by a new open access service.

The economic equilibrium of the public service contract shall not be deemed to be compromised if the regulatory body predicts that the prospective new service would be mainly revenue-generating rather than revenue-abstracting for the rail sector, and that the revenue loss for the set of services under the public service contract or contracts, if any, would not be substantial. In accordance with such analysis and the decision of the relevant regulatory body, Member States shall be empowered to authorise, modify or deny the right of access for the passenger service sought.’

| (c) | the following paragraphs are inserted:




  ‘2a.
     
  Where a public service contract is awarded through a competitive public tendering procedure in accordance with Union law, Member States may, in accordance with Regulation (EC) No 1370/2007, limit the right of access provided for in Article 10(2) of this Directive for the duration of that public service contract on services between a place of departure and a destination which are covered by that public service contract. The information that the right of access is limited shall be made public when the tendering procedure for that public service contract is launched. Any additional new service within the meaning of Article 10(2) which is predicted by the regulatory body to be mainly revenue-generating rather than revenue-abstracting for the rail sector and in respect of which the revenue loss for the set of services under the public service contract, if any, is predicted not to be substantial shall not be limited in its access.




  The limitations referred to in this paragraph shall not have the effect of restricting the right to pick up passengers at any station located along the route of an international service and to set them down at another, including at stations located in the same Member State.




  2b.
     
  The regulatory body or bodies performing the analyses referred to in paragraphs 2 and 2a make its or their determination
  after a request from any of the following, submitted within one month from
  receipt of
  the information on the intended passenger service referred to in Article 38(4):






  (a) | the competent authority or competent authorities that awarded the public service contract; |
| --- | --- | --- |

(c)

the following paragraphs are inserted:

‘2a.
     
  Where a public service contract is awarded through a competitive public tendering procedure in accordance with Union law, Member States may, in accordance with Regulation (EC) No 1370/2007, limit the right of access provided for in Article 10(2) of this Directive for the duration of that public service contract on services between a place of departure and a destination which are covered by that public service contract. The information that the right of access is limited shall be made public when the tendering procedure for that public service contract is launched. Any additional new service within the meaning of Article 10(2) which is predicted by the regulatory body to be mainly revenue-generating rather than revenue-abstracting for the rail sector and in respect of which the revenue loss for the set of services under the public service contract, if any, is predicted not to be substantial shall not be limited in its access.

The limitations referred to in this paragraph shall not have the effect of restricting the right to pick up passengers at any station located along the route of an international service and to set them down at another, including at stations located in the same Member State.

2b.
     
  The regulatory body or bodies performing the analyses referred to in paragraphs 2 and 2a make its or their determination
  after a request from any of the following, submitted within one month from
  receipt of
  the information on the intended passenger service referred to in Article 38(4):

(a)

the competent authority or competent authorities that awarded the public service contract;

| (b) | any other interested competent authority with the right to limit access under this Article; |
| --- | --- |

(b)

any other interested competent authority with the right to limit access under this Article;

| (c) | the infrastructure manager; |
| --- | --- |

(c)

the infrastructure manager;

| (d) | the railway undertaking performing the public service contract; |
| --- | --- |

(d)

the railway undertaking performing the public service contract;

| (da) | the railway undertaking that has requested capacity in accordance with Article 38(4)
  .’; [Ams 69 and 114] |
| --- | --- |

(da)

the railway undertaking that has requested capacity in accordance with Article 38(4)
  .’; [Ams 69 and 114]

| (d) | paragraph

  paragraphs
  3
  and 4

  is

  are
  replaced by the following:
  ‘3.   The regulatory body shall give the grounds for its decision and the conditions under which a reconsideration of the decision within one month of its notification may be requested by one of the following:






  (a) | the relevant competent authority or competent authorities; |
| --- | --- | --- |

(d)

paragraph

  paragraphs
  3
  and 4

  is

  are
  replaced by the following:

‘3.   The regulatory body shall give the grounds for its decision and the conditions under which a reconsideration of the decision within one month of its notification may be requested by one of the following:

(a)

the relevant competent authority or competent authorities;

| (b) | the infrastructure manager; |
| --- | --- |

(b)

the infrastructure manager;

| (c) | the railway undertaking performing the public service contract; |
| --- | --- |

(c)

the railway undertaking performing the public service contract;

| (d) | the railway undertaking seeking access.’; |
| --- | --- |

(d)

the railway undertaking seeking access.’;

In case

  Where
  the regulatory body decides
  in accordance with paragraph 2
  that the economic equilibrium of a public contract would be compromised by the intended passenger service referred to in Article 38(4), it shall indicate possible changes to such service which would ensure that the conditions to grant the right of access provided for in Article 10(2) are met.

4.   Based on the experience of regulatory bodies, competent authorities and railway undertakings and based on the activities of the network referred to in Article 57(1), the Commission shall adopt by 16 December 2016 measures setting out the details of the procedure and criteria to be followed for the application of paragraphs 1, 2 and 3 of this Article. Those implementing

  delegated
  acts shall be adopted in accordance with the examination procedure referred to in Article 62(3)

  60
  .’; [Am. 70]

| (e) | paragraph 5 is deleted. |
| --- | --- |

(e)

paragraph 5 is deleted.

| 7. | The following Article 13a is inserted:
  ‘Article 13a
  Common information and integrated ticketing schemes [Am. 71]

  1.   Without prejudice to Regulation (EC) No 1371/2007

   (10)

  and Directive 2010/40/EU

   (11)
  ,
  All timetabling data shall be deemed to constitute public data and shall be made available accordingly.




  Notwithstanding Regulation (EC) No 1371/2007 and Directive 2010/40/EU, Member States shall require all rail stakeholders such as railway undertakings, infrastructure managers and ticket vendors to use by 12 December 2019 an interoperable through-ticketing and information system that fulfils the objective of enabling passengers to access all data needed to plan a journey and to reserve and buy their tickets within the Union.




  Member States shall require railway undertakings to cooperate in setting up, by 12 December 2019, a common travel information and ticketing scheme for the supply of tickets, through-tickets and reservations for all public passenger transport by rail provided under a public service contract pursuant to Regulation (EC) No 1370/2007 or shall decide to empower relevant authorities to set up such a scheme. The scheme shall not create market distortion or discriminate between railway undertakings. It shall be managed by a public or private legal entity or by an association of all railway undertakings operating passenger services.




  Railway undertakings operating commercial public passenger services shall have non-discriminatory access to the scheme for the purpose of providing information on, and selling tickets for, public passenger transport by rail as an add-on to their own transport services.




  Any system shall be devised in such a way as to be interoperable in accordance with Directive 2008/57/CE and the basic technical specifications on telematic applications. It shall apply those technical requirements in order to ensure, in particular, consistency in charging and clearing, confidentiality of commercial information, protection of personal data and compliance with competition rules. Any system or application offering additional services to passengers shall be interoperable with those technical specifications.




  Member States shall ensure that access to the basic technical specifications on telematic applications is open and non-discriminatory.




  Any commercial agreement between participants shall be in conformity with competition rules.




  The costs of such a system shall be divided fairly among the participants, in a manner which reflects their respective contributions.




  The regulatory body shall ensure that any such through-ticketing system does not create market distortion or discriminate between railway undertakings.


  Member States may
  also
  require railway undertakings operating domestic passenger services

  and providers of passenger transport by other modes of transport
  to participate in a common
  interoperable travel
  information and integrated ticketing scheme for the supply of tickets, through-tickets and reservations or decide to give the power to competent

  relevant
  authorities to establish such a scheme. If such a scheme is established, Member States shall ensure that it does not create market distortion or discriminate between railway undertakings
  and other providers of passenger transport
  and that it is managed by a public or private legal entity or an association of all railway undertakings operating passenger services. [Am. 72]

  2.   Member States shall require railway undertakings operating passenger services to put in place and coordinate

  set up, and coordinate, including with respect to major routes within the Union, national
  contingency plans to provide assistance to passengers, in the sense of Article 18 of Regulation (EC) No 1371/2007,

  taking account of Commission Decision 2008/164/EC

   (*5)

  ,
  in the event of a major disruption to services
  triggered by a natural or man-made disaster. Each railway undertaking operating passenger services and each station manager shall put in place its own contingency plan in accordance with national contingency plans
  .

  (10)  
  OJ L 315, 3.12.2007, p. 14."


  (11)  
  OJ L 207, 6.8.2010, p. 1."


  (*5)  
  Commission Decision 2008/164/EC of 21 December 2007 concerning the technical specification of interoperability relating to persons with reduced mobility in the trans-European conventional and high-speed rail system (OJ L 64, 7.3.2008, p. 72)
  ’. [Am. 73]" |
| --- | --- |

7.

The following Article 13a is inserted:

‘Article 13a

Common information and integrated ticketing schemes [Am. 71]

1.   Without prejudice to Regulation (EC) No 1371/2007

   (10)

  and Directive 2010/40/EU

   (11)
  ,
  All timetabling data shall be deemed to constitute public data and shall be made available accordingly.

Notwithstanding Regulation (EC) No 1371/2007 and Directive 2010/40/EU, Member States shall require all rail stakeholders such as railway undertakings, infrastructure managers and ticket vendors to use by 12 December 2019 an interoperable through-ticketing and information system that fulfils the objective of enabling passengers to access all data needed to plan a journey and to reserve and buy their tickets within the Union.

Member States shall require railway undertakings to cooperate in setting up, by 12 December 2019, a common travel information and ticketing scheme for the supply of tickets, through-tickets and reservations for all public passenger transport by rail provided under a public service contract pursuant to Regulation (EC) No 1370/2007 or shall decide to empower relevant authorities to set up such a scheme. The scheme shall not create market distortion or discriminate between railway undertakings. It shall be managed by a public or private legal entity or by an association of all railway undertakings operating passenger services.

Railway undertakings operating commercial public passenger services shall have non-discriminatory access to the scheme for the purpose of providing information on, and selling tickets for, public passenger transport by rail as an add-on to their own transport services.

Any system shall be devised in such a way as to be interoperable in accordance with Directive 2008/57/CE and the basic technical specifications on telematic applications. It shall apply those technical requirements in order to ensure, in particular, consistency in charging and clearing, confidentiality of commercial information, protection of personal data and compliance with competition rules. Any system or application offering additional services to passengers shall be interoperable with those technical specifications.

Member States shall ensure that access to the basic technical specifications on telematic applications is open and non-discriminatory.

Any commercial agreement between participants shall be in conformity with competition rules.

The costs of such a system shall be divided fairly among the participants, in a manner which reflects their respective contributions.

The regulatory body shall ensure that any such through-ticketing system does not create market distortion or discriminate between railway undertakings.

Member States may
  also
  require railway undertakings operating domestic passenger services

  and providers of passenger transport by other modes of transport
  to participate in a common
  interoperable travel
  information and integrated ticketing scheme for the supply of tickets, through-tickets and reservations or decide to give the power to competent

  relevant
  authorities to establish such a scheme. If such a scheme is established, Member States shall ensure that it does not create market distortion or discriminate between railway undertakings
  and other providers of passenger transport
  and that it is managed by a public or private legal entity or an association of all railway undertakings operating passenger services. [Am. 72]

2.   Member States shall require railway undertakings operating passenger services to put in place and coordinate

  set up, and coordinate, including with respect to major routes within the Union, national
  contingency plans to provide assistance to passengers, in the sense of Article 18 of Regulation (EC) No 1371/2007,

  taking account of Commission Decision 2008/164/EC

   (*5)

  ,
  in the event of a major disruption to services
  triggered by a natural or man-made disaster. Each railway undertaking operating passenger services and each station manager shall put in place its own contingency plan in accordance with national contingency plans
  .

(10)  
  OJ L 315, 3.12.2007, p. 14."

(11)  
  OJ L 207, 6.8.2010, p. 1."

(*5)  
  Commission Decision 2008/164/EC of 21 December 2007 concerning the technical specification of interoperability relating to persons with reduced mobility in the trans-European conventional and high-speed rail system (OJ L 64, 7.3.2008, p. 72)
  ’. [Am. 73]"

| 7a. | In Article 19, the following point is added:










  ‘(da) | have undertaken to apply the respective collective agreements of the Member States in which the undertaking wishes to operate.’. [Am. 74] |
| --- | --- | --- |

7a.

In Article 19, the following point is added:

‘(da)

have undertaken to apply the respective collective agreements of the Member States in which the undertaking wishes to operate.’. [Am. 74]

| 8. | In Article 38, paragraph 4 is replaced by the following:
  ‘4.   Where an applicant intends to request infrastructure capacity with a view to operating a passenger service, it shall inform the infrastructure managers and the regulatory bodies concerned no less than 18 months before the entry into force of the working timetable to which the request for capacity relates. In order to enable regulatory bodies concerned to assess the potential economic impact on existing public service contracts, regulatory bodies shall ensure that any competent authority that has awarded a rail passenger service on that route defined in a public service contract, any other interested competent authority with the right to limit access under Article 11 and any railway undertaking performing the public service contract on the route of that passenger service is informed without undue delay and at the latest within five days.’. |
| --- | --- |

8.

In Article 38, paragraph 4 is replaced by the following:

‘4.   Where an applicant intends to request infrastructure capacity with a view to operating a passenger service, it shall inform the infrastructure managers and the regulatory bodies concerned no less than 18 months before the entry into force of the working timetable to which the request for capacity relates. In order to enable regulatory bodies concerned to assess the potential economic impact on existing public service contracts, regulatory bodies shall ensure that any competent authority that has awarded a rail passenger service on that route defined in a public service contract, any other interested competent authority with the right to limit access under Article 11 and any railway undertaking performing the public service contract on the route of that passenger service is informed without undue delay and at the latest within five days.’.

| 8a. | In Article 42, the following paragraph 1a is inserted:




  ‘1a.
     
  With a view to preventing discrimination against applicants, the regulatory body referred to in Article 55 of this Directive shall give prior approval to such a framework agreement and shall oversee a framework agreement in force on its own initiative. An applicant shall have the right to appeal to the regulatory body if it believes that it has been unfairly treated or discriminated against, or if it is in any other way aggrieved by a framework agreement. In the event of an appeal against a framework agreement, the regulatory body shall either confirm that no modification of the framework agreement is required or shall require modification of that framework agreement in accordance with directions specified by the regulatory body, not later than two months after the appeal is received by the regulatory body. The infrastructure manager and the railway undertaking shall comply with the regulatory body's decision as soon as is materially feasible, and in any case not later than one month after receiving notification of that decision from the regulatory body. Whilst performing the functions described in this paragraph, the regulatory body shall pay particular attention to the protection of business secrets.’. [Am. 75] |
| --- | --- |

8a.

In Article 42, the following paragraph 1a is inserted:

‘1a.
     
  With a view to preventing discrimination against applicants, the regulatory body referred to in Article 55 of this Directive shall give prior approval to such a framework agreement and shall oversee a framework agreement in force on its own initiative. An applicant shall have the right to appeal to the regulatory body if it believes that it has been unfairly treated or discriminated against, or if it is in any other way aggrieved by a framework agreement. In the event of an appeal against a framework agreement, the regulatory body shall either confirm that no modification of the framework agreement is required or shall require modification of that framework agreement in accordance with directions specified by the regulatory body, not later than two months after the appeal is received by the regulatory body. The infrastructure manager and the railway undertaking shall comply with the regulatory body's decision as soon as is materially feasible, and in any case not later than one month after receiving notification of that decision from the regulatory body. Whilst performing the functions described in this paragraph, the regulatory body shall pay particular attention to the protection of business secrets.’. [Am. 75]

| 8b. | In Article 46, paragraph 4 is replaced by the following:




  ‘4.
     The principles governing the coordination process shall be set out in the network statement. These shall, in particular, reflect the difficulty of arranging international train paths and the effect that modification may have on other infrastructure managers. In the event of conflicting requests to operate a rail service in the same market segment, the infrastructure manager, when allocating capacity, shall take into consideration only the infrastructure disputed and not the overall volume of capacity requested by the competing applicants.’. [Am. 76] |
| --- | --- |

8b.

In Article 46, paragraph 4 is replaced by the following:

‘4.
     The principles governing the coordination process shall be set out in the network statement. These shall, in particular, reflect the difficulty of arranging international train paths and the effect that modification may have on other infrastructure managers. In the event of conflicting requests to operate a rail service in the same market segment, the infrastructure manager, when allocating capacity, shall take into consideration only the infrastructure disputed and not the overall volume of capacity requested by the competing applicants.’. [Am. 76]

| 8c. | In Article 54, paragraph 1 is replaced by the following:




  ‘1.
     In the event of disturbance to train movements caused by technical failure or accident, the infrastructure manager shall take all necessary steps to restore the situation to normal. To that end, it shall draw up a contingency plan listing the various bodies to be informed in the event of serious incidents or serious disturbance to train movements. In the event of disturbance which has a potential impact on cross-border traffic, the infrastructure manager shall share any relevant information with other infrastructure managers whose network and traffic may be affected by that disturbance. The infrastructure managers concerned shall cooperate to restore the cross-border traffic to normal.’. [Am. 77] |
| --- | --- |

8c.

In Article 54, paragraph 1 is replaced by the following:

‘1.
     In the event of disturbance to train movements caused by technical failure or accident, the infrastructure manager shall take all necessary steps to restore the situation to normal. To that end, it shall draw up a contingency plan listing the various bodies to be informed in the event of serious incidents or serious disturbance to train movements. In the event of disturbance which has a potential impact on cross-border traffic, the infrastructure manager shall share any relevant information with other infrastructure managers whose network and traffic may be affected by that disturbance. The infrastructure managers concerned shall cooperate to restore the cross-border traffic to normal.’. [Am. 77]

| 8d. | In Article 55, the following paragraph is added:




  ‘3a.
     
  Member States shall ensure that the regulatory bodies have the necessary organisational and operational resources referred to in Article 56 of this Directive and shall, where necessary, adopt an action plan for the purpose of providing them with those resources.’. [Am. 78] |
| --- | --- |

8d.

In Article 55, the following paragraph is added:

‘3a.
     
  Member States shall ensure that the regulatory bodies have the necessary organisational and operational resources referred to in Article 56 of this Directive and shall, where necessary, adopt an action plan for the purpose of providing them with those resources.’. [Am. 78]

| 8e. | Article 56 is replaced by the following:




  ‘Article 56




  Functions of the regulatory body




  1.
     
  Without prejudice to Article 46(6), an applicant shall have the right to appeal to the regulatory body if it believes that it has been unfairly treated, discriminated against or is in any other way aggrieved, and in particular against decisions adopted by the infrastructure manager or where appropriate the railway undertaking or the operator of a service facility concerning:










  (a) | the network statement in its provisional and final versions; |
| --- | --- | --- |

8e.

Article 56 is replaced by the following:

‘Article 56

Functions of the regulatory body

1.
     
  Without prejudice to Article 46(6), an applicant shall have the right to appeal to the regulatory body if it believes that it has been unfairly treated, discriminated against or is in any other way aggrieved, and in particular against decisions adopted by the infrastructure manager or where appropriate the railway undertaking or the operator of a service facility concerning:

(a)

the network statement in its provisional and final versions;

| (b) | the criteria set out in it; |
| --- | --- |

(b)

the criteria set out in it;

| (c) | the allocation process and its result; |
| --- | --- |

(c)

the allocation process and its result;

| (d) | the charging scheme; |
| --- | --- |

(d)

the charging scheme;

| (e) | the level or structure of infrastructure charges which it is, or may be, required to pay; |
| --- | --- |

(e)

the level or structure of infrastructure charges which it is, or may be, required to pay;

| (f) | arrangements for access in accordance with Articles 10 to 13; |
| --- | --- |

(f)

arrangements for access in accordance with Articles 10 to 13;

| (g) | access to and charging for services in accordance with Article 13; |
| --- | --- |

(g)

access to and charging for services in accordance with Article 13;

| (ga) | scheduled and unscheduled infrastructure maintenance work. |
| --- | --- |

(ga)

scheduled and unscheduled infrastructure maintenance work.

2.
     
  Without prejudice to the powers of the national competition authorities for securing competition in the rail services markets, the regulatory body shall have the power to monitor the competitive situation in the rail services markets and shall, in particular, control points (a) to (ga) of paragraph 1 on its own initiative and with a view to preventing discrimination against applicants. It shall, in particular, check whether the network statement contains discriminatory clauses or creates discretionary powers for the infrastructure manager that may be used to discriminate against applicants.

3.   
  The regulatory body shall also cooperate closely with the national safety authority within the meaning of Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community

   (*6)

  , and the licensing authority within the meaning of this Directive.

Member States shall ensure that these authorities jointly develop a framework for information-sharing and cooperation aimed at preventing adverse effects on competition or safety in the railway market. This framework shall include a mechanism for the regulatory body to provide the national safety and licensing authorities with recommendations on issues that may affect competition in the railway market and for the national safety authority to provide the regulatory body and licensing authority with recommendations on issues that may affect safety. Without prejudice to the independence of each authority within the field of their respective competences, the relevant authority shall examine any such recommendation before adopting its decisions. If the relevant authority decides to deviate from these recommendations, it shall give reasons in its decisions.

4.
     
  Member States may decide that the regulatory body is given the task to adopt non-binding opinions on the provisional versions of the business plan referred to in Article 8(3), the contractual agreement and the capacity-enhancement plan to indicate in particular whether these instruments are consistent with the competitive situation in the rail services markets.

5.
     
  The regulatory body shall have the necessary organisational capacity in terms of human and material resources, which shall be proportionate to the importance of the rail sector in the Member State.

6.
     
  The regulatory body shall ensure that charges set by the infrastructure manager comply with Section 2 of Chapter IV and are non-discriminatory. The regulatory body shall ensure that the access charges set by the infrastructure manager, operators of service facilities or railway undertakings — including for access to tracks and access to stations, their buildings and other facilities, including facilities for the display of travel information — are not discriminatory. In that connection, proposed changes to the level or structure of the charges referred to in this paragraph shall be notified to the regulatory body at the latest two months prior to their scheduled entry into force. Until one month prior to their entry into force, the regulatory body may insist on a reduction or an increase in the proposed changes, on their postponement or on their cancellation. Negotiations between applicants and an infrastructure manager concerning the level of infrastructure charges shall only be permitted if these are carried out under the supervision of the regulatory body. The regulatory body shall intervene if negotiations are likely to contravene the requirements of this Chapter.

7.
     
  The regulatory body shall, regularly and, in any case, at least every two years, consult representatives of users of the rail freight and passenger transport services, to take into account their views on the rail market.

8.
     
  The regulatory body shall have the power to request relevant information from the infrastructure manager, applicants and any third party involved within the Member State concerned.

Information requested shall be supplied within a reasonable period set by the regulatory body that shall not exceed one month, unless, in exceptional circumstances, the regulatory body agrees to, and authorises, a time-limited extension, which shall not exceed two additional weeks. The regulatory body shall be able to enforce such requests with appropriate penalties, including fines. Information to be supplied to the regulatory body includes all data which the regulatory body requires in the framework of its appeal function and in its function of monitoring the competition in the rail services markets in accordance with paragraph 2. This includes data which are necessary for statistical and market observation purposes.

9.
     
  The regulatory body shall consider any complaints and, as appropriate, shall ask for relevant information and initiate consultations with all relevant parties, within one month from the receipt of the complaint. It shall decide on any complaints, take action to remedy the situation and inform the relevant parties of its reasoned decision within a pre-determined, reasonable time, and, in any case, within six weeks from receipt of all relevant information. Without prejudice to the powers of the national competition authorities for securing competition in the rail service markets, the regulatory body shall, where appropriate, decide on its own initiative on appropriate measures to correct discrimination against applicants, market distortion and any other undesirable developments in these markets, in particular with reference to points (a) to (ga) of paragraph 1.

A decision of the regulatory body shall be binding on all parties covered by that decision, and shall not be subject to the control of another administrative instance. The regulatory body shall be able to enforce its decisions with the appropriate penalties, including fines.

In the event of a complaint against a refusal to grant infrastructure capacity, or against the terms of an offer of capacity, the regulatory body shall either confirm that no modification of the infrastructure manager's decision is required, or it shall require modification of that decision in accordance with its instructions. The infrastructure manager shall comply with the decision of the regulatory body at the latest one month after receiving notification of that decision.

10.
     
  Member States shall ensure that decisions taken by the regulatory body are subject to judicial review. The appeal may have suspensive effect on the decision of the regulatory body only when the immediate effect of the regulatory body's decision may cause irretrievable or manifestly excessive damages for the appellant. This provision is without prejudice to the powers of the court hearing the appeal as conferred by constitutional law, where applicable.

11.
     
  Member States shall ensure that decisions taken by the regulatory body are published.

12.
     
  The regulatory body shall have the power to carry out audits or initiate external audits with infrastructure managers, operators of service facilities and, where relevant, railway undertakings, to verify compliance with accounting separation provisions laid down in Article 6. In this respect, the regulatory body shall be entitled to request any relevant information. In particular the regulatory body shall have the power to request infrastructure manager, operators of service facilities and all undertakings or other entities performing or integrating different types of rail transport or infrastructure management as referred to in Article 6(1) and (2) and Article 13 to provide all or part of the accounting information listed in Annex VIII with a sufficient level of detail as deemed necessary and proportionate.

Without prejudice to the powers of the national authorities responsible for State aid issues, the regulatory body may also draw conclusions from the accounts concerning State aid issues which it shall report to those authorities.

13.
     
  The Commission shall be empowered to adopt delegated acts in accordance with Article 60 concerning certain amendments to Annex VIII. Thus, Annex VIII may be amended to adapt it to the evolution of accounting and control practices and/or to supplement it with additional elements necessary to verify separation of accounts.

(*6)  
  Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community (OJ L 191, 18.7.2008, p. 1).’. [Am. 79]"

| 8f. | In Article 57 the following paragraph is added:




  ‘9a.
     
  Where an applicant considers that a decision of an infrastructure manager is obstructing the development of an international service, it may refer the matter to the network of regulatory bodies for an opinion. The national regulatory body concerned shall be informed of that referral at the same time. The network shall, where necessary, seek explanations from the infrastructure manager and, in any case, from the national regulatory body concerned. The network shall adopt and publish its opinion and communicate it to the national regulatory body concerned.




  The network of regulatory bodies shall submit an annual activity report to the Commission. The Commission shall report to the European Parliament and Council.




  Within one year from the entry into force of this Directive and by no later than 31 December 2019, the Commission shall adopt a legislative proposal establishing a European regulatory body and shall confer on it legal personality together with a supervisory and arbitration function empowering it to deal with cross-border issues and to hear appeals against decisions taken by national regulatory bodies. That new body shall replace the European Network of Regulatory Bodies.’. [Am. 80] |
| --- | --- |

8f.

In Article 57 the following paragraph is added:

‘9a.
     
  Where an applicant considers that a decision of an infrastructure manager is obstructing the development of an international service, it may refer the matter to the network of regulatory bodies for an opinion. The national regulatory body concerned shall be informed of that referral at the same time. The network shall, where necessary, seek explanations from the infrastructure manager and, in any case, from the national regulatory body concerned. The network shall adopt and publish its opinion and communicate it to the national regulatory body concerned.

The network of regulatory bodies shall submit an annual activity report to the Commission. The Commission shall report to the European Parliament and Council.

Within one year from the entry into force of this Directive and by no later than 31 December 2019, the Commission shall adopt a legislative proposal establishing a European regulatory body and shall confer on it legal personality together with a supervisory and arbitration function empowering it to deal with cross-border issues and to hear appeals against decisions taken by national regulatory bodies. That new body shall replace the European Network of Regulatory Bodies.’. [Am. 80]

| 9. | In Article 63, paragraph 1 is replaced by the following:
  ‘1.   By 31 December 2024, the Commission shall evaluate the impact of this Directive on the rail sector and shall submit to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions a report on its implementation.
  That evaluation shall take into account the views expressed by the European regulatory body on whether discriminatory practices or other types of distortion of competition persist and the views expressed by social partners in the relevant Union social dialogue committee. [Am. 81]

  By the same date, the Commission

  European Regulatory Body
  shall assess whether discriminatory practices or other types of distortion of competition persist in relation to infrastructure managers which are part of a vertically integrated undertaking

  and shall publish recommendations for further policy measures
  . The Commission shall, if appropriate, propose new legislative measures
  based on those recommendations
  . [Am. 82]



  The Commission shall, no later than 18 months after the entry into force of this Directive, assess its impact on the development of the labour market for railway on-board staff and shall, if appropriate, propose new legislative measures on the certification of such on-board railway staff.’. [Am. 83] |
| --- | --- |

9.

In Article 63, paragraph 1 is replaced by the following:

‘1.   By 31 December 2024, the Commission shall evaluate the impact of this Directive on the rail sector and shall submit to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions a report on its implementation.
  That evaluation shall take into account the views expressed by the European regulatory body on whether discriminatory practices or other types of distortion of competition persist and the views expressed by social partners in the relevant Union social dialogue committee. [Am. 81]

By the same date, the Commission

  European Regulatory Body
  shall assess whether discriminatory practices or other types of distortion of competition persist in relation to infrastructure managers which are part of a vertically integrated undertaking

  and shall publish recommendations for further policy measures
  . The Commission shall, if appropriate, propose new legislative measures
  based on those recommendations
  . [Am. 82]

The Commission shall, no later than 18 months after the entry into force of this Directive, assess its impact on the development of the labour market for railway on-board staff and shall, if appropriate, propose new legislative measures on the certification of such on-board railway staff.’. [Am. 83]

Article 1a

Regulation (EC) 1371/2007 is amended as follows:

Article 2, paragraph 3 is replaced by the following:

‘3.
     
  On the entry into force of this Regulation, Articles 9, 10, 11, 12, 19, 20(1) and 26 shall apply to all rail passenger services throughout the Union.’. [Am. 84]

Article 2

1.   Member States shall adopt and publish, by ... (*7) at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall communicate to the Commission the text of those provisions immediately.

*7

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 main provisions of national law which they adopt in the field covered by this Directive.

Article 3

1.   This Directive shall enter into force on the day following that of its publication in the Official Journal of the European Union.
  It shall be made available in consolidated form, together with Directive 2012/34/EU as amended by it, within three months of its publication. [Am. 85]

It shall be made available in consolidated form, together with Directive 2012/34/EU as amended by it, within three months of its publication.

2.   Points 5 to 8 of Article 1 shall apply from 1 January 2018 [in time for the working timetable starting on 14 December 2019].

Until the date of application of point 5 and without prejudice to international passenger services, Member States shall not be required to grant the right of access to railway undertakings and their directly or indirectly controlled subsidiaries, licensed in a Member State where access rights of a similar nature are not granted. [Am. 86]

Until the date of application of point 5 and without prejudice to international passenger services, Member States shall not be required to grant the right of access to railway undertakings and their directly or indirectly controlled subsidiaries, licensed in a Member State where access rights of a similar nature are not granted.

Article 4

This Directive is addressed to the Member States.

Done at

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122.

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  Directive 2004/51/EC of the European Parliament and of the Council of 29 April 2004 amending Council Directive 91/440/EEC on the development of the Community's railways (OJ L 164, 30.4.2004, p. 164).

4

(5)  Directive 2007/58/EC of the European Parliament and of the Council of 23 October 2007 amending Council Directive 91/440/EEC on the development of the Community’s railways and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure (OJ L 315, 3.12.2007, p. 44).

5

(6)  Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).

6

(7)  
  Council Directive 2005/47/EC of 18 July 2005 on the Agreement between the Community of European Railways (CER) and the European Transport Workers' Federation (ETF) on certain aspects of the working conditions of mobile workers engaged in interoperable cross-border services in the railway sector (OJ L 195, 27.7.2005, p. 15).

7

Council Directive 2005/47/EC of 18 July 2005 on the Agreement between the Community of European Railways (CER) and the European Transport Workers' Federation (ETF) on certain aspects of the working conditions of mobile workers engaged in interoperable cross-border services in the railway sector (OJ L 195, 27.7.2005, p. 15).

(8)  OJ C 369, 17.12.2011, p. 14.

8

(9)  
  Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (OJ L 315, 3.12.2007, p. 14).

9

Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (OJ L 315, 3.12.2007, p. 14).

(*7)  18 months after entry into force of this Directive.

*7

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/420 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/420

---

P7_TA(2014)0148

Domestic passenger transport services by rail ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail (COM(2013)0028 — C7-0024/2013 — 2013/0028(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/53)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0028), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0028),

| — | having regard to Article 294(2) and Article 91 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0024/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 91 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0024/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Seimas of the Republic of Lithuania, the Luxembourg Chamber of Deputies, the Netherlands Senate and the Netherlands House of Representatives, the Austrian Federal Council and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Seimas of the Republic of Lithuania, the Luxembourg Chamber of Deputies, the Netherlands Senate and the Netherlands House of Representatives, the Austrian Federal Council and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee (1),

| — | having regard to the opinion of the Committee of the Regions (2) |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions (2)

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0034/2014), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Employment and Social Affairs and the Committee on Regional Development (A7-0034/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

---

P7_TC1-COD(2013)0028

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Regulation (EC) No 1370/2007 concerning the opening of the market for domestic passenger transport services by rail

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 91 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | Over the past decade, the growth of passenger traffic by rail has been insufficient to increase its modal share in comparison to cars and aviation. The 6 % modal share of passenger transport for rail in the European Union has remained fairly stable. Rail passenger services have not kept pace with evolving needs

  the evolution of other modes of transport
  in terms of availability
  , price
  and quality.
  Bearing that in mind, all relevant lessons need to be learnt from the approach adopted by the Union in the course of the last three railway reforms. [Am. 1] |
| --- | --- |

(1)

Over the past decade, the growth of passenger traffic by rail has been insufficient to increase its modal share in comparison to cars and aviation. The 6 % modal share of passenger transport for rail in the European Union has remained fairly stable. Rail passenger services have not kept pace with evolving needs

  the evolution of other modes of transport
  in terms of availability
  , price
  and quality.
  Bearing that in mind, all relevant lessons need to be learnt from the approach adopted by the Union in the course of the last three railway reforms. [Am. 1]

| (1a) | Rail transport plays a major role socially and environmentally, and in terms of mobility planning, and can significantly increase its overall share of European passenger transport. In this regard, investment in research as well as in infrastructure and rolling stock can make a significant contribution to new growth, thereby boosting employment directly in the railway sector and indirectly by increasing the mobility of employees of other sectors. Rail transport has the potential to develop into an important modern branch of Union industry, provided that Member States agree on greater cooperation. [Am. 2] |
| --- | --- |

(1a)

Rail transport plays a major role socially and environmentally, and in terms of mobility planning, and can significantly increase its overall share of European passenger transport. In this regard, investment in research as well as in infrastructure and rolling stock can make a significant contribution to new growth, thereby boosting employment directly in the railway sector and indirectly by increasing the mobility of employees of other sectors. Rail transport has the potential to develop into an important modern branch of Union industry, provided that Member States agree on greater cooperation. [Am. 2]

| (2) | The Union market for international passenger transport services by rail has been opened to competition since 2010. In addition, some Member States have opened their domestic passenger services to competition, by introducing open access rights or tendering for public service contracts or both. |
| --- | --- |

(2)

The Union market for international passenger transport services by rail has been opened to competition since 2010. In addition, some Member States have opened their domestic passenger services to competition, by introducing open access rights or tendering for public service contracts or both.

| (3) | In its White Paper on transport policy of 28 March 2011 (4) the Commission announced its intention to complete the internal railway market, allowing railway undertakings of the Union to provide all types of rail transport services without unnecessary technical and administrative barriers.
  In order to better achieve that objective, the current reform needs to be conceived in the light of the railway models which have proved to be effective in the Union. [Am. 5] |
| --- | --- |

(3)

In its White Paper on transport policy of 28 March 2011 (4) the Commission announced its intention to complete the internal railway market, allowing railway undertakings of the Union to provide all types of rail transport services without unnecessary technical and administrative barriers.
  In order to better achieve that objective, the current reform needs to be conceived in the light of the railway models which have proved to be effective in the Union. [Am. 5]

| (3a) | The quality of public services for rail passenger transport should be improved and their efficiency increased, whilst existing public passenger transport services that function efficiently are maintained. [Am. 6] |
| --- | --- |

(3a)

The quality of public services for rail passenger transport should be improved and their efficiency increased, whilst existing public passenger transport services that function efficiently are maintained. [Am. 6]

| (3b) | The completion of the opening of the Union railway market should be considered to be essential in order for the railway to become a credible alternative to other modes of transport, in terms of price and quality. [Am. 7] |
| --- | --- |

(3b)

The completion of the opening of the Union railway market should be considered to be essential in order for the railway to become a credible alternative to other modes of transport, in terms of price and quality. [Am. 7]

| (3c) | It is essential for the competent authorities to play a key role in the organisation of public passenger transport services. Such authorities have responsibility for planning public passenger transport services, including for indentifying the routes to be designated for open access or awarded under public service contracts and for determining the award procedure. Furthermore, they should justify that viability, efficiency and quality targets can only be achieved by using the award procedure that they have chosen, and should publish this justification. [Am. 8] |
| --- | --- |

(3c)

It is essential for the competent authorities to play a key role in the organisation of public passenger transport services. Such authorities have responsibility for planning public passenger transport services, including for indentifying the routes to be designated for open access or awarded under public service contracts and for determining the award procedure. Furthermore, they should justify that viability, efficiency and quality targets can only be achieved by using the award procedure that they have chosen, and should publish this justification. [Am. 8]

| (4) | When competent authorities organise their public passenger transport services they need to ensure that public service obligations and the geographical scope of public service contracts are appropriate, necessary and proportionate to achieve the objectives of the public passenger transport policy in their territory. This policy should be set out in
  sustainable
  public transport plans leaving scope for market based transport solutions. The process of defining public transport plans and public service obligations should be made transparent to relevant stakeholders including potential market entrants. [Am. 9] |
| --- | --- |

(4)

When competent authorities organise their public passenger transport services they need to ensure that public service obligations and the geographical scope of public service contracts are appropriate, necessary and proportionate to achieve the objectives of the public passenger transport policy in their territory. This policy should be set out in
  sustainable
  public transport plans leaving scope for market based transport solutions. The process of defining public transport plans and public service obligations should be made transparent to relevant stakeholders including potential market entrants. [Am. 9]

| (5) | To ensure sound financing to meet the objectives of
  sustainable
  public transport plans, competent authorities need to design public service obligations to attain public transport objectives
  both in a


  high-quality and
  in a cost-effective manner taking account of the compensation for the net financial effect of those obligations and they need to ensure long-term financial sustainability of public transport provided under public service contracts.
  That includes avoiding both over- and under-compensation, caused by the substance of the public service obligations, or the failure of the competent authority to meet its financial commitments. Public service obligations may refer to networks in which some services can be operated with a fair profit without financial compensation; the inclusion of such services within the scope of the public service obligations should not result in compensation payments exceeding the amount necessary for providing the whole range of network services. [Am. 10] |
| --- | --- |

(5)

To ensure sound financing to meet the objectives of
  sustainable
  public transport plans, competent authorities need to design public service obligations to attain public transport objectives
  both in a


  high-quality and
  in a cost-effective manner taking account of the compensation for the net financial effect of those obligations and they need to ensure long-term financial sustainability of public transport provided under public service contracts.
  That includes avoiding both over- and under-compensation, caused by the substance of the public service obligations, or the failure of the competent authority to meet its financial commitments. Public service obligations may refer to networks in which some services can be operated with a fair profit without financial compensation; the inclusion of such services within the scope of the public service obligations should not result in compensation payments exceeding the amount necessary for providing the whole range of network services. [Am. 10]

| (6) | It is particularly important that competent authorities comply with these criteria for public service obligations and the scope of public service contracts if the market for public passenger transport by rail is to run smoothly, because open access transport operations need to be well coordinated with those under public service contract. For this reason, the independent rail regulatory body should ensure that this process is correctly applied and transparent. |
| --- | --- |

(6)

It is particularly important that competent authorities comply with these criteria for public service obligations and the scope of public service contracts if the market for public passenger transport by rail is to run smoothly, because open access transport operations need to be well coordinated with those under public service contract. For this reason, the independent rail regulatory body should ensure that this process is correctly applied and transparent.

| (7) | A maximum annual

  The
  volume of a public service contract for passenger transport by rail
  which will be awarded on the basis of a competitive tendering procedure
  needs to be set to facilitate

  in a way that facilitates
  competition
  between small bidders, new entrants and the incumbent operator
  for such contracts while allowing competent authorities some flexibility to optimise the volume according to economic and operational considerations. [Am. 64] |
| --- | --- |

(7)

A maximum annual

  The
  volume of a public service contract for passenger transport by rail
  which will be awarded on the basis of a competitive tendering procedure
  needs to be set to facilitate

  in a way that facilitates
  competition
  between small bidders, new entrants and the incumbent operator
  for such contracts while allowing competent authorities some flexibility to optimise the volume according to economic and operational considerations. [Am. 64]

| (8) | To facilitate the preparation of tenders, and hence enhance competition competent authorities need to ensure that
  , whilst protecting business secrets,
  all public service operators interested in making such a submission receive certain information on the transport services and infrastructure covered by the public service contract
  that prevents them from being deemed to have been discriminated against by the contracting authority with regard to other competitors
  . [Am. 12] |
| --- | --- |

(8)

To facilitate the preparation of tenders, and hence enhance competition competent authorities need to ensure that
  , whilst protecting business secrets,
  all public service operators interested in making such a submission receive certain information on the transport services and infrastructure covered by the public service contract
  that prevents them from being deemed to have been discriminated against by the contracting authority with regard to other competitors
  . [Am. 12]

| (9) | Certain upper limits for the direct award of public service contracts need to be adapted for rail transport to the specific economic conditions under which tender procedures take place in this sector. |
| --- | --- |

(9)

Certain upper limits for the direct award of public service contracts need to be adapted for rail transport to the specific economic conditions under which tender procedures take place in this sector.

| (9a) | The principle of reciprocity should be applied in order to ensure fair competition and to prevent the misuse of compensation. That principle should apply not only to Member States and companies established in the Union but also to companies from third countries that wish to participate in procurement procedures within the Union. [Am. 65] |
| --- | --- |

(9a)

The principle of reciprocity should be applied in order to ensure fair competition and to prevent the misuse of compensation. That principle should apply not only to Member States and companies established in the Union but also to companies from third countries that wish to participate in procurement procedures within the Union. [Am. 65]

| (10) | The establishment of an Internal Market for passenger transport services by rail requires common rules on competitive tendering for public service contracts in this sector to be applied

  which are applicable
  in a harmonised manner in all Member States
  , whilst taking into account the specific circumstances of each Member States
  .[Am. 14] |
| --- | --- |

(10)

The establishment of an Internal Market for passenger transport services by rail requires common rules on competitive tendering for public service contracts in this sector to be applied

  which are applicable
  in a harmonised manner in all Member States
  , whilst taking into account the specific circumstances of each Member States
  .[Am. 14]

| (11) | In

  With a
  view of

  to
  creating framework conditions for enabling society to fully reap the benefits of effective opening of the market for domestic passenger transport services by rail it is important that Member States ensure an adequate level of social protection for the staff of public service operators. [Am. 16] |
| --- | --- |

(11)

In

  With a
  view of

  to
  creating framework conditions for enabling society to fully reap the benefits of effective opening of the market for domestic passenger transport services by rail it is important that Member States ensure an adequate level of social protection for the staff of public service operators. [Am. 16]

| (12) | Where the market does not ensure it under suitable economic and non-discriminatory conditions, public service operators' access to rail rolling stock needs to be facilitated by competent authorities through adequate and effective measures. |
| --- | --- |

(12)

Where the market does not ensure it under suitable economic and non-discriminatory conditions, public service operators' access to rail rolling stock needs to be facilitated by competent authorities through adequate and effective measures.

| (13) | Certain key features of upcoming tender procedures for public service contracts need to be fully transparent to enable a better organised market response. |
| --- | --- |

(13)

Certain key features of upcoming tender procedures for public service contracts need to be fully transparent to enable a better organised market response.

| (14) | Consistent with the internal logic of Regulation (EC) No 1370/2007, it should be made clear that the transitional period until 2 December 2019 refers only to the obligation to organise competitive tendering procedures for public service contracts.
  [Am. 66] |
| --- | --- |

(14)

Consistent with the internal logic of Regulation (EC) No 1370/2007, it should be made clear that the transitional period until 2 December 2019 refers only to the obligation to organise competitive tendering procedures for public service contracts.
  [Am. 66]

| (15) | Preparing railway undertakings for mandatory competitive tendering for public service contracts requires some extra time to allow effective and sustainable internal restructuring of companies to which such contracts were directly awarded in the past. Transitional measures are therefore necessary for contracts directly awarded between the date of entry into force of this Regulation and 3 December 2019.
  [Am. 67] |
| --- | --- |

(15)

Preparing railway undertakings for mandatory competitive tendering for public service contracts requires some extra time to allow effective and sustainable internal restructuring of companies to which such contracts were directly awarded in the past. Transitional measures are therefore necessary for contracts directly awarded between the date of entry into force of this Regulation and 3 December 2019.
  [Am. 67]

| (16) | Once opening of the market for domestic passenger transport services by rail is achieved, as competent authorities may need to take measures to ensure a high level of competition by limiting the number of contracts that it awards to one railway undertaking, adequate provisions should be provided for. |
| --- | --- |

(16)

Once opening of the market for domestic passenger transport services by rail is achieved, as competent authorities may need to take measures to ensure a high level of competition by limiting the number of contracts that it awards to one railway undertaking, adequate provisions should be provided for.

| (17) | In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (5). |
| --- | --- |

(17)

In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (5).

| (18) | In the context of amendments to the Council Regulation (EC) No 994/98 (‘Enabling Regulation’) (6), the Commission proposed also an amendment to Regulation (EC) No 1370/2007 of the European Parliament and of the Council (COM(2012)0730/3). In order to harmonize the approach to block exemption regulations in the field of State aid and, in accordance with the procedures foreseen in Articles 108(4) and 109 of the Treaty, aid for the coordination of transport or reimbursement for the discharge of certain obligations inherent in the concept of a public service as referred to in Article 93 of the Treaty should be brought under the scope of the Enabling Regulation. |
| --- | --- |

(18)

In the context of amendments to the Council Regulation (EC) No 994/98 (‘Enabling Regulation’) (6), the Commission proposed also an amendment to Regulation (EC) No 1370/2007 of the European Parliament and of the Council (COM(2012)0730/3). In order to harmonize the approach to block exemption regulations in the field of State aid and, in accordance with the procedures foreseen in Articles 108(4) and 109 of the Treaty, aid for the coordination of transport or reimbursement for the discharge of certain obligations inherent in the concept of a public service as referred to in Article 93 of the Treaty should be brought under the scope of the Enabling Regulation.

| (19) | Regulation (EC) No 1370/2007 should therefore be amended accordingly, |
| --- | --- |

(19)

Regulation (EC) No 1370/2007 should therefore be amended accordingly,

HAVE ADOPTED THIS REGULATION:

Article 1

Without prejudice to Directive 2014/25/EU of the European Parliament and of the Council

   (7), Regulation (EC) No 1370/2007 is hereby amended as follows: [Am. 17]

| 1. | Article 2 is hereby amended as follows:








  (-a) | The following point is inserted:










  ‘(aa) | “public rail passenger transport” means public passenger transport by rail, excluding passenger transport on other track-based modes, such as metros, tramways or, if Member States so decide, tram-train systems;’; [Am. 18] |
| --- | --- | --- | --- |

1.

Article 2 is hereby amended as follows:

(-a)

The following point is inserted:

‘(aa)

“public rail passenger transport” means public passenger transport by rail, excluding passenger transport on other track-based modes, such as metros, tramways or, if Member States so decide, tram-train systems;’; [Am. 18]

| (a) | Point (c) is replaced by the following:






  ‘(c) | “competent local authority” means any competent authority whose geographical area of competence is not national and which covers the transport needs of
  , inter alia,
  an urban agglomeration
  and/
  or a rural district;"

  area, or a region, including at cross-border level;
  ’; [Am. 19] |
| --- | --- | --- |

(a)

Point (c) is replaced by the following:

‘(c)

“competent local authority” means any competent authority whose geographical area of competence is not national and which covers the transport needs of
  , inter alia,
  an urban agglomeration
  and/
  or a rural district;"

  area, or a region, including at cross-border level;
  ’; [Am. 19]

| (b) | In point (e) the following subparagraph is added:
  ‘The scope of public service obligations shall exclude all

  cover
  public transport services that go beyond of what is

  are
  necessaryto reap,
  inter alia, for the benefits of economic, technical or geographical network effects to be reaped at
  local, regional or sub-national network effects

  level
  .
  Such network effects arise through the integration of transport services, which makes public transport more attractive for passengers and more efficient for the public transport sector. Network effects may be generated both by services which attain break- even and by services which do not, as well as at various geographical-, train schedule- or tariff- levels.’
  . [Am. 20] |
| --- | --- |

(b)

In point (e) the following subparagraph is added:

‘The scope of public service obligations shall exclude all

  cover
  public transport services that go beyond of what is

  are
  necessaryto reap,
  inter alia, for the benefits of economic, technical or geographical network effects to be reaped at
  local, regional or sub-national network effects

  level
  .
  Such network effects arise through the integration of transport services, which makes public transport more attractive for passengers and more efficient for the public transport sector. Network effects may be generated both by services which attain break- even and by services which do not, as well as at various geographical-, train schedule- or tariff- levels.’
  . [Am. 20]

| 2. | The following is inserted:
  ‘Article 2a


  Multimodal and sustainable
  public transport plans and public service obligations [Am. 21]

  1.   Competent authorities shall establish and regularly update
  multimodal
  public passenger transport plans covering all relevant transport modes for the territory for which they are responsible. These public transport plans shall define the objectives of public transport policy and the means to implement them covering all relevant transport modes for the territory for which they are responsible
  , thereby promoting social and territorial cohesion. It shall be possible for those plans to consist of information on public transport plans that already exists in the public domain. Where interregional services already exist, they shall be taken into account
  . They

  Those plans
  shall at least include: [Am. 22]







  (a) | the structure of the network or routes; |
| --- | --- | --- |

2.

The following is inserted:

‘Article 2a

Multimodal and sustainable
  public transport plans and public service obligations [Am. 21]

1.   Competent authorities shall establish and regularly update
  multimodal
  public passenger transport plans covering all relevant transport modes for the territory for which they are responsible. These public transport plans shall define the objectives of public transport policy and the means to implement them covering all relevant transport modes for the territory for which they are responsible
  , thereby promoting social and territorial cohesion. It shall be possible for those plans to consist of information on public transport plans that already exists in the public domain. Where interregional services already exist, they shall be taken into account
  . They

  Those plans
  shall at least include: [Am. 22]

(a)

the structure of the network or routes;

| (b) | basic requirements to be fulfilled by public transport offersuch as

  , including, inter alia,
  accessibility
  for persons with disabilities

  territorial connectivity, security,

  and
  modal and intermodal interconnections at main connecting hubs, offer characteristics such as times of operation, frequency of services and minimum degree of capacity utilisation; [Am. 23] |
| --- | --- |

(b)

basic requirements to be fulfilled by public transport offersuch as

  , including, inter alia,
  accessibility
  for persons with disabilities

  territorial connectivity, security,

  and
  modal and intermodal interconnections at main connecting hubs, offer characteristics such as times of operation, frequency of services and minimum degree of capacity utilisation; [Am. 23]

| (ba) | for public rail passenger transport, efficiency criteria including inter alia modal share of public transport, punctuality, cost-efficiency, frequency of services, customer satisfaction and the quality of rolling stock; [Am. 24] |
| --- | --- |

(ba)

for public rail passenger transport, efficiency criteria including inter alia modal share of public transport, punctuality, cost-efficiency, frequency of services, customer satisfaction and the quality of rolling stock; [Am. 24]

| (c) | quality
  and safety
  standards related to items such as equipment features of stops and of

  as well as control aspects regarding the
  rolling stock, punctuality and reliability, cleanliness, customer service and information, complaint handling and redress, monitoring of service quality

  infrastructure and services, including information
  ; [Am. 25] |
| --- | --- |

(c)

quality
  and safety
  standards related to items such as equipment features of stops and of

  as well as control aspects regarding the
  rolling stock, punctuality and reliability, cleanliness, customer service and information, complaint handling and redress, monitoring of service quality

  infrastructure and services, including information
  ; [Am. 25]

| (d) | principles of tariff policy,
  such as the use of social tariffs
  ; [Am. 26] |
| --- | --- |

(d)

principles of tariff policy,
  such as the use of social tariffs
  ; [Am. 26]

| (e) | operational requirements such as transport of bicycles, traffic management, contingency plan in case of disturbances .

  applicable rules regarding passenger rights, social and employment conditions, environmental protection and the establishment of environmental objectives
  . [Am. 27] |
| --- | --- |

(e)

operational requirements such as transport of bicycles, traffic management, contingency plan in case of disturbances .

  applicable rules regarding passenger rights, social and employment conditions, environmental protection and the establishment of environmental objectives
  . [Am. 27]

In establishing public transport plans, competent authorities shall have regard in particular to applicable rules regarding passenger rights, social, employment and environmental protection.
  [Am. 28]

The competent authorities shall adopt the public transport plans after consultation of relevant stakeholders and publish them. For the purpose of this Regulation, relevant stakeholders to be taken into consideration are

  , including
  at least transport operators, infrastructure managers if appropriate, and representative passenger and employee organisations
  , and shall publish those plans
  . [Am. 29]

2.   The establishment of public service obligations and the award of public service contracts shall be consistent with the applicable public transport plans.

3.   The specifications of public service obligations for public passenger transport and the scope of their application shall be established as follows:

| (a) | they shall be defined in accordance with Article 2 (e); |
| --- | --- |

(a)

they shall be defined in accordance with Article 2 (e);

| (b) | they shall be appropriate to achieve the objectives of the public transport plan
  , i.e. they shall determine the award procedure in terms of quality standards to be achieved and the appropriate means of doing so, in order to meet the objectives of the public transport plan
  ; [Am. 30] |
| --- | --- |

(b)

they shall be appropriate to achieve the objectives of the public transport plan
  , i.e. they shall determine the award procedure in terms of quality standards to be achieved and the appropriate means of doing so, in order to meet the objectives of the public transport plan
  ; [Am. 30]

| (c) | they shall not exceed what is

  be
  necessary and proportionate to achieve the objectives of the public transport plans
  and, in respect of public passenger transport by rail, they shall take into account Directive 2012/34/EU of the European Parliament and of the Council



   (*1)

  .[Am. 31] |
| --- | --- |

(c)

they shall not exceed what is

  be
  necessary and proportionate to achieve the objectives of the public transport plans
  and, in respect of public passenger transport by rail, they shall take into account Directive 2012/34/EU of the European Parliament and of the Council



   (*1)

  .[Am. 31]

The assessment of appropriateness referred to in point (b) shall take into account whether a public intervention in the provision of passenger transport is a suitable means of achieving the objectives of the public transport plans.
  [Am. 32]

For public passenger transport by rail the assessment of necessity and proportionality referred to in point (c) shall take into account the transport services provided under Article 10(2) of Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (recast)

   (8)

  and consider all information given to the infrastructure managers and regulatory bodies pursuant to the first sentence of Article 38(4) of that Directive.
  [Am. 33]

4.   The specifications of public service obligations and the related compensation of the net financial effect of public service obligations shall: (a) achieve the objectives of the public transport plan in the most

  a
  cost-effective manner
  and shall

  (b) financially sustain the provision of public passenger transport in accordance to the requirements laid down in the public transport plan in the long term. [Am. 34]

5.   When preparing the specifications, the competent authority shall set out the draft specifications of public service obligations and their scope, the basic steps of the assessment of their compliance with the requirements laid down in paragraphs 2, 3 and 4, and the results of the assessment.

The competent authority shall in an appropriate manner consult relevant stakeholders such as a minimum, transport operators, infrastructure managers if appropriate and representative passenger and employee organisations on these specifications and take their positions into consideration. [Am. 35]

6.   For public passenger transport by rail:

| (a) | compliance of the assessment and of the procedure set out in this Article shall be ensured by the regulatory body referred to in Art

  Article
  55 of Directive 2012/34/EU including on its own initiative.

  at the request of any stakeholder concerned; [Am. 36] |
| --- | --- |

(a)

compliance of the assessment and of the procedure set out in this Article shall be ensured by the regulatory body referred to in Art

  Article
  55 of Directive 2012/34/EU including on its own initiative.

  at the request of any stakeholder concerned; [Am. 36]

| (b) | the maximum annual

  the minimum number of public service contracts for rail transport in a Member State shall be:








  — | one, in the case of a national market
  volume of a

  rail passenger transport under
  public service contract in terms of

  of up to 20 million
  train-km; shall be the higher value of either 10 |
| --- | --- | --- |

(b)

the maximum annual

  the minimum number of public service contracts for rail transport in a Member State shall be:

—

one, in the case of a national market
  volume of a

  rail passenger transport under
  public service contract in terms of

  of up to 20 million
  train-km; shall be the higher value of either 10

| — | two, in the case of a national market volume of rail passenger transport under public service contract of more than 20
   million train-km or one third

  and up to 100 million train-km, on condition that the size of one contract does not exceed 75 %
  of the total national

  market volume under
  public
  service contracts; |
| --- | --- |

—

two, in the case of a national market volume of rail passenger transport under public service contract of more than 20
   million train-km or one third

  and up to 100 million train-km, on condition that the size of one contract does not exceed 75 %
  of the total national

  market volume under
  public
  service contracts;

| — | three, in the case of a national market volume of
  rail passenger transport
  under public service contract of more than 100 million train-km and up to 200 million train-km, on condition that the size of one contract does not exceed 75 % of the total market
  volume under public service contract."

  contracts; |
| --- | --- |

—

three, in the case of a national market volume of
  rail passenger transport
  under public service contract of more than 100 million train-km and up to 200 million train-km, on condition that the size of one contract does not exceed 75 % of the total market
  volume under public service contract."

  contracts;

| — | four in the case of a national market volume of rail passenger transport under public service
  contract
  of more than 200 million train-km, on condition that the size of one contract does not exceed 50 % of the total market volume under public service contracts
  . [Am. 69] |
| --- | --- |

—

four in the case of a national market volume of rail passenger transport under public service
  contract
  of more than 200 million train-km, on condition that the size of one contract does not exceed 50 % of the total market volume under public service contracts
  . [Am. 69]

| (ba) | The competent authority shall determine the routes to be awarded under public service contracts in accordance with Directive 2012/34/EU.’ [Am. 38] |
| --- | --- |

(ba)

The competent authority shall determine the routes to be awarded under public service contracts in accordance with Directive 2012/34/EU.’ [Am. 38]

(*1)  
  Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).
  ""

(8)  
  OJ L 343, 14.12.2012, p. 32
  "

| 3. | Article 4 is amended as follows:






  (a) | In paragraph 1, point (a) is replaced by the following:






  ‘(a) | clearly define the public service obligations laid down in Article 2(e) and Article 2a with which the public service operator is to comply, and the geographical areas

  transport networks
  concerned
  , and require the operator to provide the competent authority with all the information essential for the award of public service contracts, whilst protecting business secrets
  ;’[Am. 39] |
| --- | --- | --- | --- |

3.

Article 4 is amended as follows:

(a)

In paragraph 1, point (a) is replaced by the following:

‘(a)

clearly define the public service obligations laid down in Article 2(e) and Article 2a with which the public service operator is to comply, and the geographical areas

  transport networks
  concerned
  , and require the operator to provide the competent authority with all the information essential for the award of public service contracts, whilst protecting business secrets
  ;’[Am. 39]

| (b) | The last sentence of paragraph 1, point (b) is replaced by the following:
  ‘In the case of public service contracts not awarded according to Article 5(3), these parameters shall be determined in such a way that no compensation payment may

  shall neither
  exceed
  nor fall below
  the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations, taking account of revenue relating thereto kept by the public service operator and a reasonable profit;’; [Am. 40] |
| --- | --- |

(b)

The last sentence of paragraph 1, point (b) is replaced by the following:

‘In the case of public service contracts not awarded according to Article 5(3), these parameters shall be determined in such a way that no compensation payment may

  shall neither
  exceed
  nor fall below
  the amount required to cover the net financial effect on costs incurred and revenues generated in discharging the public service obligations, taking account of revenue relating thereto kept by the public service operator and a reasonable profit;’; [Am. 40]

| (ba) | Paragraph 5 is replaced by the following:




  ‘5.
     
  Without prejudice to national and Union law, including representative collective agreements between social partners, competent authorities shall require the selected public service operator to grant staff working conditions on the basis of binding national, regional or local social standards and/or to implement the compulsory transfer of staff in case of change of operator. When such transfer occurs, the staff previously taken on by the previous operator to provide services shall be granted the same rights to which they would have been entitled if there had been a transfer within the meaning of Directive 2001/23/EC. Where competent authorities require public service operators to comply with certain social standards, tender documents and public service contracts shall list the staff concerned and give transparently details of their contractual rights and the conditions under which employees are deemed to be linked to the services.’; [Am. 41] |
| --- | --- |

(ba)

Paragraph 5 is replaced by the following:

‘5.
     
  Without prejudice to national and Union law, including representative collective agreements between social partners, competent authorities shall require the selected public service operator to grant staff working conditions on the basis of binding national, regional or local social standards and/or to implement the compulsory transfer of staff in case of change of operator. When such transfer occurs, the staff previously taken on by the previous operator to provide services shall be granted the same rights to which they would have been entitled if there had been a transfer within the meaning of Directive 2001/23/EC. Where competent authorities require public service operators to comply with certain social standards, tender documents and public service contracts shall list the staff concerned and give transparently details of their contractual rights and the conditions under which employees are deemed to be linked to the services.’; [Am. 41]

| (c) | Paragraph 6 is replaced by the following:
  ‘6.   Where

  In accordance with national law, the
  competent authorities, in accordance with national law, require public service operators to comply with certain

  shall set binding
  quality and social standards or establish,
  lay down appropriate
  social and qualitative criteria, these standards and criteria shall be included

  including the obligation of public service operators to comply with the applicable representative collective agreements and ensure decent employment and working conditions, including them or make reference thereto
  in the tender documents and in the public service contracts
  , regardless of the award procedure
  .’; [Am. 42] |
| --- | --- |

(c)

Paragraph 6 is replaced by the following:

‘6.   Where

  In accordance with national law, the
  competent authorities, in accordance with national law, require public service operators to comply with certain

  shall set binding
  quality and social standards or establish,
  lay down appropriate
  social and qualitative criteria, these standards and criteria shall be included

  including the obligation of public service operators to comply with the applicable representative collective agreements and ensure decent employment and working conditions, including them or make reference thereto
  in the tender documents and in the public service contracts
  , regardless of the award procedure
  .’; [Am. 42]

| (d) | The following paragraph is added:
  ‘8.   Competent authorities shall make available to all interested parties relevant information for the preparation of an offer under a competitive tender procedure
  , whilst protecting business secrets
  . This shall include information on passenger demand, fares, costs and revenues related to the public passenger transport covered by the tender and details of the infrastructure specifications relevant for the operation of the required vehicles or rolling stock to enable them to draft well informed business plans. Rail infrastructure managers shall support competent authorities in providing all relevant infrastructure specifications. Non-compliance with the provisions set out above shall be subject to the legal review provided for in Article 5(7).’. [Am. 43] |
| --- | --- |

(d)

The following paragraph is added:

‘8.   Competent authorities shall make available to all interested parties relevant information for the preparation of an offer under a competitive tender procedure
  , whilst protecting business secrets
  . This shall include information on passenger demand, fares, costs and revenues related to the public passenger transport covered by the tender and details of the infrastructure specifications relevant for the operation of the required vehicles or rolling stock to enable them to draft well informed business plans. Rail infrastructure managers shall support competent authorities in providing all relevant infrastructure specifications. Non-compliance with the provisions set out above shall be subject to the legal review provided for in Article 5(7).’. [Am. 43]

| 4. | Article 5 is amended as follows:








  (-a) | The following paragraph is inserted:




  ‘1a.
     
  Any competent authority, whether it is an individual authority or a group of authorities, including from more than one Member State, shall be entitled to award public service contracts in accordance with the rules laid down in this Regulation.’; [Am. 44] |
| --- | --- | --- |

4.

Article 5 is amended as follows:

(-a)

The following paragraph is inserted:

‘1a.
     
  Any competent authority, whether it is an individual authority or a group of authorities, including from more than one Member State, shall be entitled to award public service contracts in accordance with the rules laid down in this Regulation.’; [Am. 44]

| (-aa) | The following paragraphs are inserted:




  ‘3a.
     
  Until the end of the transitional period referred to in Article 8(2), Member States and, if permitted by national law, competent authorities may exclude from competitive tendering procedures for the award of public service contracts by rail organised by the competent authorities in their territory pursuant to paragraph 3 of this Article, any railway undertaking or operator or any subsidiary directly or indirectly controlled by a railway undertaking or its holding company if the controlling railway undertaking, the controlling holding company or their subsidiaries:










  (a) | are licensed and operating domestic rail services in a Member State in which the competent authorities are not permitted to award public service contracts through competitive tendering procedures, and |
| --- | --- | --- |

(-aa)

The following paragraphs are inserted:

‘3a.
     
  Until the end of the transitional period referred to in Article 8(2), Member States and, if permitted by national law, competent authorities may exclude from competitive tendering procedures for the award of public service contracts by rail organised by the competent authorities in their territory pursuant to paragraph 3 of this Article, any railway undertaking or operator or any subsidiary directly or indirectly controlled by a railway undertaking or its holding company if the controlling railway undertaking, the controlling holding company or their subsidiaries:

(a)

are licensed and operating domestic rail services in a Member State in which the competent authorities are not permitted to award public service contracts through competitive tendering procedures, and

| (b) | have benefitted from directly awarded public service contracts by rail the share of which in terms of value is higher than 50 % of the total value of all public service contracts by rail awarded to that railway undertaking or holding company or their subsidiaries. |
| --- | --- |

(b)

have benefitted from directly awarded public service contracts by rail the share of which in terms of value is higher than 50 % of the total value of all public service contracts by rail awarded to that railway undertaking or holding company or their subsidiaries.

For the purposes of this paragraph, “control” means any rights, contracts or other means which, either separately or in combination, and having regard to any relevant considerations of fact or law, provide the opportunity to exert a decisive influence on an undertaking, in particular through:

| (a) | ownership or the right to use all or part of the assets of an undertaking; |
| --- | --- |

(a)

ownership or the right to use all or part of the assets of an undertaking;

| (b) | rights or contracts which confer the right to exert a decisive influence on the composition, voting or deliberations of the social organs of that undertaking. |
| --- | --- |

(b)

rights or contracts which confer the right to exert a decisive influence on the composition, voting or deliberations of the social organs of that undertaking.

3b.
     
  Member States and, if permitted by national law, competent authorities may exclude from the competitive tendering procedures any operator or undertaking that is directly or indirectly controlled by a legal or natural person or by persons registered in a third country or third countries, save where that country or those countries have taken measures that allow public service contracts to be awarded through competitive tendering to railway undertakings licensed in a Member State.’; [Am. 68]

| (a) | Paragraph 4 is replaced by the following:
  ‘4.   Unless prohibited by national law, the competent authorities may decide to award public service contracts directly:






  (a) | where their average annual value is estimated at: less than EUR 1 000 000 or less than EUR 5 000 000 in the case of a public service contract including public transport by rail or, |
| --- | --- | --- |

(a)

Paragraph 4 is replaced by the following:

‘4.   Unless prohibited by national law, the competent authorities may decide to award public service contracts directly:

(a)

where their average annual value is estimated at: less than EUR 1 000 000 or less than EUR 5 000 000 in the case of a public service contract including public transport by rail or,

| (b) | where they concern the annual provision of less than 300 000kilometres

  vehicle-km
  of public passenger transport services or less than 150 000 kilometres

  500 000 vehicle-km
  in the case of a public service contract including public transport by rail. [Am. 47] |
| --- | --- |

(b)

where they concern the annual provision of less than 300 000kilometres

  vehicle-km
  of public passenger transport services or less than 150 000 kilometres

  500 000 vehicle-km
  in the case of a public service contract including public transport by rail. [Am. 47]

| (ba) | where the technical specifications of isolated rail systems in the field of public rail passenger transport differ significantly from the TSI of the main rail network of the respective Member State to which they are not connected. [Am. 75] |
| --- | --- |

(ba)

where the technical specifications of isolated rail systems in the field of public rail passenger transport differ significantly from the TSI of the main rail network of the respective Member State to which they are not connected. [Am. 75]

In the case of a public service contract directly awarded to a small or medium-sized enterprise operating not more than 23 road vehicles, these thresholds may be increased to either an average annual value estimated at less than EUR 2 000 000 or to an annual provision of less than 600 000kilometres

  vehicle-km
  of public passenger transport services.’; [Am. 48]

| (aa) | Paragraph 5 is replaced by the following:




  ‘5.
     
  In the event of a disruption of services or the immediate risk of such a situation, the competent authority may take an emergency measure. A situation of emergency may include the inability of the competent authority to launch in good time a tender procedure for a public service contract and/or to award that contract in good time to an operator. This emergency measure shall take the form of a direct award or a formal agreement to extend a public service contract or a requirement to provide certain public service obligations. The public service operator shall have the right to appeal against the decision to impose the provision of certain public service obligations. The award or extension of a public service contract by emergency measure or the imposition of such a contract shall not exceed two years.’; [Am. 63] |
| --- | --- |

(aa)

Paragraph 5 is replaced by the following:

‘5.
     
  In the event of a disruption of services or the immediate risk of such a situation, the competent authority may take an emergency measure. A situation of emergency may include the inability of the competent authority to launch in good time a tender procedure for a public service contract and/or to award that contract in good time to an operator. This emergency measure shall take the form of a direct award or a formal agreement to extend a public service contract or a requirement to provide certain public service obligations. The public service operator shall have the right to appeal against the decision to impose the provision of certain public service obligations. The award or extension of a public service contract by emergency measure or the imposition of such a contract shall not exceed two years.’; [Am. 63]

| (b) | Paragraph 6 is replaced by the following:
  ‘
  6.
     
  In accordance with Directive 2012/34/EU, and unless prohibited by national law, those
  competent authorities
  which are responsible for establishing public transport plans as referred to in Article 2a
  may decide that, in order to increase competition between railway undertakings, contracts for public passenger transport by rail covering parts of the same network or package of routes shall be awarded to different railway undertakings. To this end the competent authorities may decide before launching the tender procedure to limit the number of contracts to be awarded to the same railway undertaking.

  to proceed to the direct award of public service contracts concerning public rail passenger transport services, subject to the following conditions:










  (a) | the public transport plan contains requirements applicable for the entire duration of the contract concerning the following:








  — | evolution of passenger volumes, |
| --- | --- | --- | --- |

(b)

Paragraph 6 is replaced by the following:

‘
  6.
     
  In accordance with Directive 2012/34/EU, and unless prohibited by national law, those
  competent authorities
  which are responsible for establishing public transport plans as referred to in Article 2a
  may decide that, in order to increase competition between railway undertakings, contracts for public passenger transport by rail covering parts of the same network or package of routes shall be awarded to different railway undertakings. To this end the competent authorities may decide before launching the tender procedure to limit the number of contracts to be awarded to the same railway undertaking.

  to proceed to the direct award of public service contracts concerning public rail passenger transport services, subject to the following conditions:

(a)

the public transport plan contains requirements applicable for the entire duration of the contract concerning the following:

—

evolution of passenger volumes,

| — | punctuality of services, |
| --- | --- |

—

punctuality of services,

| — | cost-efficiency in terms of capital productivity, |
| --- | --- |

—

cost-efficiency in terms of capital productivity,

| — | frequency of train operations, |
| --- | --- |

—

frequency of train operations,

| — | customer satisfaction, |
| --- | --- |

—

customer satisfaction,

| — | quality of rolling stock. |
| --- | --- |

—

quality of rolling stock.

| (b) | the competent authority publishes no later than 18 months before the start of the contract how the requirements set out in point (a) of this paragraph are to be complied with through the direct award of a public service contract and regularly evaluates compliance with these requirements in the annual report referred to in Article 7(1). If a complaint of an interested railway operator or undertaking regarding the direct award of the contract is filed, the regulatory body evaluates the reasons provided by the competent authority and takes a decision no later than two months after the complaint was filed. The regulatory body may also act on its own initiative. |
| --- | --- |

(b)

the competent authority publishes no later than 18 months before the start of the contract how the requirements set out in point (a) of this paragraph are to be complied with through the direct award of a public service contract and regularly evaluates compliance with these requirements in the annual report referred to in Article 7(1). If a complaint of an interested railway operator or undertaking regarding the direct award of the contract is filed, the regulatory body evaluates the reasons provided by the competent authority and takes a decision no later than two months after the complaint was filed. The regulatory body may also act on its own initiative.

| (c) | the regulatory body evaluates no later than 24 months before the end of the current contract whether the requirements set out in point (a) of this paragraph and assessed in accordance with Article 7(1) have been complied with. The competent authority shall provide to the regulatory body all data necessary for its evaluation. |
| --- | --- |

(c)

the regulatory body evaluates no later than 24 months before the end of the current contract whether the requirements set out in point (a) of this paragraph and assessed in accordance with Article 7(1) have been complied with. The competent authority shall provide to the regulatory body all data necessary for its evaluation.

Where the regulatory body concludes that the requirements set out in point (a) of this paragraph have not been complied with, it shall without delay oblige the competent authority to award any new public service contract in accordance with paragraph 3 of this Article.

The decision of the independent regulatory authority shall be binding and immediately applicable.

By way of derogation to Article 4(3), the duration of such contracts shall not exceed nine years.

The Commission shall adopt delegated acts detailing the requirements set out in point (a) of this paragraph.’. [Am. 50]

| 5. | The following Article is inserted:
  ‘Article 5a
  Rolling stock
  1.   Member States

  The competent authorities
  shall, in compliance with State aid rules, take the necessary measures to ensure effective and non-discriminatory access
  conditions
  to suitable rolling stock for public passenger transport by rail for operators wishing to provide public passenger transport services by rail under public service contract. [Am. 51]

  2.   Where rolling stock leasing companies which provide for the leasing of rolling stock referred to in paragraph 1 under non-discriminatory and commercially viable conditions to all of the public rail passenger transport operators concerned do not exist in the relevant market, Member States shall ensure that the residual value risk of the rolling stock is borne by the competent authority in compliance with State aid rules, when operators intending and able to participate in tendering procedures for public service contracts so request in order to be able to participate in tendering procedures.
  The competent authority may comply with the requirement set out in the first subparagraph in one of the following

  various
  ways
  that facilitate economies of scale, such as
  : [Am. 52]







  (a) | by acquiring, itself
  , at market price,
  the rolling stock used for the execution of the public service contract with a view to making it available to the selected public service operator at market price or as part of the public service contract pursuant to Article 4(1)(b), Article 6 and, if applicable, to the Annex, [Am. 53] |
| --- | --- | --- |

5.

The following Article is inserted:

‘Article 5a

Rolling stock

1.   Member States

  The competent authorities
  shall, in compliance with State aid rules, take the necessary measures to ensure effective and non-discriminatory access
  conditions
  to suitable rolling stock for public passenger transport by rail for operators wishing to provide public passenger transport services by rail under public service contract. [Am. 51]

2.   Where rolling stock leasing companies which provide for the leasing of rolling stock referred to in paragraph 1 under non-discriminatory and commercially viable conditions to all of the public rail passenger transport operators concerned do not exist in the relevant market, Member States shall ensure that the residual value risk of the rolling stock is borne by the competent authority in compliance with State aid rules, when operators intending and able to participate in tendering procedures for public service contracts so request in order to be able to participate in tendering procedures.

The competent authority may comply with the requirement set out in the first subparagraph in one of the following

  various
  ways
  that facilitate economies of scale, such as
  : [Am. 52]

(a)

by acquiring, itself
  , at market price,
  the rolling stock used for the execution of the public service contract with a view to making it available to the selected public service operator at market price or as part of the public service contract pursuant to Article 4(1)(b), Article 6 and, if applicable, to the Annex, [Am. 53]

| (b) | by providing a guarantee for the financing of the rolling stock used for the execution of the public service contract at market price or as part of the public service contract pursuant to Article 4(1)(b), Article 6 and, if applicable, to the Annex. Such a guarantee may cover the residual value risk while respecting the relevant state aid rules when applicable, |
| --- | --- |

(b)

by providing a guarantee for the financing of the rolling stock used for the execution of the public service contract at market price or as part of the public service contract pursuant to Article 4(1)(b), Article 6 and, if applicable, to the Annex. Such a guarantee may cover the residual value risk while respecting the relevant state aid rules when applicable,

| (c) | by committing in the public service contract to take over of the rolling stock at the end of the contract at market price, |
| --- | --- |

(c)

by committing in the public service contract to take over of the rolling stock at the end of the contract at market price,

| (ca) | by cooperating with neighbouring local authorities in order to create a larger pool of rolling stock. [Am. 54] |
| --- | --- |

(ca)

by cooperating with neighbouring local authorities in order to create a larger pool of rolling stock. [Am. 54]

3.
     In the cases referred to in points (b) and (c)
  of the second subparagraph of paragraph 2
  , the competent authority shall have the right to require the public service operator to transfer the rolling stock after the expiry of the public service contract to the new operator to whom a contract is awarded. The competent authority may oblige the new public transport operator to take the rolling stock over. The transfer shall be done at market rates. [Am. 55]

3

  4
  .   If the rolling stock is transferred to a new public transport operator the competent authority shall make available in the tender documents detailed information about the cost of maintenance of the rolling stock and about its physical condition.”. [Am. 56]

4.   By [18 months after the date of entry into force of this Regulation] the Commission shall adopt measures setting out the details of the procedure to be followed for the application of paragraphs 2 and 3 of this Article. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 9a(2).’
  [Ams. 57 and 82]

| 6. | In Article 6, paragraph 1 is replaced by the following:
  ‘1.   All compensation connected with a general rule or a public service contract shall comply with Article 4, irrespective of how the contract was awarded. All compensation of whatever nature connected with a public service contract not awarded according to Article 5(3) or connected with a general rule shall also comply with the provisions laid down in the Annex.’. |
| --- | --- |

6.

In Article 6, paragraph 1 is replaced by the following:

‘1.   All compensation connected with a general rule or a public service contract shall comply with Article 4, irrespective of how the contract was awarded. All compensation of whatever nature connected with a public service contract not awarded according to Article 5(3) or connected with a general rule shall also comply with the provisions laid down in the Annex.’.

| 7. | Article 7 is amended as follows:






  (a) | Paragraph 1 is replaced by the following:
  ‘1.   Each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible, the starting date and duration of the public service contracts, the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement.
  The report shall assess performance in terms of compliance and specify all transport service indicators, including punctuality, reliability, cleanness, user satisfaction as measured by public opinion polls, and the minimum capacity utilisation rate.
  The report shall distinguish between bus transport and rail transport, allow the performance, quality and financing of the public transport network to be monitored and assessed and, if appropriate, provide information on the nature and extent of any exclusive rights granted. Member States shall facilitate central access to these reports, for instance through a common web portal.
  The Commission shall prepare a summary of these reports and submit it, in all working languages, to the European Parliament and the Council.
  ’; [Am. 58] |
| --- | --- | --- |

7.

Article 7 is amended as follows:

(a)

Paragraph 1 is replaced by the following:

‘1.   Each competent authority shall make public once a year an aggregated report on the public service obligations for which it is responsible, the starting date and duration of the public service contracts, the selected public service operators and the compensation payments and exclusive rights granted to the said public service operators by way of reimbursement.
  The report shall assess performance in terms of compliance and specify all transport service indicators, including punctuality, reliability, cleanness, user satisfaction as measured by public opinion polls, and the minimum capacity utilisation rate.
  The report shall distinguish between bus transport and rail transport, allow the performance, quality and financing of the public transport network to be monitored and assessed and, if appropriate, provide information on the nature and extent of any exclusive rights granted. Member States shall facilitate central access to these reports, for instance through a common web portal.
  The Commission shall prepare a summary of these reports and submit it, in all working languages, to the European Parliament and the Council.
  ’; [Am. 58]

| (b) | In paragraph 2, the following point is added:






  ‘(d) | the envisaged starting date and duration of the public service contract.’. |
| --- | --- | --- |

(b)

In paragraph 2, the following point is added:

‘(d)

the envisaged starting date and duration of the public service contract.’.

| 8. | Article 8 is amended as follows:






  (a) | The first subparagraph of paragraph 2 is replaced by the following:
  ‘2.   Without prejudice to paragraph 3, the award of public service contracts by rail with the exception of

  concerning transport by road and
  other track-based modes such as metro or tramways
  or tram-train systems
  shall comply with Article 5(3) as from 3 December 2019. All public

  Public
  service contracts by other track-based modes and by road must have been

  concerning public passenger transport by rail shall be
  awarded
  from 3 December 2022
  in compliance with Article 5(3) by 3 December 2019 at the latest.
  By 3 December 2022 the competent authorities responsible for establishing the public transport plans referred to in Article 2a shall be entrusted with all powers necessary for awarding public service contracts in accordance with Article 5.
  During the transitional period running until 3 December 2019

  periods
  , Member States shall take measures to gradually comply with Article 5(3) in order to avoid serious structural problems in particular relating to transport capacity.’; [Am. 59] |
| --- | --- | --- |

8.

Article 8 is amended as follows:

(a)

The first subparagraph of paragraph 2 is replaced by the following:

‘2.   Without prejudice to paragraph 3, the award of public service contracts by rail with the exception of

  concerning transport by road and
  other track-based modes such as metro or tramways
  or tram-train systems
  shall comply with Article 5(3) as from 3 December 2019. All public

  Public
  service contracts by other track-based modes and by road must have been

  concerning public passenger transport by rail shall be
  awarded
  from 3 December 2022
  in compliance with Article 5(3) by 3 December 2019 at the latest.
  By 3 December 2022 the competent authorities responsible for establishing the public transport plans referred to in Article 2a shall be entrusted with all powers necessary for awarding public service contracts in accordance with Article 5.
  During the transitional period running until 3 December 2019

  periods
  , Member States shall take measures to gradually comply with Article 5(3) in order to avoid serious structural problems in particular relating to transport capacity.’; [Am. 59]

| (aa) | In paragraph 2, the following subparagraph is added:

  ‘Within six months after the first half of the transitional periods, Member States shall provide the Commission with a progress report, highlighting the implementation of any gradual award of public service contracts that comply with Article 5. On the basis of the Member States’ progress reports, the Commission may propose appropriate measures addressed to Member States.’; [Am. 60] |
| --- | --- |

(aa)

In paragraph 2, the following subparagraph is added:

| (b) | The following paragraph is inserted:
  ‘2a.   Public service contracts for public passenger transport by rail
  that do not comply with Article 5,
  directly awarded between 1 January 2013 and 2

  before


  3
  December 2019

  2022,

  may continue until their expiry date. However they shall, in any event, not continue after 31 December 2022."

  expire at the latest on ...

   (*2).’; [Am. 61]


  (*2)  
  10 years after the entry into force of this Regulation (i.e. of the amending act — 2013/0028(COD))
  " |
| --- | --- |

(b)

The following paragraph is inserted:

‘2a.   Public service contracts for public passenger transport by rail
  that do not comply with Article 5,
  directly awarded between 1 January 2013 and 2

  before


  3
  December 2019

  2022,

  may continue until their expiry date. However they shall, in any event, not continue after 31 December 2022."

  expire at the latest on ...

   (*2).’; [Am. 61]

(*2)  
  10 years after the entry into force of this Regulation (i.e. of the amending act — 2013/0028(COD))
  "

| (c) | In paragraph 3, the last sentence of the second subparagraph is replaced by the following:
  ‘The contracts referred to in (d) may continue until they expire, provided they are of limited duration similar to the durations specified in Article 4.’. |
| --- | --- |

(c)

In paragraph 3, the last sentence of the second subparagraph is replaced by the following:

‘The contracts referred to in (d) may continue until they expire, provided they are of limited duration similar to the durations specified in Article 4.’.

| 9. | The following Article is inserted:
  ‘Article 9a
  Committee procedure
  1.   The Commission shall be assisted by the Single European Railway Area Committee established by Article 62 of Directive 2012/34/EU. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council (*3).
  2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

  (*3)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).’." |
| --- | --- |

9.

The following Article is inserted:

‘Article 9a

Committee procedure

1.   The Commission shall be assisted by the Single European Railway Area Committee established by Article 62 of Directive 2012/34/EU. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council (*3).

2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

(*3)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).’."

Article 2

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
  It shall be made available in the form of a text consolidated with Regulation (EC) No 1370/2007, which it shall amend within three months of its publication. [Am. 62]

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122.

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  White Paper: Roadmap to a Single European Transport Area — Towards a competitive and resource efficient transport system; COM(2011)0144.

4

(5)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

5

(6)  Council Regulation (EU) No .../... amending Council Regulation (EC) No 994/98 of 7 May 1998 on the application of Articles 92 and 93 of the Treaty establishing the European Community to certain categories of horizontal State aid and Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road, COM(2012)0730 of 5.12.2012

6

(7)  Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243).

7

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/432 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/432

---

P7_TA(2014)0149

Interoperability of the rail system ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the interoperability of the rail system within the European Union (recast) (COM(2013)0030 — C7-0027/2013 — 2013/0015(COD))

(Ordinary legislative procedure — recast)

(2017/C 285/54)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0030), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0030),

| — | having regard to Article 294(2) and Articles 91(1), 170 and 171 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0027/2013), |
| --- | --- |

—

having regard to Article 294(2) and Articles 91(1), 170 and 171 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0027/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Seimas of the Republic of Lithuania and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Seimas of the Republic of Lithuania and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 7 October 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 7 October 2013 (2),

| — | having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3),

| — | having regard to the letter of 16 December 2013 from the Committee on Legal Affairs to the Committee on Transport and Tourism in accordance with Rule 87(3) of its Rules of Procedure, |
| --- | --- |

—

having regard to the letter of 16 December 2013 from the Committee on Legal Affairs to the Committee on Transport and Tourism in accordance with Rule 87(3) of its Rules of Procedure,

| — | having regard to Rules 87 and 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 87 and 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism and the opinion of the Committee on Regional Development (A7-0033/2014), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism and the opinion of the Committee on Regional Development (A7-0033/2014),

| A. | whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
| --- | --- |

A.

whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

| 1. | Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

(3)  OJ C 77, 28.3.2002, p. 1.

---

P7_TC1-COD(2013)0015

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the interoperability of the rail system within the European Union (Recast)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 91(1), 170 and 171 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | Directive 2008/57/EC of the European Parliament and of the Council (4) has been substantially amended several times. Since further amendments are to be made, that Directive should be recast in the interests of clarity. |
| --- | --- |

(1)

Directive 2008/57/EC of the European Parliament and of the Council (4) has been substantially amended several times. Since further amendments are to be made, that Directive should be recast in the interests of clarity.

| (2) | In order to enable citizens of the Union, economic operators and regional and local authorities to benefit to the full from the advantages deriving from the establishing of an area without internal frontiers
  and to attain the objective of territorial cohesion
  , it is appropriate, in particular, to improve the interlinking and interoperability of the national rail networks as well as access thereto,
  including for passengers with disabilities,
  implementing any measures that may prove necessary in the field of technical standardisation. [Am. 1] |
| --- | --- |

(2)

In order to enable citizens of the Union, economic operators and regional and local authorities to benefit to the full from the advantages deriving from the establishing of an area without internal frontiers
  and to attain the objective of territorial cohesion
  , it is appropriate, in particular, to improve the interlinking and interoperability of the national rail networks as well as access thereto,
  including for passengers with disabilities,
  implementing any measures that may prove necessary in the field of technical standardisation. [Am. 1]

| (3) | The pursuit of interoperability within the Union's rail system should lead to the definition of an optimal level of technical harmonisation and make it possible to facilitate, improve and develop international rail transport services within the Union and with third countries and contribute to the progressive creation of the internal market in equipment and services for the construction, renewal, upgrading and operation of the rail system within the Union. [Am. 2] |
| --- | --- |

(3)

The pursuit of interoperability within the Union's rail system should lead to the definition of an optimal level of technical harmonisation and make it possible to facilitate, improve and develop international rail transport services within the Union and with third countries and contribute to the progressive creation of the internal market in equipment and services for the construction, renewal, upgrading and operation of the rail system within the Union. [Am. 2]

| (4) | The commercial operation of trains throughout the rail network requires in particular excellent compatibility between the characteristics of the infrastructure and those of the vehicles, as well as efficient interconnection of the information and, communication
  and ticketing
  systems of the different infrastructure managers and railway undertakings. Performance levels, safety, quality of service and cost depend upon such compatibility and interconnection, as does, in particular, the interoperability of the rail system. [Am. 3] |
| --- | --- |

(4)

The commercial operation of trains throughout the rail network requires in particular excellent compatibility between the characteristics of the infrastructure and those of the vehicles, as well as efficient interconnection of the information and, communication
  and ticketing
  systems of the different infrastructure managers and railway undertakings. Performance levels, safety, quality of service and cost depend upon such compatibility and interconnection, as does, in particular, the interoperability of the rail system. [Am. 3]

| (5) | The railway regulatory framework should set clear responsibilities for ensuring compliance with the safety, health
  , social
  and consumer protection rules applying to the railway networks. [Am. 4] |
| --- | --- |

(5)

The railway regulatory framework should set clear responsibilities for ensuring compliance with the safety, health
  , social
  and consumer protection rules applying to the railway networks. [Am. 4]

| (6) | There are major differences between national regulations, internal rules and technical specifications applicable to rail systems, subsystems and components, since they incorporate techniques that are specific to the national industries and prescribe specific dimensions and devices and special characteristics. This situation prevents trains from being able to run without hindrance throughout the Union
  and from reaping the benefits of standardisation and economies of scale in the single market
  . [Am. 5] |
| --- | --- |

(6)

There are major differences between national regulations, internal rules and technical specifications applicable to rail systems, subsystems and components, since they incorporate techniques that are specific to the national industries and prescribe specific dimensions and devices and special characteristics. This situation prevents trains from being able to run without hindrance throughout the Union
  and from reaping the benefits of standardisation and economies of scale in the single market
  . [Am. 5]

| (7) | Over the years, this situation has created very close links between the national railway industries and the national railways, to the detriment of a genuine opening-up of markets allowing new entrants to emerge. In order to enhance their competitiveness at world level, these industries require an open, competitive European market. |
| --- | --- |

(7)

Over the years, this situation has created very close links between the national railway industries and the national railways, to the detriment of a genuine opening-up of markets allowing new entrants to emerge. In order to enhance their competitiveness at world level, these industries require an open, competitive European market.

| (8) | It is therefore appropriate to define essential requirements related to rail interoperability for the whole of the Union which should apply to its rail system. |
| --- | --- |

(8)

It is therefore appropriate to define essential requirements related to rail interoperability for the whole of the Union which should apply to its rail system.

| (9) | The development of technical specifications for interoperability (TSIs) has shown the need to clarify the relationship between the essential requirements and the TSIs on the one hand, and the European standards and other documents of a normative nature on the other. In particular, a clear distinction should be drawn between the standards or parts of standards which should be made mandatory in order to achieve the objectives of this Directive, and the ‘harmonised standards’ that have been developed in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (5). Where strictly necessary, the TSIs may make an explicit reference to European standards or specifications, which become mandatory from the moment the TSI is applicable. |
| --- | --- |

(9)

The development of technical specifications for interoperability (TSIs) has shown the need to clarify the relationship between the essential requirements and the TSIs on the one hand, and the European standards and other documents of a normative nature on the other. In particular, a clear distinction should be drawn between the standards or parts of standards which should be made mandatory in order to achieve the objectives of this Directive, and the ‘harmonised standards’ that have been developed in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (5). Where strictly necessary, the TSIs may make an explicit reference to European standards or specifications, which become mandatory from the moment the TSI is applicable.

| (10) | In order to genuinely increase the competitiveness of the Union railway sector without distorting competition between key actors of the rail system, the TSIs, should be drafted by respecting the principles of openness, consensus and transparency as defined in Annex II to Regulation (EU) No 1025/2012. |
| --- | --- |

(10)

In order to genuinely increase the competitiveness of the Union railway sector without distorting competition between key actors of the rail system, the TSIs, should be drafted by respecting the principles of openness, consensus and transparency as defined in Annex II to Regulation (EU) No 1025/2012.

| (11) | The quality of rail services in the Union depends, inter alia, on excellent compatibility between the characteristics of the network in the broadest sense, including the fixed parts of all the subsystems concerned and those of the vehicles including the onboard components of all the subsystems concerned. Performance levels, safety, quality of service and cost depend upon that compatibility. |
| --- | --- |

(11)

The quality of rail services in the Union depends, inter alia, on excellent compatibility between the characteristics of the network in the broadest sense, including the fixed parts of all the subsystems concerned and those of the vehicles including the onboard components of all the subsystems concerned. Performance levels, safety, quality of service and cost depend upon that compatibility.

| (12) | A TSI sets all the conditions with which an interoperability constituent should conform, and the procedure to be followed in assessing conformity. In addition, it is necessary to specify that every constituent should undergo the procedure for assessing conformity and suitability for the use indicated in the TSIs, and have the corresponding certificate. |
| --- | --- |

(12)

A TSI sets all the conditions with which an interoperability constituent should conform, and the procedure to be followed in assessing conformity. In addition, it is necessary to specify that every constituent should undergo the procedure for assessing conformity and suitability for the use indicated in the TSIs, and have the corresponding certificate.

| (13) | When developing new TSIs the aim should always be to ensure compatibility with the existing system. This will help to promote the competitiveness of rail transport and prevent unnecessary additional costs through the requirement of upgrading or renewal of existing subsystems to ensure backward compatibility. In those exceptional cases where it will not be possible to ensure compatibility, TSIs may establish the framework necessary to decide whether the existing subsystem needs a new decision or authorisation for placing in service, and the corresponding deadlines. |
| --- | --- |

(13)

When developing new TSIs the aim should always be to ensure compatibility with the existing system. This will help to promote the competitiveness of rail transport and prevent unnecessary additional costs through the requirement of upgrading or renewal of existing subsystems to ensure backward compatibility. In those exceptional cases where it will not be possible to ensure compatibility, TSIs may establish the framework necessary to decide whether the existing subsystem needs a new decision or authorisation for placing in service, and the corresponding deadlines.

| (14) | It is necessary for safety reasons to assign an identification code to each vehicle placed in service. The vehicle should then be entered in a national vehicle register. The registers should be open to consultation by all Member States and by certain economic players within the Union. The national vehicle registers should be consistent as regards the data format. They should therefore be covered by common operational and technical specifications. |
| --- | --- |

(14)

It is necessary for safety reasons to assign an identification code to each vehicle placed in service. The vehicle should then be entered in a national vehicle register. The registers should be open to consultation by all Member States and by certain economic players within the Union. The national vehicle registers should be consistent as regards the data format. They should therefore be covered by common operational and technical specifications.

| (15) | If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in a TSI, such aspects which need still to be addressed are identified in an annex to the TSI as open points. For these open points, pending the completion of the TSI, national rules apply. |
| --- | --- |

(15)

If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in a TSI, such aspects which need still to be addressed are identified in an annex to the TSI as open points. For these open points, pending the completion of the TSI, national rules apply.

| (16) | The procedure to be followed in the case of essential requirements applicable to a subsystem which have not yet been covered in the corresponding TSI should be specified. In such case, the bodies responsible for the conformity assessment and verification procedures should be the notified bodies referred to in Article 17 of Directive 2008/57/EC. |
| --- | --- |

(16)

The procedure to be followed in the case of essential requirements applicable to a subsystem which have not yet been covered in the corresponding TSI should be specified. In such case, the bodies responsible for the conformity assessment and verification procedures should be the notified bodies referred to in Article 17 of Directive 2008/57/EC.

| (17) | Directive 2008/57/EC applies to the entire rail system within the Union and the scope of the TSIs is being extended to cover also the vehicles and networks not included in the trans-European rail system. Therefore, Annex I should be simplified by removing specific references to the trans-European rail system. |
| --- | --- |

(17)

Directive 2008/57/EC applies to the entire rail system within the Union and the scope of the TSIs is being extended to cover also the vehicles and networks not included in the trans-European rail system. Therefore, Annex I should be simplified by removing specific references to the trans-European rail system.

| (18) | The functional and technical specifications to be met by the subsystems and their interfaces may vary according to the use of subsystems, for example according to the categories of lines and vehicles. |
| --- | --- |

(18)

The functional and technical specifications to be met by the subsystems and their interfaces may vary according to the use of subsystems, for example according to the categories of lines and vehicles.

| (19) | In order to ensure the progressive implementation of rail interoperability within the whole Union and gradually reduce the diversity of legacy systems, the TSIs should specify the provisions to be applied in the event of renewal or upgrading of existing subsystems and may specify deadlines for achieving the target system. |
| --- | --- |

(19)

In order to ensure the progressive implementation of rail interoperability within the whole Union and gradually reduce the diversity of legacy systems, the TSIs should specify the provisions to be applied in the event of renewal or upgrading of existing subsystems and may specify deadlines for achieving the target system.

| (20) | In view of the gradual approach to eliminating obstacles to the interoperability of the rail system and of the time consequently required for the adoption of TSIs, steps should be taken to avoid a situation where Member States adopt new national rules or undertake projects that increase the diversity of the present system. |
| --- | --- |

(20)

In view of the gradual approach to eliminating obstacles to the interoperability of the rail system and of the time consequently required for the adoption of TSIs, steps should be taken to avoid a situation where Member States adopt new national rules or undertake projects that increase the diversity of the present system.

| (21) | In order to eliminate the obstacles to interoperability, and as a consequence of extending the scope of the TSIs to the whole Union's rail system, the amount of national rules should progressively be reduced. National rules should be differentiated between rules strictly related to local requirements and rules needed to cover open points in TSIs. The second type of rules should progressively be removed as a result of closure of open points in the TSIs. |
| --- | --- |

(21)

In order to eliminate the obstacles to interoperability, and as a consequence of extending the scope of the TSIs to the whole Union's rail system, the amount of national rules should progressively be reduced. National rules should be differentiated between rules strictly related to local requirements and rules needed to cover open points in TSIs. The second type of rules should progressively be removed as a result of closure of open points in the TSIs.

| (22) | The adoption of a gradual approach satisfies the special needs of the objective of the interoperability of the rail system, which is characterised by old national infrastructure and vehicles requiring heavy investment for adaptation or renewal, and particular care should be taken not to penalise rail economically vis-à-vis other modes of transport. |
| --- | --- |

(22)

The adoption of a gradual approach satisfies the special needs of the objective of the interoperability of the rail system, which is characterised by old national infrastructure and vehicles requiring heavy investment for adaptation or renewal, and particular care should be taken not to penalise rail economically vis-à-vis other modes of transport.

| (23) | In view of the extent and complexity of the rail system, it has proved necessary, for practical reasons, to break it down into the following subsystems: infrastructure, trackside control-command and signalling, on-board control-command and signalling, energy, rolling stock, operation and traffic management, maintenance and telematics applications for passenger and freight services. For each of these subsystems the essential requirements must be specified and the technical specifications determined, particularly in respect of constituents and interfaces, in order to meet these essential requirements. The same system is broken down into fixed and mobile elements comprising, on the one hand, the network, composed of the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the system and, on the other hand, all vehicles travelling on this network. Therefore, for the purposes of this Directive, a vehicle is composed of one subsystem (rolling stock) and where applicable other subsystems (mainly the on-board control-command and signalling subsystem).
  Although the system is divided into several elements, the European Union Agency for Railways (‘the Agency’) should retain an overview of the system, in order to guarantee safety and interoperability. [Am. 6] |
| --- | --- |

(23)

In view of the extent and complexity of the rail system, it has proved necessary, for practical reasons, to break it down into the following subsystems: infrastructure, trackside control-command and signalling, on-board control-command and signalling, energy, rolling stock, operation and traffic management, maintenance and telematics applications for passenger and freight services. For each of these subsystems the essential requirements must be specified and the technical specifications determined, particularly in respect of constituents and interfaces, in order to meet these essential requirements. The same system is broken down into fixed and mobile elements comprising, on the one hand, the network, composed of the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the system and, on the other hand, all vehicles travelling on this network. Therefore, for the purposes of this Directive, a vehicle is composed of one subsystem (rolling stock) and where applicable other subsystems (mainly the on-board control-command and signalling subsystem).
  Although the system is divided into several elements, the European Union Agency for Railways (‘the Agency’) should retain an overview of the system, in order to guarantee safety and interoperability. [Am. 6]

| (24) | The United Nations Convention on the Rights of Persons with Disabilities to which the Union is a party establishes accessibility as one of its general principles and requires States Parties to take appropriate measures to ensure to persons with disabilities access on an equal basis with others, including by developing, promulgating and monitoring the implementation of minimum standards and guidelines for accessibility. Accessibility
  for persons with disabilities and persons with reduced mobility
  is therefore an important requirement for the interoperability of the rail system
  , in line with Union legislation on passengers with reduced mobility
  . [Am. 7] |
| --- | --- |

(24)

The United Nations Convention on the Rights of Persons with Disabilities to which the Union is a party establishes accessibility as one of its general principles and requires States Parties to take appropriate measures to ensure to persons with disabilities access on an equal basis with others, including by developing, promulgating and monitoring the implementation of minimum standards and guidelines for accessibility. Accessibility
  for persons with disabilities and persons with reduced mobility
  is therefore an important requirement for the interoperability of the rail system
  , in line with Union legislation on passengers with reduced mobility
  . [Am. 7]

| (25) | Implementation of the provisions on the interoperability of the rail system should not create unjustified barriers in cost-benefit terms to the preservation of the existing rail network of each Member State, but should endeavour to retain the objective of interoperability. |
| --- | --- |

(25)

Implementation of the provisions on the interoperability of the rail system should not create unjustified barriers in cost-benefit terms to the preservation of the existing rail network of each Member State, but should endeavour to retain the objective of interoperability.

| (26) | TSIs also have an impact on the conditions of use of rail transport by users, and it is therefore necessary to consult these users on aspects concerning them
  , including organisations of persons with disabilities
  . [Am. 8] |
| --- | --- |

(26)

TSIs also have an impact on the conditions of use of rail transport by users, and it is therefore necessary to consult these users on aspects concerning them
  , including organisations of persons with disabilities
  . [Am. 8]

| (27) | Each Member State concerned should be allowed not to apply certain TSIs in a limited number of duly substantiated situations. These situations and the procedures to be followed in case of non-application of the TSI should be clearly defined. |
| --- | --- |

(27)

Each Member State concerned should be allowed not to apply certain TSIs in a limited number of duly substantiated situations. These situations and the procedures to be followed in case of non-application of the TSI should be clearly defined.

| (28) | The drawing up of TSIs and their application to the rail system should not impede technological innovation, which should be directed towards improving economic performance. |
| --- | --- |

(28)

The drawing up of TSIs and their application to the rail system should not impede technological innovation, which should be directed towards improving economic performance.

| (29) | To comply with the appropriate provisions on procurement procedures in the rail sector and in particular Directive 2004/17/EC of the European Parliament and of the Council (6), the contracting entities should include technical specifications in the general documents or in the terms and conditions for each contract. To this end it is necessary to build up a set of rules in order to serve as references for these technical specifications. |
| --- | --- |

(29)

To comply with the appropriate provisions on procurement procedures in the rail sector and in particular Directive 2004/17/EC of the European Parliament and of the Council (6), the contracting entities should include technical specifications in the general documents or in the terms and conditions for each contract. To this end it is necessary to build up a set of rules in order to serve as references for these technical specifications.

| (30) | An international system of standardisation capable of generating standards which are actually used by those involved in international trade and which meet the requirements of the Union policy would be in the Union’s interest. The European standardisation organisations should therefore continue their cooperation with the international standardisation bodies. |
| --- | --- |

(30)

An international system of standardisation capable of generating standards which are actually used by those involved in international trade and which meet the requirements of the Union policy would be in the Union’s interest. The European standardisation organisations should therefore continue their cooperation with the international standardisation bodies.

| (31) | The contracting entities are to define the further requirements needed to complete European specifications or other standards. These specifications should meet the essential requirements that have been harmonised at Union level and which the rail system must satisfy. |
| --- | --- |

(31)

The contracting entities are to define the further requirements needed to complete European specifications or other standards. These specifications should meet the essential requirements that have been harmonised at Union level and which the rail system must satisfy.

| (32) | The procedures governing the assessment of conformity or of suitability of use of constituents should be based on the use of the modules covered by Commission Decision 2010/713/EU (7). As far as possible and in order to promote industrial development, it is appropriate to draw up the procedures involving a system of quality assurance. |
| --- | --- |

(32)

The procedures governing the assessment of conformity or of suitability of use of constituents should be based on the use of the modules covered by Commission Decision 2010/713/EU (7). As far as possible and in order to promote industrial development, it is appropriate to draw up the procedures involving a system of quality assurance.

| (33) | Conformity of constituents is mainly linked to their area of use in order to guarantee the interoperability of the system and not only their free movement on the Union market. The suitability for use of the most critical constituents as regards safety, availability or system economy should be assessed. It is therefore not necessary for a manufacturer to affix the CE marking to constituents that are subject to the provisions of this Directive. On the basis of the assessment of conformity and/or suitability for use, the manufacturer’s declaration of conformity should be sufficient. |
| --- | --- |

(33)

Conformity of constituents is mainly linked to their area of use in order to guarantee the interoperability of the system and not only their free movement on the Union market. The suitability for use of the most critical constituents as regards safety, availability or system economy should be assessed. It is therefore not necessary for a manufacturer to affix the CE marking to constituents that are subject to the provisions of this Directive. On the basis of the assessment of conformity and/or suitability for use, the manufacturer’s declaration of conformity should be sufficient.

| (34) | Manufacturers are nonetheless obliged to affix the CE marking to certain components in order to certify their compliance with other Union provisions relating to them. |
| --- | --- |

(34)

Manufacturers are nonetheless obliged to affix the CE marking to certain components in order to certify their compliance with other Union provisions relating to them.

| (35) | When a TSI enters into force, a number of interoperability constituents are already on the market. A transitional period should be provided for so that these constituents can be integrated into a subsystem, even if they do not strictly conform to that TSI. |
| --- | --- |

(35)

When a TSI enters into force, a number of interoperability constituents are already on the market. A transitional period should be provided for so that these constituents can be integrated into a subsystem, even if they do not strictly conform to that TSI.

| (36) | The subsystems constituting the rail system should be subject to a verification procedure. This verification should enable the entities responsible for their placing in service to be certain that, at the design, construction and putting into service stages, the result is in line with the regulations and technical and operational provisions in force. It should also enable manufacturers to be able to count upon equality of treatment whatever the Member State. |
| --- | --- |

(36)

The subsystems constituting the rail system should be subject to a verification procedure. This verification should enable the entities responsible for their placing in service to be certain that, at the design, construction and putting into service stages, the result is in line with the regulations and technical and operational provisions in force. It should also enable manufacturers to be able to count upon equality of treatment whatever the Member State.

| (37) | After a subsystem is placed in service, care should be taken to ensure that it is operated and maintained in accordance with the essential requirements relating to it. Under Directive .../.../EU of the European Parliament and of the Council [Railway Safety Directive] (8), responsibility for meeting these requirements lies, for their respective subsystems, with the infrastructure manager or the railway undertaking. |
| --- | --- |

(37)

After a subsystem is placed in service, care should be taken to ensure that it is operated and maintained in accordance with the essential requirements relating to it. Under Directive .../.../EU of the European Parliament and of the Council [Railway Safety Directive] (8), responsibility for meeting these requirements lies, for their respective subsystems, with the infrastructure manager or the railway undertaking.

| (38) | The procedure for placing in service of vehicles and fixed installations should be clarified taking into account the responsibilities of infrastructure managers and railway undertakings. |
| --- | --- |

(38)

The procedure for placing in service of vehicles and fixed installations should be clarified taking into account the responsibilities of infrastructure managers and railway undertakings.

| (39) | In order to facilitate the placing in service of vehicles and reduce administrative burdens, the notion of a vehicle authorisation for placing on the market valid throughout the Union should be introduced as a precondition to enable railway undertakings to place in service a vehicle. In addition, this notion is more in line with Decision No 768/2008/EC of the European Parliament and of the Council (9). |
| --- | --- |

(39)

In order to facilitate the placing in service of vehicles and reduce administrative burdens, the notion of a vehicle authorisation for placing on the market valid throughout the Union should be introduced as a precondition to enable railway undertakings to place in service a vehicle. In addition, this notion is more in line with Decision No 768/2008/EC of the European Parliament and of the Council (9).

| (39a) | In order to create the single European railway area, reduce the costs and duration of authorisation procedures and improve railway safety, authorisation procedures need to be streamlined and harmonised at Union level. This requires a clear distribution of tasks and responsibilities between the Agency and the national safety authorities during the transitional period.




  The Agency should use the valuable expertise, local knowledge and experience of national safety authorities. It should delegate specific tasks and responsibilities to national safety authorities on the basis of contractual agreements as referred to in Article 22a but should take the final decision in all authorisation procedures. [Am. 9] |
| --- | --- |

(39a)

In order to create the single European railway area, reduce the costs and duration of authorisation procedures and improve railway safety, authorisation procedures need to be streamlined and harmonised at Union level. This requires a clear distribution of tasks and responsibilities between the Agency and the national safety authorities during the transitional period.

The Agency should use the valuable expertise, local knowledge and experience of national safety authorities. It should delegate specific tasks and responsibilities to national safety authorities on the basis of contractual agreements as referred to in Article 22a but should take the final decision in all authorisation procedures. [Am. 9]

| (40) | To ensure traceability of the vehicles and their history, the references of the vehicle authorisations for placing on the market should be recorded together with the other vehicle data. [Am. 10] |
| --- | --- |

(40)

To ensure traceability of the vehicles and their history, the references of the vehicle authorisations for placing on the market should be recorded together with the other vehicle data. [Am. 10]

| (41) | The TSIs should specify the procedures for checking the compatibility between vehicles and network after the delivery of the vehicle authorisation for placing on the market and before the decision to place into service

  start of a new operation
  . [Am. 11] |
| --- | --- |

(41)

The TSIs should specify the procedures for checking the compatibility between vehicles and network after the delivery of the vehicle authorisation for placing on the market and before the decision to place into service

  start of a new operation
  . [Am. 11]

| (42) | To help railway undertakings decide on the placing into service of a vehicle and to avoid redundant verifications and unnecessary administrative burden, national rules should also be classified to establish the equivalence between national rules of different Member States covering the same topics. |
| --- | --- |

(42)

To help railway undertakings decide on the placing into service of a vehicle and to avoid redundant verifications and unnecessary administrative burden, national rules should also be classified to establish the equivalence between national rules of different Member States covering the same topics.

| (43) | The notified bodies responsible for examining the procedures for conformity assessment and suitability for the use of constituents, together with the procedure for the assessment of subsystems should, in particular in the absence of any European specification, coordinate their decisions as closely as possible. |
| --- | --- |

(43)

The notified bodies responsible for examining the procedures for conformity assessment and suitability for the use of constituents, together with the procedure for the assessment of subsystems should, in particular in the absence of any European specification, coordinate their decisions as closely as possible.

| (44) | Transparent accreditation as provided for in Regulation (EC) No 765/2008 of the European Parliament and of the Council (10), ensuring the necessary level of confidence in conformity certificates, should be considered by the national public authorities throughout the Union the preferred means of demonstrating the technical competence of notified and, mutatis mutandis, the bodies designated to check the compliance with national rules. However, national authorities may consider that they possess the appropriate means of carrying out this evaluation themselves. In such cases, in order to ensure the appropriate level of credibility of evaluations carried out by other national authorities, they should provide the Commission and the other Member States with the necessary documentary evidence demonstrating the compliance of the conformity assessment bodies evaluated with the relevant regulatory requirements. |
| --- | --- |

(44)

Transparent accreditation as provided for in Regulation (EC) No 765/2008 of the European Parliament and of the Council (10), ensuring the necessary level of confidence in conformity certificates, should be considered by the national public authorities throughout the Union the preferred means of demonstrating the technical competence of notified and, mutatis mutandis, the bodies designated to check the compliance with national rules. However, national authorities may consider that they possess the appropriate means of carrying out this evaluation themselves. In such cases, in order to ensure the appropriate level of credibility of evaluations carried out by other national authorities, they should provide the Commission and the other Member States with the necessary documentary evidence demonstrating the compliance of the conformity assessment bodies evaluated with the relevant regulatory requirements.

| (45) | This Directive should be limited to establishing the interoperability requirements for interoperability constituents and subsystems. In order to facilitate compliance with those requirements it is necessary to provide for presumption of conformity for interoperability constituents and subsystems which are in conformity with harmonised standards that are adopted in accordance with Regulation (EU) No 1025/2012 for the purpose of expressing detailed technical specifications of those requirements. |
| --- | --- |

(45)

This Directive should be limited to establishing the interoperability requirements for interoperability constituents and subsystems. In order to facilitate compliance with those requirements it is necessary to provide for presumption of conformity for interoperability constituents and subsystems which are in conformity with harmonised standards that are adopted in accordance with Regulation (EU) No 1025/2012 for the purpose of expressing detailed technical specifications of those requirements.

| (46) | The TSIs should be revised at regular intervals. When deficiencies are discovered in the TSIs, the Agency should be asked to issue an opinion which, under certain conditions, might be published and used by all stakeholders (including industry and notified bodies) as an acceptable means of compliance pending the revision of the TSIs concerned. |
| --- | --- |

(46)

The TSIs should be revised at regular intervals. When deficiencies are discovered in the TSIs, the Agency should be asked to issue an opinion which, under certain conditions, might be published and used by all stakeholders (including industry and notified bodies) as an acceptable means of compliance pending the revision of the TSIs concerned.

| (46a) | Regulatory measures should be complemented by initiatives aimed at providing financial support to innovative and interoperable technologies in the rail sector, such as the ‘Shift2Rail’ project. [Am. 12] |
| --- | --- |

(46a)

Regulatory measures should be complemented by initiatives aimed at providing financial support to innovative and interoperable technologies in the rail sector, such as the ‘Shift2Rail’ project. [Am. 12]

| (47) | Since the objective of this Directive, namely interoperability within the rail system on a Union -wide scale, cannot be sufficiently achieved by the Member States acting alone, since no individual Member State is in a position to take the action needed in order to achieve such interoperability and can therefore be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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 that objective. |
| --- | --- |

(47)

Since the objective of this Directive, namely interoperability within the rail system on a Union -wide scale, cannot be sufficiently achieved by the Member States acting alone, since no individual Member State is in a position to take the action needed in order to achieve such interoperability and can therefore be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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 that objective.

| (48) | In order to amend non-essential elements of this Directive, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the adaptation to technical progress of Annex II regarding the breakdown of the rail system into subsystems and to the description of these subsystems, the content of the TSIs and the amendments to TSIs, including those amendments needed to remedy TSIs deficiencies
  , the scope and the content of the ‘EC’ declaration of conformity and suitability for use of interoperability constituents, the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules
  . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council. [Am. 13] |
| --- | --- |

(48)

In order to amend non-essential elements of this Directive, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the adaptation to technical progress of Annex II regarding the breakdown of the rail system into subsystems and to the description of these subsystems, the content of the TSIs and the amendments to TSIs, including those amendments needed to remedy TSIs deficiencies
  , the scope and the content of the ‘EC’ declaration of conformity and suitability for use of interoperability constituents, the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules
  . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council. [Am. 13]

| (49) | In order to address the deficiencies discovered in TSIs, the Commission should adopt delegated acts amending those TSIs under the urgency procedure. |
| --- | --- |

(49)

In order to address the deficiencies discovered in TSIs, the Commission should adopt delegated acts amending those TSIs under the urgency procedure.

| (50) | In order to ensure the implementation of Article 6(1) of this Directive concerning the mandate to the Agency to draft TSIs and their amendments and to make the relevant recommendations to the Commission, implementing powers should be conferred on the Commission. |
| --- | --- |

(50)

In order to ensure the implementation of Article 6(1) of this Directive concerning the mandate to the Agency to draft TSIs and their amendments and to make the relevant recommendations to the Commission, implementing powers should be conferred on the Commission.

| (51) | In order to ensure uniform conditions for the implementation of this Directive, implementing powers should be conferred on the Commission relating to: the content of the file which shall accompany the request of non-application of one or more TSIs or parts of them, the details, the format and the transmission modalities of that file; the scope and the content of

  the format and the details of the information included in
  the EC declaration of conformity and suitability for use of interoperability constituents, its format and the details of the information included in it; the classification of the notified national rules in different groups with the aim of facilitating the compatibility checks between fixed and mobile equipment; the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules; the templates for the ‘EC’ declaration of verification and for the declaration of verification in the case of national rules and templates for documents of the technical file that has to accompany the declaration of verification; the common specifications relating to content, data format, functional and technical architecture, operating mode and rules for data input and consultation for the register of infrastructure. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (11). [Am. 14] |
| --- | --- |

(51)

In order to ensure uniform conditions for the implementation of this Directive, implementing powers should be conferred on the Commission relating to: the content of the file which shall accompany the request of non-application of one or more TSIs or parts of them, the details, the format and the transmission modalities of that file; the scope and the content of

  the format and the details of the information included in
  the EC declaration of conformity and suitability for use of interoperability constituents, its format and the details of the information included in it; the classification of the notified national rules in different groups with the aim of facilitating the compatibility checks between fixed and mobile equipment; the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules; the templates for the ‘EC’ declaration of verification and for the declaration of verification in the case of national rules and templates for documents of the technical file that has to accompany the declaration of verification; the common specifications relating to content, data format, functional and technical architecture, operating mode and rules for data input and consultation for the register of infrastructure. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (11). [Am. 14]

| (52) | In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified. |
| --- | --- |

(52)

In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified.

| (53) | The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directive. The obligation to transpose the provisions which are unchanged arises under the earlier Directive. |
| --- | --- |

(53)

The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directive. The obligation to transpose the provisions which are unchanged arises under the earlier Directive.

| (54) | This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex IV, part B, |
| --- | --- |

(54)

This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex IV, part B,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter and scope

1.   This Directive establishes the conditions to be met to achieve interoperability within the Union’s rail system in a manner compatible with the provisions of Directive .../.../EU [Railway Safety Directive]. These conditions concern the design, construction, placing in service, upgrading, renewal, operation and maintenance of the parts of this system as well as the professional qualifications and health and safety conditions of the staff who contribute to its operation and maintenance.
  The pursuit of that objective necessarily entails the determination of an optimum level of technical harmonisation, making it possible to contribute to the progressive creation of the internal market in equipment and services for the construction, renewal, upgrading and operation of the rail system in the Union. [Am. 15]

2.   This Directive lays down the provisions relating to, for each subsystem, the interoperability constituents, the interfaces and procedures as well as the conditions of overall compatibility of the rail system required to achieve its interoperability.

3.   The following systems are excluded

  Member States may exclude
  from the scope of
  the measures implementing
  this Directive: [Am. 16]

| (a) | metros, trams
  , tram-trains
  and light rail systems; [Am. 17] |
| --- | --- |

(a)

metros, trams
  , tram-trains
  and light rail systems; [Am. 17]

| (b) | networks that are functionally separate from the rest of the rail system and intended only for the operation of local, urban or suburban passenger services, as well as railway undertakings operating solely on these networks; |
| --- | --- |

(b)

networks that are functionally separate from the rest of the rail system and intended only for the operation of local, urban or suburban passenger services, as well as railway undertakings operating solely on these networks;

| (ba) | privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations; [Am. 19] |
| --- | --- |

(ba)

privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations; [Am. 19]

| (bb) | infrastructure and vehicles reserved for a strictly local, historical or touristic use. [Am. 20] |
| --- | --- |

(bb)

infrastructure and vehicles reserved for a strictly local, historical or touristic use. [Am. 20]

4.   Member States may exclude from the scope of the measures implementing this Directive:

| (a) | privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations; |
| --- | --- |

(a)

privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations;

| (b) | infrastructure and vehicles reserved for a strictly local, historical or touristic use.
  [Am. 21] |
| --- | --- |

(b)

infrastructure and vehicles reserved for a strictly local, historical or touristic use.
  [Am. 21]

Article 2

Definitions

For the purposes of this Directive:

| (1) | ‘Union rail system’ means the elements
  of the conventional and high-speed rail systems
  listed in
  points 1 and 2 of
  Annex I; [Am. 22] |
| --- | --- |

(1)

‘Union rail system’ means the elements
  of the conventional and high-speed rail systems
  listed in
  points 1 and 2 of
  Annex I; [Am. 22]

| (2) | ‘interoperability’ means the ability of a rail system to allow the safe and uninterrupted movement of trains which accomplish the required levels of performance for these lines.
  This ability depends on all regulatory, technical and operational conditions that need to be applied in order to meet essential requirements; [Am. 23] |
| --- | --- |

(2)

‘interoperability’ means the ability of a rail system to allow the safe and uninterrupted movement of trains which accomplish the required levels of performance for these lines.
  This ability depends on all regulatory, technical and operational conditions that need to be applied in order to meet essential requirements; [Am. 23]

| (3) | ‘vehicle’ means a railway vehicle suitable for circulation on its own wheels on railway lines, with or without traction, in a fixed or variable composition. A vehicle is composed of one or more structural and functional subsystems; [Am. 24] |
| --- | --- |

(3)

‘vehicle’ means a railway vehicle suitable for circulation on its own wheels on railway lines, with or without traction, in a fixed or variable composition. A vehicle is composed of one or more structural and functional subsystems; [Am. 24]

| (4) | ‘network’ means the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the rail system; |
| --- | --- |

(4)

‘network’ means the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the rail system;

| (5) | ‘subsystems’ means the structural or functional parts of the rail system, as set out in Annex II; |
| --- | --- |

(5)

‘subsystems’ means the structural or functional parts of the rail system, as set out in Annex II;

| (5a) | ‘mobile subsystem’ means the rolling stock subsystem, the on-board control-command and signalling subsystem and the vehicle, when it is composed of one subsystem; [Am. 25] |
| --- | --- |

(5a)

‘mobile subsystem’ means the rolling stock subsystem, the on-board control-command and signalling subsystem and the vehicle, when it is composed of one subsystem; [Am. 25]

| (6) | ‘interoperability constituents’ means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem, upon which the interoperability of the rail system depends directly or indirectly, including both tangible objects and intangible objects; |
| --- | --- |

(6)

‘interoperability constituents’ means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem, upon which the interoperability of the rail system depends directly or indirectly, including both tangible objects and intangible objects;

| (7) | ‘essential requirements’ means all the conditions set out in Annex III which must be met by the rail system, the subsystems, and the interoperability constituents, including interfaces; |
| --- | --- |

(7)

‘essential requirements’ means all the conditions set out in Annex III which must be met by the rail system, the subsystems, and the interoperability constituents, including interfaces;

| (8) | ‘European specification’ means a common technical specification, a European technical approval as defined in Annex XXI to Directive 2004/17/EC or a European standard as defined in Article 2(1)(b) of Regulation (EU) No 1025/2012; |
| --- | --- |

(8)

‘European specification’ means a common technical specification, a European technical approval as defined in Annex XXI to Directive 2004/17/EC or a European standard as defined in Article 2(1)(b) of Regulation (EU) No 1025/2012;

| (9) | ‘technical specification for interoperability’ (TSI) means a specification adopted in accordance with this Directive by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system; |
| --- | --- |

(9)

‘technical specification for interoperability’ (TSI) means a specification adopted in accordance with this Directive by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system;

| (9a) | ‘conformity assessment body’ means a body that has been notified or designated to be responsible for conformity assessment activities, including calibration, testing, certification and inspection. A conformity assessment body is classified as a ‘notified body’ following notification of its existence by a Member State. A conformity assessment body is classified as a ‘designated body’ following its designation by a Member State; [Am. 27] |
| --- | --- |

(9a)

‘conformity assessment body’ means a body that has been notified or designated to be responsible for conformity assessment activities, including calibration, testing, certification and inspection. A conformity assessment body is classified as a ‘notified body’ following notification of its existence by a Member State. A conformity assessment body is classified as a ‘designated body’ following its designation by a Member State; [Am. 27]

| (10) | ‘basic parameter’ means any regulatory, technical or operational condition which is critical to interoperability and is specified in the relevant TSIs; |
| --- | --- |

(10)

‘basic parameter’ means any regulatory, technical or operational condition which is critical to interoperability and is specified in the relevant TSIs;

| (11) | ‘specific case’ means any part of the rail system which needs special provisions in the TSIs, either temporary or definitive, because of geographical, topographical or urban environment constraints or those affecting compatibility with the existing system, in particular railway lines and networks isolated from the rest of the Union, the loading gauge, the track gauge or space between the tracks and vehicles strictly intended for local, regional or historical use, as well as vehicles originating from or destined for third countries; |
| --- | --- |

(11)

‘specific case’ means any part of the rail system which needs special provisions in the TSIs, either temporary or definitive, because of geographical, topographical or urban environment constraints or those affecting compatibility with the existing system, in particular railway lines and networks isolated from the rest of the Union, the loading gauge, the track gauge or space between the tracks and vehicles strictly intended for local, regional or historical use, as well as vehicles originating from or destined for third countries;

| (12) | ‘upgrading’ means any
  major
  modification work on a subsystem or part of it which results in a change in the technical file accompanying the ‘EC’ declaration of verification, if this technical file exists, and which improves the overall performance of the subsystem
  . Where modification work is to be carried out in respect of a subsystem or vehicle, the relevant TSI shall specify whether or not the work in question is to be classified as major and, if it is, the reasons for such classification
  ; [Am. 28] |
| --- | --- |

(12)

‘upgrading’ means any
  major
  modification work on a subsystem or part of it which results in a change in the technical file accompanying the ‘EC’ declaration of verification, if this technical file exists, and which improves the overall performance of the subsystem
  . Where modification work is to be carried out in respect of a subsystem or vehicle, the relevant TSI shall specify whether or not the work in question is to be classified as major and, if it is, the reasons for such classification
  ; [Am. 28]

| (13) | ‘renewal’ means any
  major
  substitution work on a subsystem or part of it which does not change the overall performance of the subsystem
  . Where substitution work is to be carried out in respect of a subsystem or vehicle, the relevant TSI shall specify whether or not the work in question is to be classified as major and, if it is, the reasons for such classification
  ; [Am. 29] |
| --- | --- |

(13)

‘renewal’ means any
  major
  substitution work on a subsystem or part of it which does not change the overall performance of the subsystem
  . Where substitution work is to be carried out in respect of a subsystem or vehicle, the relevant TSI shall specify whether or not the work in question is to be classified as major and, if it is, the reasons for such classification
  ; [Am. 29]

| (14) | ‘existing rail system’ means the structure composed of lines and fixed installations of the existing rail system as well as the vehicles of all categories and origin travelling on that infrastructure; |
| --- | --- |

(14)

‘existing rail system’ means the structure composed of lines and fixed installations of the existing rail system as well as the vehicles of all categories and origin travelling on that infrastructure;

| (15) | ‘substitution in the framework of maintenance’ means any replacement of components by parts of identical function and performance in the framework of preventive or corrective maintenance; |
| --- | --- |

(15)

‘substitution in the framework of maintenance’ means any replacement of components by parts of identical function and performance in the framework of preventive or corrective maintenance;

| (16) | ‘placing in service’ means all the operations by which a subsystem or a vehicle is put into its operational service; |
| --- | --- |

(16)

‘placing in service’ means all the operations by which a subsystem or a vehicle is put into its operational service;

| (17) | ‘contracting entity’ means public or private entity which orders the design and/or construction or the renewal or upgrading of a subsystem. This entity may be a railway undertaking, an infrastructure manager or a keeper,
  an entity in charge of maintenance
  or a concession holder responsible for carrying out a project; [Am. 30] |
| --- | --- |

(17)

‘contracting entity’ means public or private entity which orders the design and/or construction or the renewal or upgrading of a subsystem. This entity may be a railway undertaking, an infrastructure manager or a keeper,
  an entity in charge of maintenance
  or a concession holder responsible for carrying out a project; [Am. 30]

| (18) | ‘keeper’ means the person or entity that, being the owner of a vehicle or having the right to use it,

  the vehicle
  , exploits the vehicle

  it
  as a means of transport and is registered as such in the national vehicle register

  registers
  referred to in Article 43

  Articles 43 and 43a
  ; [Am. 31] |
| --- | --- |

(18)

‘keeper’ means the person or entity that, being the owner of a vehicle or having the right to use it,

  the vehicle
  , exploits the vehicle

  it
  as a means of transport and is registered as such in the national vehicle register

  registers
  referred to in Article 43

  Articles 43 and 43a
  ; [Am. 31]

| (18a) | ‘owner’ means the person or entity that is the owner of a vehicle and is registered as such in the vehicle registers referred to in Articles 43 and 43a; [Am. 32] |
| --- | --- |

(18a)

‘owner’ means the person or entity that is the owner of a vehicle and is registered as such in the vehicle registers referred to in Articles 43 and 43a; [Am. 32]

| (19) | ‘project at an advanced stage of development’ means any project whose planning/construction stage has reached a point where a change in the technical specifications may compromise the viability of the project as planned; |
| --- | --- |

(19)

‘project at an advanced stage of development’ means any project whose planning/construction stage has reached a point where a change in the technical specifications may compromise the viability of the project as planned;

| (20) | ‘harmonised standard’ means a European standard as defined in Article 2(1)(c) of Regulation (EU) No 1025/2012; |
| --- | --- |

(20)

‘harmonised standard’ means a European standard as defined in Article 2(1)(c) of Regulation (EU) No 1025/2012;

| (21) | ‘national safety authority’ means a safety authority as defined in Article 3 of Directive .../.../EU [Railway Safety Directive]; |
| --- | --- |

(21)

‘national safety authority’ means a safety authority as defined in Article 3 of Directive .../.../EU [Railway Safety Directive];

| (22) | ‘type’ means a vehicle type defining the basic design characteristics of the vehicle as covered by a type or design examination certificate described in the relevant verification module; |
| --- | --- |

(22)

‘type’ means a vehicle type defining the basic design characteristics of the vehicle as covered by a type or design examination certificate described in the relevant verification module;

| (23) | ‘series’ means a number of identical vehicles of a design type; |
| --- | --- |

(23)

‘series’ means a number of identical vehicles of a design type;

| (24) | ‘entity in charge of maintenance’ means an entity in charge of maintenance as defined in Article 3 of Directive .../.../EU [Railway Safety Directive]; |
| --- | --- |

(24)

‘entity in charge of maintenance’ means an entity in charge of maintenance as defined in Article 3 of Directive .../.../EU [Railway Safety Directive];

| (25) | ‘light rail’ means an urban and/or sub-urban rail transport system with lower capacity and lower speeds than heavy rail and metro systems, but higher capacity and higher speeds than tram systems. Light rail systems may have their own right-of-way or share it with road traffic and usually do not exchange vehicles with long-distance passenger or freight traffic; |
| --- | --- |

(25)

‘light rail’ means an urban and/or sub-urban rail transport system with lower capacity and lower speeds than heavy rail and metro systems, but higher capacity and higher speeds than tram systems. Light rail systems may have their own right-of-way or share it with road traffic and usually do not exchange vehicles with long-distance passenger or freight traffic;

| (26) | ‘national rules’ means all binding rules
  notified by a Member State
  containing railway safety or technical requirements imposed at Member State level and applicable to railway undertakings

  actors
  , irrespective of the body issuing them; [Am. 33] |
| --- | --- |

(26)

‘national rules’ means all binding rules
  notified by a Member State
  containing railway safety or technical requirements imposed at Member State level and applicable to railway undertakings

  actors
  , irrespective of the body issuing them; [Am. 33]

| (27) | ‘design operating state’ means the normal operating mode and the foreseeable degraded conditions (including wear) within the range and the conditions of use specified in the technical and maintenance files; |
| --- | --- |

(27)

‘design operating state’ means the normal operating mode and the foreseeable degraded conditions (including wear) within the range and the conditions of use specified in the technical and maintenance files;

| (27a) | ‘area of use’ means a network or networks in the Union, whether within a Member State or a group of Member States, on which a vehicle is technically compatible according to its technical file; [Am. 34] |
| --- | --- |

(27a)

‘area of use’ means a network or networks in the Union, whether within a Member State or a group of Member States, on which a vehicle is technically compatible according to its technical file; [Am. 34]

| (27b) | ‘isolated rail network’ means the rail network of a Member State, or a part thereof, with a track gauge of 1 520 mm, which is geographically or technically detached from the European network with standard nominal track gauge (1 435mm — hereafter ‘standard gauge’) and well integrated in the rail network of 1 520 mm track gauge together with third countries, but isolated from the Union's standard network; [Am. 35] |
| --- | --- |

(27b)

‘isolated rail network’ means the rail network of a Member State, or a part thereof, with a track gauge of 1 520 mm, which is geographically or technically detached from the European network with standard nominal track gauge (1 435mm — hereafter ‘standard gauge’) and well integrated in the rail network of 1 520 mm track gauge together with third countries, but isolated from the Union's standard network; [Am. 35]

| (28) | ‘acceptable means of compliance’ means non-binding opinions issued by the Agency to define ways of establishing compliance with the essential requirements
  , so as to offset temporarily shortcomings in a TSI until such time as that TSI has been amended
  ; [Am. 36] |
| --- | --- |

(28)

‘acceptable means of compliance’ means non-binding opinions issued by the Agency to define ways of establishing compliance with the essential requirements
  , so as to offset temporarily shortcomings in a TSI until such time as that TSI has been amended
  ; [Am. 36]

| (28a) | ‘acceptable national means of compliance’ means other means of compliance laid down in a Member State which give rise to a presumption of compliance with the relevant section of the national rules. Those acceptable national means of compliance shall be notified to the Agency; [Am. 37] |
| --- | --- |

(28a)

‘acceptable national means of compliance’ means other means of compliance laid down in a Member State which give rise to a presumption of compliance with the relevant section of the national rules. Those acceptable national means of compliance shall be notified to the Agency; [Am. 37]

| (29) | ‘placing on the market’ means the first making available on the Union’s market of an interoperability constituent, subsystem or vehicle ready to function in its design operating state; |
| --- | --- |

(29)

‘placing on the market’ means the first making available on the Union’s market of an interoperability constituent, subsystem or vehicle ready to function in its design operating state;

| (30) | ‘manufacturer’ means any natural or legal person who manufactures an interoperability constituent or subsystem or has it designed or manufactured, and markets it under his name or trademark; |
| --- | --- |

(30)

‘manufacturer’ means any natural or legal person who manufactures an interoperability constituent or subsystem or has it designed or manufactured, and markets it under his name or trademark;

| (31) | ‘authorised representative’ means any natural or legal person established within the Union who has received a written mandate from a manufacturer
  or a contracting entity
  to act on his
  or its
  behalf in relation to specified tasks; [Am. 38] |
| --- | --- |

(31)

‘authorised representative’ means any natural or legal person established within the Union who has received a written mandate from a manufacturer
  or a contracting entity
  to act on his
  or its
  behalf in relation to specified tasks; [Am. 38]

| (32) | ‘technical specification’ means a document that prescribes technical requirements to be fulfilled by a product,
  subsystem,
  process or service; [Am. 39] |
| --- | --- |

(32)

‘technical specification’ means a document that prescribes technical requirements to be fulfilled by a product,
  subsystem,
  process or service; [Am. 39]

| (33) | ‘accreditation’ has the meaning assigned to it by Regulation (EC) No 765/2008; |
| --- | --- |

(33)

‘accreditation’ has the meaning assigned to it by Regulation (EC) No 765/2008;

| (34) | ‘national accreditation body’ has the meaning assigned to it by Regulation (EC) No 765/2008; |
| --- | --- |

(34)

‘national accreditation body’ has the meaning assigned to it by Regulation (EC) No 765/2008;

| (35) | ‘conformity assessment’ means the process demonstrating whether specified requirements relating to a product, process, service, system, person or body have been fulfilled; |
| --- | --- |

(35)

‘conformity assessment’ means the process demonstrating whether specified requirements relating to a product, process, service, system, person or body have been fulfilled;

| (36) | ‘conformity assessment body’ means a body that performs conformity assessment activities including calibration, testing, certification and inspection; |
| --- | --- |

(36)

‘conformity assessment body’ means a body that performs conformity assessment activities including calibration, testing, certification and inspection;

| (37) | ‘disabled person
  with disabilities
  and person with reduced mobility’ shall include any person who has a permanent or temporary physical, mental, intellectual or sensory impairment which, in interaction with various barriers, may hinder their full and effective use of transport on an equal basis with other passengers or whose mobility when using transport is reduced due to age
  and who thus requires special services
  ; [Am. 40] |
| --- | --- |

(37)

‘disabled person
  with disabilities
  and person with reduced mobility’ shall include any person who has a permanent or temporary physical, mental, intellectual or sensory impairment which, in interaction with various barriers, may hinder their full and effective use of transport on an equal basis with other passengers or whose mobility when using transport is reduced due to age
  and who thus requires special services
  ; [Am. 40]

| (38) | ‘infrastructure manager’ means infrastructure manager as defined in Article 3 of Directive .../.../EU of the European Parliament and of the Council (12) [establishing a single European railway area]; |
| --- | --- |

(38)

‘infrastructure manager’ means infrastructure manager as defined in Article 3 of Directive .../.../EU of the European Parliament and of the Council (12) [establishing a single European railway area];

| (39) | ‘railway undertaking’ means railway undertaking as defined in Article 3 of Directive .../.../EU [establishing a single European railway area], and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only. |
| --- | --- |

(39)

‘railway undertaking’ means railway undertaking as defined in Article 3 of Directive .../.../EU [establishing a single European railway area], and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only.

Article 3

Essential requirements

1.   The rail system, subsystems and interoperability constituents including interfaces shall meet the relevant essential requirements.

2.   The technical specifications referred to in Article 34 of Directive 2004/17/EC which are necessary to complete European specifications or other standards in use within the Union shall not conflict with the essential requirements.

2a.
     
  No person shall be discriminated against, either directly or indirectly, on the basis of a disability. In order to ensure that all Union citizens can enjoy the benefits resulting from the establishment of an area without internal borders, Member States shall ensure that the railway system is barrier-free. [Am. 41]

CHAPTER II

TECHNICAL SPECIFICATIONS FOR INTEROPERABILITY

Article 4

Content of Technical Specifications for Interoperability

1.   Each of the subsystems defined in Annex II shall be covered by one TSI. Where necessary, a subsystem may be covered by several TSIs and one TSI may cover several subsystems.

2.   The Commission shall be empowered to adopt delegated acts in accordance with Article 46 concerning adaptation to technical progress of Annex II regarding the breakdown of the rail system into subsystems and to the description of these subsystems.

3.   
  Fixed
  subsystems shall comply with the TSIs in force at the time of their placing in service, upgrading or renewal, in accordance with this Directive; this

  first appointment of a notified body and at the latest at the time of the granting of building permits. Vehicles shall be in conformity with the TSIs and shall comply with national rules in force at the time of the first appointment of a notified body. Such conformity and
  compliance shall be permanently maintained while each subsystem is in use. [Am. 42]

4.   Each TSI shall:

| (a) | indicate its intended scope (part of network or vehicles referred to in Annex I; subsystem or part of subsystem referred to in Annex II); |
| --- | --- |

(a)

indicate its intended scope (part of network or vehicles referred to in Annex I; subsystem or part of subsystem referred to in Annex II);

| (b) | lay down essential requirements for each subsystem concerned and its interfaces in relation to other subsystems; |
| --- | --- |

(b)

lay down essential requirements for each subsystem concerned and its interfaces in relation to other subsystems;

| (c) | establish the functional and technical specifications to be met by the subsystem and its interfaces in relation to other subsystems. If need be, these specifications may vary according to the use of the subsystem; |
| --- | --- |

(c)

establish the functional and technical specifications to be met by the subsystem and its interfaces in relation to other subsystems. If need be, these specifications may vary according to the use of the subsystem;

| (d) | determine the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the rail system
  . This shall include the identification of the rail spare parts to be standardised in accordance with Article 41 of Regulation (EU) No .../... of the European Parliament and of the Council

   (13)

  . The list of spare parts to be standardised, including existing parts, shall be included in each TSI
  ; [Am. 43] |
| --- | --- |

(d)

determine the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the rail system
  . This shall include the identification of the rail spare parts to be standardised in accordance with Article 41 of Regulation (EU) No .../... of the European Parliament and of the Council

   (13)

  . The list of spare parts to be standardised, including existing parts, shall be included in each TSI
  ; [Am. 43]

| (e) | state, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents, on the one hand, or the ‘EC’ verification of the subsystems, on the other hand. These procedures shall be based on the modules defined in Decision 2010/713/EU; |
| --- | --- |

(e)

state, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents, on the one hand, or the ‘EC’ verification of the subsystems, on the other hand. These procedures shall be based on the modules defined in Decision 2010/713/EU;

| (f) | indicate the strategy for the application of the TSIs. In particular, it is necessary to specify the stages to be completed in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSIs shall be the norm including setting deadlines for completion of those stages where necessary

  . The timetable fixing the stages shall be linked to an assessment analysing the estimated costs and benefits of its implementation and the expected repercussions on the operators and economic agents affected
  ; [Am. 44] |
| --- | --- |

(f)

indicate the strategy for the application of the TSIs. In particular, it is necessary to specify the stages to be completed in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSIs shall be the norm including setting deadlines for completion of those stages where necessary

  . The timetable fixing the stages shall be linked to an assessment analysing the estimated costs and benefits of its implementation and the expected repercussions on the operators and economic agents affected
  ; [Am. 44]

| (g) | indicate, for the staff concerned, the professional qualifications and health and safety conditions at work required for the operation and maintenance of the above subsystem, as well as for the application of the TSIs; |
| --- | --- |

(g)

indicate, for the staff concerned, the professional qualifications and health and safety conditions at work required for the operation and maintenance of the above subsystem, as well as for the application of the TSIs;

| (h) | indicate the provisions applicable to the existing subsystems and types of vehicles, in particular in the event of upgrading and renewal, with and without a new authorisation or decision for placing in service; |
| --- | --- |

(h)

indicate the provisions applicable to the existing subsystems and types of vehicles, in particular in the event of upgrading and renewal, with and without a new authorisation or decision for placing in service;

| (i) | indicate the parameters to be checked by the railway undertaking and the procedures to be applied to check those parameters after the delivery of the vehicle authorisation for placing on the market and before the decision for placing in service to ensure the compatibility between vehicles and routes on which they are intended to be operated; [Am. 45] |
| --- | --- |

(i)

indicate the parameters to be checked by the railway undertaking and the procedures to be applied to check those parameters after the delivery of the vehicle authorisation for placing on the market and before the decision for placing in service to ensure the compatibility between vehicles and routes on which they are intended to be operated; [Am. 45]

| (ia) | indicate the specific parameters to be verified and provide descriptions for the renewal, improvement or replacement of spare parts or interoperability constituents to be dealt with in conjunction with Article 21(3). [Am. 46] |
| --- | --- |

(ia)

indicate the specific parameters to be verified and provide descriptions for the renewal, improvement or replacement of spare parts or interoperability constituents to be dealt with in conjunction with Article 21(3). [Am. 46]

5.   Each TSI shall be drawn up on the basis of an examination of an existing subsystem and indicate a target subsystem that may be obtained gradually within a reasonable time-scale. Accordingly, the gradual adoption of the TSIs and compliance with them shall facilitate gradually within that time-scale to achieve the interoperability of the rail system.

6.   TSIs shall retain, in an appropriate manner, the compatibility of the existing rail system of each Member State. With this objective, provision may be made for specific cases for each TSI, with regard to both network and vehicles, and in particular for the loading gauge, the track gauge or space between the tracks and vehicles originating from or destined for third countries. For each specific case, the TSIs shall stipulate the implementing rules of the elements of the TSIs provided for in paragraph 4(c) to (g).

7.   If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in a TSI, they shall be clearly identified in an annex to the TSI as open points.

8.   TSIs shall not prevent the Member States from deciding on the use of infrastructures for the movement of vehicles not covered by the TSIs.

9.   TSIs may make an explicit, clearly identified reference to European or international standards or specifications or technical documents published by the Agency where this is strictly necessary in order to achieve the objective of this Directive. In such case, these standards or specifications (or their relevant parts) or technical documents shall be regarded as annexes to the TSI concerned and shall become mandatory from the moment the TSI is applicable. In the absence of such standards or specifications or technical documents and pending their development, reference may be made to other clearly identified normative documents that are easily accessible and in the public domain.

Article 5

Drafting, adoption and review of TSIs

1.   The Commission shall issue a mandate to the Agency to draft TSIs and their amendments and to make the relevant recommendations to the Commission.

1a.
     
  The drafting, adoption and review of each TSI, including the basic parameters, shall take account of the estimated costs and benefits of all the technical solutions considered, together with the interfaces between them, so as to establish and implement the most viable solutions. [Am. 47]

2.   Each draft TSI shall be drawn up in the following stages:

| (a) | the Agency shall identify the basic parameters for the TSI as well as the interfaces with the other subsystems and any other specific cases that may be necessary. The most viable alternative solutions accompanied by technical and economic justification shall be put forward for each of these parameters and interfaces; |
| --- | --- |

(a)

the Agency shall identify the basic parameters for the TSI as well as the interfaces with the other subsystems and any other specific cases that may be necessary. The most viable alternative solutions accompanied by technical and economic justification shall be put forward for each of these parameters and interfaces;

| (b) | the Agency shall draw up the draft TSI on the basis of these basic parameters. Where appropriate, the Agency shall take account of technical progress, of standardisation work already carried out, of working parties already in place and of acknowledged research work.
  An overall assessment of the estimated costs and benefits of the implementation of the TSIs shall be attached to the draft TSI. This assessment shall indicate the likely impact for all the operators and economic agents involved
  , and shall take due account of the requirements of Directive .../.../EU [Railway Safety Directive]. The Member States shall participate in that assessment by providing, where appropriate, the requisite data
  . [Am. 48] |
| --- | --- |

(b)

the Agency shall draw up the draft TSI on the basis of these basic parameters. Where appropriate, the Agency shall take account of technical progress, of standardisation work already carried out, of working parties already in place and of acknowledged research work.

An overall assessment of the estimated costs and benefits of the implementation of the TSIs shall be attached to the draft TSI. This assessment shall indicate the likely impact for all the operators and economic agents involved
  , and shall take due account of the requirements of Directive .../.../EU [Railway Safety Directive]. The Member States shall participate in that assessment by providing, where appropriate, the requisite data
  . [Am. 48]

3.   The Agency, in order to take account of developments in technology or social requirements, shall draft the TSIs and their amendments under the mandate referred to in paragraph 1, in accordance with Articles 4 and 15 of Regulation (EU) No .../... [Agency Regulation] and by respecting the principles of openness, consensus and transparency as defined in Annex II to Regulation (EU) No 1025/2012.

4.   During

  The committee referred to in Article 48 shall be kept regularly informed of
  the preparatory work on
  the
  TSIs
  . During that work,
  the Commission may
  , at the request of the committee,
  formulate any terms of reference or useful recommendations concerning the design of the TSIs and the cost-benefit analysis. In particular, the Commission may
  , at the request of a Member State
  , require that alternative solutions be examined and that the assessment of the cost and benefits of these alternative solutions be set out in the report annexed to the draft TSI. [Am. 49]

5.   Where different subsystems have to be placed in service simultaneously for reasons of technical compatibility, the dates of entry into force of the corresponding TSIs shall be the same.

6.   The drafting, adoption and review of the TSIs shall take account of the opinion of users, as regards the characteristics which have a direct impact on the conditions in which they use the subsystems. To that end the Agency shall consult associations and bodies representing users during the drafting and review phases of the TSIs. It shall enclose with the draft TSI a report on the results of this consultation.

7.   In accordance with Article 6 of Regulation (EU) No .../... [Agency Regulation], the Agency shall draw up and regularly update the list of users' associations and bodies to be consulted. This list
  shall necessarily include representative associations and bodies from all the Member States and
  may be re-examined and updated at the request of a Member State or upon the initiative of the Commission. [Am. 50]

8.   The drafting, adoption and review of the TSIs shall take account of the opinion of the
  representative
  social partners
  in all the Member States
  as regards the conditions referred to in Article 4(4)(g)
  , and in any other TSI that directly or indirectly affects the staff involved
  . To this end, the Agency shall consult the social partners before submitting to the Commission recommendations on TSIs and their amendments. The social partners shall be consulted in the context of the Sectoral Dialogue Committee set up in accordance with Commission Decision 98/500/EC (14). The social partners shall issue their opinion within three months. [Am. 51]

9.   When revision of a TSI leads to a change of requirements, the new TSI version shall ensure compatibility with subsystems placed in service in accordance with former TSI versions.

10.   The Commission shall be empowered to adopt delegated acts in accordance with Article 46 concerning the TSIs and their amendments.

Where, in the case of deficiencies discovered in TSIs in accordance with Article 6, imperative grounds of urgency so require, the procedure provided for in Article 47 shall apply to delegated acts adopted pursuant to this Article.

Article 6

Deficiencies in TSIs

1.   If, after its adoption, it appears that a TSI has a deficiency, that TSI shall be amended in accordance with Article 5(3).

2.   Pending the review of the TSI, the Commission may request an opinion from the Agency. The Commission shall analyse the Agency opinion and inform the Member States of its conclusions.

3.   At the request of the Commission, the Agency opinions referred to in paragraph 2 shall constitute acceptable means of compliance to meet the essential requirements and may therefore be used for the assessment of projects.

3a.
     
  A member of the network of representative bodies can act as applicant to request opinions about deficiencies in TSIs via the Commission. The applicant shall be informed of the decision taken. The Commission shall duly provide a statement of reasons for any refusal. [Am. 52]

Article 7

Non-application of the TSIs

1.   Member States are allowed not to apply one or more TSIs or parts of them in the following cases:

| (a) | for a proposed new subsystem or part of it, for the renewal or upgrading of an existing subsystem or part of it, or for any element referred to in Article 1(1) at an advanced stage of development or the subject of a contract in the course of performance at the date of application of these TSIs; |
| --- | --- |

(a)

for a proposed new subsystem or part of it, for the renewal or upgrading of an existing subsystem or part of it, or for any element referred to in Article 1(1) at an advanced stage of development or the subject of a contract in the course of performance at the date of application of these TSIs;

| (b) | where, following an accident or a natural disaster, the conditions for the rapid restoration of the network do not economically or technically allow for partial or total application of the relevant TSIs; in this case, the non-application of the TSIs shall be limited in time; |
| --- | --- |

(b)

where, following an accident or a natural disaster, the conditions for the rapid restoration of the network do not economically or technically allow for partial or total application of the relevant TSIs; in this case, the non-application of the TSIs shall be limited in time;

| (c) | for any proposed renewal, extension or upgrading of an existing subsystem or part of it, when the application of these TSIs would
  seriously
  compromise the economic viability of the project. [Am. 53] |
| --- | --- |

(c)

for any proposed renewal, extension or upgrading of an existing subsystem or part of it, when the application of these TSIs would
  seriously
  compromise the economic viability of the project. [Am. 53]

2.   In the case referred to in paragraph 1, point (a), each Member State shall communicate to the Commission, within one year of entry into force of each TSI, a list of projects that are taking place within its territory and which are at an advanced stage of development.

3.   In all cases referred to in paragraph 1, the Member State concerned shall submit to the Commission the request for non-application of the TSI, also specifying the alternative provisions that the Member State intends to apply instead of the TSIs. The Commission shall by means of implementing acts establish the content of the file which shall accompany the request of non-application of one or more TSIs or parts of them, the details, the format and the transmission modalities of that file. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3). The Commission shall check that file, analyse the alternative provisions that the Member State intends to apply instead of the TSIs, decide whether to accept or not the request of non-application of the TSI and inform the Member State of this decision.

4.   Pending the decision of the Commission, the Member State may apply the alternative provisions as referred to in paragraph 3 without delay.

5.   The Commission shall give its decision within four months of the submission of the request supported by the complete file. In the absence of such a decision, the request shall be deemed to have been accepted.

6.   All Member States shall be informed of the results of the analyses and of the outcome of the procedure set out in paragraph 3.

CHAPTER III

INTEROPERABILITY CONSTITUENTS

Article 8

Placing on the market of interoperability constituents

1.   Member States shall take all necessary steps to ensure that interoperability constituents:

| (a) | are placed on the market only if they enable interoperability to be achieved within the rail system while at the same time meeting the essential requirements; |
| --- | --- |

(a)

are placed on the market only if they enable interoperability to be achieved within the rail system while at the same time meeting the essential requirements;

| (b) | are used in their area of use as intended
  in accordance with the area of use as defined in point (27a) of Article 2
  and are suitably installed and maintained. [Am. 54] |
| --- | --- |

(b)

are used in their area of use as intended
  in accordance with the area of use as defined in point (27a) of Article 2
  and are suitably installed and maintained. [Am. 54]

These provisions shall not obstruct the placing on the market of these constituents for other applications.

2.   Member States may not, in their territory and on the basis of this Directive, prohibit, restrict or hinder the placing on the market of interoperability constituents for use in the rail system where they comply with this Directive. In particular, they may not require checks which have already been carried out as part of the procedure of ‘EC’ declaration of conformity or suitability for use.

A Member State may not prohibit, restrict or hinder the placing in service of interoperability constituents that have been recognised for an area for which they are intended, if that area is situated within its territory. [Am. 55]

The Commission shall establish, by means of implementing acts,

  be empowered to adopt delegated acts in accordance with Article 46 concerning
  the scope and the content of the EC declaration of conformity and suitability for use of interoperability constituents, its format and the details of the information included in it. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3)
  . [Am. 56]

2a.
     
  The Commission shall establish, by means of implementing acts, the format and the details of the information included in the EC declaration of conformity and suitability for use of interoperability constituents
  .
  Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3). [Am. 57]

Article 9

Conformity or suitability for use

1.   Member States and the Agency shall consider as being interoperable and meeting the essential requirements, those interoperability constituents which are covered by the ‘EC’ declaration of conformity or suitability for use.

2.   All interoperability constituents shall be subject to the procedure for assessing conformity and suitability for the use indicated in the relevant TSI and shall be accompanied by the corresponding certificate.

3.   Member States and the Agency shall consider that an interoperability constituent meets the essential requirements if it complies with the conditions laid down by the corresponding TSI or the corresponding European specifications developed to comply with these conditions.

4.   Spare parts for subsystems that are already placed in service when the corresponding TSI enters into force may be installed in these subsystems without being subject to the procedure referred to in paragraph 2.

5.   TSIs may provide for a period of transition for rail products identified by those TSIs as interoperability constituents which have already been placed on the market when the TSIs enter into force. Such constituents shall satisfy the requirements of Article 8(1).

Article 10

Procedure for ‘EC’ declaration of conformity or suitability for use

1.   In order to establish the ‘EC’ declaration of conformity or suitability for use of an interoperability constituent, the manufacturer or his authorised representative established in the Union shall apply the provisions laid down by the relevant TSIs.

2.   Where the corresponding TSI so requires, assessment of the conformity or suitability for use of an interoperability constituent shall be carried out by the notified conformity assessment body with which the manufacturer or his authorised representative established in the Union has lodged the application.

3.   Where interoperability constituents are the subject of other Union directives covering other aspects, the ‘EC’ declaration of conformity or suitability for use shall, in such cases, state that the interoperability constituents also meet the requirements of those other directives.

4.   Where neither the manufacturer nor his authorised representative has met the obligations laid down in paragraphs 1 and 3, those obligations shall be incumbent on any person who places interoperability constituents on the market. The same obligations shall apply to any person who assembles interoperability constituents or parts of interoperability constituents having diverse origins or manufactures interoperability constituents for his own use, for the purposes of this Directive.

5.   In order to avoid that interoperability constituents non complying with essential requirements are being placed on the market, and without prejudice to the provisions of Article 11:

| (a) | in each instance where the Member State finds that the ‘EC’ declaration of conformity has been drawn up improperly, the manufacturer or his authorised representative established in the Union shall be required, if necessary, to restore the interoperability constituent to a state of conformity and to terminate the infringement under the conditions laid down by that Member State; |
| --- | --- |

(a)

in each instance where the Member State finds that the ‘EC’ declaration of conformity has been drawn up improperly, the manufacturer or his authorised representative established in the Union shall be required, if necessary, to restore the interoperability constituent to a state of conformity and to terminate the infringement under the conditions laid down by that Member State;

| (b) | where non-conformity persists, the Member State shall take all appropriate steps to restrict or prohibit the placing on the market of the interoperability constituent in question, or to ensure that it is withdrawn from the market in accordance with the procedures provided for in Article 11. |
| --- | --- |

(b)

where non-conformity persists, the Member State shall take all appropriate steps to restrict or prohibit the placing on the market of the interoperability constituent in question, or to ensure that it is withdrawn from the market in accordance with the procedures provided for in Article 11.

Article 11

Non-compliance of interoperability constituents with essential requirements

1.   Where a Member State finds that an interoperability constituent covered by the ‘EC’ declaration of conformity or suitability for use and placed on the market is unlikely, when used as intended, to meet the essential requirements, it shall take all necessary steps to restrict its field of application, prohibit its use, withdraw it from the market or recall it. The Member State shall forthwith inform the Commission and the other Member States of the measures taken and give the reasons for its decision, stating in particular whether failure to conform is due to:

| (a) | failure to meet the essential requirements; |
| --- | --- |

(a)

failure to meet the essential requirements;

| (b) | incorrect application of European specifications where application of such specifications is relied upon; |
| --- | --- |

(b)

incorrect application of European specifications where application of such specifications is relied upon;

| (c) | inadequacy of European specifications. |
| --- | --- |

(c)

inadequacy of European specifications.

2.   The Commission shall consult the parties concerned as quickly as possible. Where, following that consultation, the Commission establishes that the measure is justified it shall forthwith inform the Member State that has taken the initiative thereof. Where, after

  Agency, on a mandate from the Commission, shall start the consultation process with the parties concerned without delay, and in any case within 20 days. Following
  that consultation, the Commission establishes that

  Agency shall establish whether
  the measure is unjustified it

  justified. The Agency
  shall forthwith inform the
  Commission, the
  Member State that has taken the initiative
  in that regard
  and the manufacturer or his authorised representative established within the Union thereof. [Am. 58]

3.   Where an interoperability constituent bearing the ‘EC’ declaration of conformity fails to comply, the competent Member State shall take appropriate measures against any person who has drawn up the declaration and shall inform the Commission and the other Member States thereof.

4.   The Commission shall ensure that the Member States are kept informed of the course and results of that procedure.
  [Am. 59]

CHAPTER IV

SUBSYSTEMS

Article 12

Free movement of subsystems

Without prejudice to the provisions of Chapter V, Member States may not, in their territory and on grounds relating to this Directive, prohibit, restrict or hinder the construction, placing in service and operation of structural subsystems constituting the rail system which meet the essential requirements. In particular, they may not require checks which have already been carried out:

| (a) | either as part of the procedure leading to the ‘EC’ declaration of verification, |
| --- | --- |

(a)

either as part of the procedure leading to the ‘EC’ declaration of verification,

| (b) | or in other Member States, before or after the entry into force of this Directive, with a view to verifying compliance with identical requirements under identical operational conditions. |
| --- | --- |

(b)

or in other Member States, before or after the entry into force of this Directive, with a view to verifying compliance with identical requirements under identical operational conditions.

Article 13

Conformity with TSIs and national rules

1.   Member States and the Agency shall consider as being interoperable, and
  as
  meeting the essential requirements, those structural subsystems constituting the rail system which are covered
  , as appropriate,
  by the ‘EC’ declaration of verification
  established by reference to TSIs in accordance with Article 15 or by the declaration of verification established by reference to notified national rules in accordance with Article 15a, or both
  . [Am. 60]

2.   Verification of the interoperability, in accordance with the essential requirements, of a structural subsystem constituting the rail system shall be established by reference to TSIs, and national rules notified in accordance with paragraph 3.
  [Am. 61]

2a.
     
  Decisions on granting authorisation shall be based on TSIs and on notified national rules applicable when the application was made. [Am. 62]

3.   Member States shall draw up, for each subsystem, a list of the national rules in use for implementing the essential requirements
  and/or acceptable national means of compliance
  in the following cases: [Am. 63]

| (a) | when the TSIs do not fully cover certain aspects corresponding to the essential requirements (open points); |
| --- | --- |

(a)

when the TSIs do not fully cover certain aspects corresponding to the essential requirements (open points);

| (b) | when a non-application of one or more TSIs or parts of them has been notified under Article 7; |
| --- | --- |

(b)

when a non-application of one or more TSIs or parts of them has been notified under Article 7;

| (c) | when specific case requires the application of technical rules not included in the relevant TSI; |
| --- | --- |

(c)

when specific case requires the application of technical rules not included in the relevant TSI;

| (d) | in case of national rules used to describe existing systems; |
| --- | --- |

(d)

in case of national rules used to describe existing systems;

| (da) | in the case of networks and vehicles not covered by TSIs; [Am. 64] |
| --- | --- |

(da)

in the case of networks and vehicles not covered by TSIs; [Am. 64]

| (db) | for safety reasons specific to one or more Member States, provided that they have been substantiated and without prejudice to the prerogatives of the Agency. [Am. 65] |
| --- | --- |

(db)

for safety reasons specific to one or more Member States, provided that they have been substantiated and without prejudice to the prerogatives of the Agency. [Am. 65]

4.   Member States shall designate the bodies responsible for establishing, in the case of these technical regulations, the EC declaration of verification referred to in Article 15.

Article 14

National rules

1.   Member States shall notify to the Commission
  and to the Agency
  the list of national rules
  in use, as
  referred to in Article 13(3) either

  , in the following cases
  : [Am. 66]

| (a) | each time the list of rules is changed, or
  [Am. 67] |
| --- | --- |

(a)

each time the list of rules is changed, or
  [Am. 67]

| (b) | after

  when
  a request for non-application of the TSI has been submitted in accordance with Article 7, or
  [Am. 68] |
| --- | --- |

(b)

after

  when
  a request for non-application of the TSI has been submitted in accordance with Article 7, or
  [Am. 68]

| (c) | after publication of the TSI concerned or its revision, in view of the removal of national rules made redundant by the closure of open points in the TSIs, |
| --- | --- |

(c)

after publication of the TSI concerned or its revision, in view of the removal of national rules made redundant by the closure of open points in the TSIs,

| (ca) | where the national rule(s) has/have not yet been notified by the date of entry into force of this Directive. [Am. 69] |
| --- | --- |

(ca)

where the national rule(s) has/have not yet been notified by the date of entry into force of this Directive. [Am. 69]

1a.
     
  Within one month after the entry into force of this Directive, Member States shall notify to the Commission any existing national rule which has not been notified by that date. [Am. 70]

2.   Member States shall notify the full text of existing national rules to the Agency and the Commission through the appropriate IT system in accordance with Article 23 of Regulation (EU) No .../... [Agency Regulation]. [Am. 71]

3.   Member States may lay down new national rules only in the following cases:

| (a) | when a TSI does not fully meet the essential requirements; |
| --- | --- |

(a)

when a TSI does not fully meet the essential requirements;

| (b) | as an urgent preventive measure, in particular following an accident. |
| --- | --- |

(b)

as an urgent preventive measure, in particular following an accident.

4.   If a Member State intends to introduce a new national rule, it shall notify

  submit
  the draft to the Agency and the Commission
  for consideration at least three months before the scheduled entry into force of the proposed new rule, giving the reason for its introduction, in accordance with Article 21 of Regulation (EU) No .../... [Agency Regulation],
  through the appropriate IT system in accordance with Article 23 of that Regulation. [Am. 72]

4a.
     
  When notifying an existing or new national rule, Member States shall provide proof of the need for that rule in order to fulfil an essential requirement not already covered by the relevant TSI. Member States shall not be permitted to notify any national rule without substantiating that need.

The Agency shall have two months in which to consider the draft rule and to make a recommendation to the Commission. The Commission shall approve or reject the draft rule. Only in the case of emergency preventive measures, Member States may adopt and apply a new rule immediately and that rule shall be valid for two months. If such a rule affects several Member States, the Commission, working in cooperation with the Agency and the national safety authorities, shall harmonise the rule at Union level. [Am. 73]

5.   Member States shall ensure that national rules, including those covering the interfaces between vehicles and network, are made available free of charge and in a language that can be understood by all parties concerned.

6.   Member States may decide not to notify rules and restrictions of a strictly local nature. In such cases, Member States shall mention these rules and restrictions in the infrastructure registers referred to in Article 45.

7.   National rules notified under this Article are not subject to the notification procedure set out in Directive 98/34/EC of the European Parliament and of the Council (15).

8.   The Commission shall establish, by means of implementing acts, the classification of the notified national rules in different groups with the aim of facilitating
  cross-acceptance in different Member States and
  the compatibility checks between fixed and mobile equipment. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3).
  The Agency shall classify, in accordance with those implementing acts, the national rules notified pursuant to this Article, and shall publish the corresponding register. That register shall also list any acceptable national means of compliance. [Am. 74]

The Agency shall classify in accordance with the implementing acts referred to in the first subparagraph the national rules which are notified in accordance with this Article.

9.   Draft national rules and national rules in force shall be examined by the Agency in accordance with the procedures laid down in Articles 21 and 22 of Regulation (EU) No .../... [Agency Regulation].

Article 15

Procedure for establishing the ‘EC’ declaration of verification

1.   In order to establish the ‘EC’ declaration of verification, the applicant shall ask the notified conformity assessment body that it has selected for that purpose to apply the ‘EC’ verification procedure. The applicant may be the contracting entity or the manufacturer, or their authorised representative within the Union.

2.   The task of the notified conformity assessment body responsible for the ‘EC’ verification of a subsystem shall begin at the design stage and cover the entire manufacturing period through to the acceptance stage before the subsystem is placed in service. It may

  shall
  also cover verification of the interfaces of the subsystem in question with the system into which it is incorporated, based on the information available in the relevant TSI and in the registers provided for in Articles 44 and 45. [Am. 75]

3.   The notified conformity assessment body shall be responsible for compiling the technical file that has to accompany the ‘EC’ declaration of verification. This technical file shall contain all the necessary documents relating to the characteristics of the subsystem and, where appropriate, all the documents certifying conformity of the interoperability constituents. It shall also contain all the elements relating to the conditions and limits of use and to the instructions concerning servicing, constant or routine monitoring, adjustment and maintenance.

4.   Any amendment of the technical file referred to in paragraph 3 that has an impact on the verifications carried out implies

  upgrading shall entail
  the need to establish a new ‘EC’ declaration of verification. [Am. 76]

5.   The notified conformity assessment body may issue intermediate statement verifications to cover certain stages of the verification procedure or certain parts of the subsystem. In such a case, the verification procedures established in accordance with paragraph 7(a) shall apply.

6.   If the relevant TSIs allow, the notified conformity assessment body may issue certificates of conformity for a series of subsystems or certain parts of those subsystems.

7.   The Commission shall establish, by means of implementing acts:

| (a) | the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules. |
| --- | --- |

(a)

the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and to the verification procedure in the case of national rules.

| (b) | the templates for the ‘EC’ declaration of verification and for the declaration of verification in the case of national rules and templates for documents of the technical file that has to accompany the declaration of verification. |
| --- | --- |

(b)

the templates for the ‘EC’ declaration of verification and for the declaration of verification in the case of national rules and templates for documents of the technical file that has to accompany the declaration of verification.

Those implementing acts shall be adopted in accordance with the examination procedure referred to Article 48(3).
  [Am. 78]

7a.
     
  The Commission shall be empowered to adopt delegated acts in accordance with Article 46 in order to establish the verification procedures for subsystems, including the general principles, the content, procedure and documents related to the ‘EC’ verification procedure, and the verification procedure in the case of national rules. [Am. 79]

7b.
     
  The Commission shall establish, by means of implementing acts, the templates for the ‘EC’ declaration of verification and for the declaration of verification in the case of national rules and templates for documents to be contained in the technical file that has to accompany the declaration of verification.

Those implementing acts shall be adopted in accordance with the examination procedure referred to Article 48(3). [Am. 80]

Article 15a

Procedure for establishing the declaration of verification in the case of national rules

The procedures for establishing the ‘EC’ declaration of verification referred to in Article 15 shall also apply, where appropriate, for the establishment of the declaration of verification in respect of national rules.

Member States shall designate the bodies responsible for carrying out the verification procedure in respect of national rules in accordance with Chapter VI. [Am. 77]

Article 16

Non-compliance of subsystems with essential requirements

1.   Where a Member State finds that a structural subsystem covered by the ‘EC’ declaration of verification accompanied by the technical file does not fully comply with this Directive and in particular does not meet the essential requirements, it may request that additional checks be carried out.

2.   The Member State making the request shall forthwith inform the Commission of any additional checks requested and set out the reasons therefor. The Commission shall consult the interested parties.

3.   The Member State making the request shall state whether the failure to fully comply with this Directive is due to:

| (a) | non-compliance with the essential requirements or with a TSI, or incorrect application of a TSI; in that case, the Commission shall forthwith inform the Member State where the person who drew up the ‘EC’ declaration of verification in error resides and shall request that Member State to take the appropriate measures; |
| --- | --- |

(a)

non-compliance with the essential requirements or with a TSI, or incorrect application of a TSI; in that case, the Commission shall forthwith inform the Member State where the person who drew up the ‘EC’ declaration of verification in error resides and shall request that Member State to take the appropriate measures;

| (b) | inadequacy of a TSI; in that case, the procedure for amending the TSI as referred to in Article 6 shall apply. |
| --- | --- |

(b)

inadequacy of a TSI; in that case, the procedure for amending the TSI as referred to in Article 6 shall apply.

Article 17

Presumption of conformity

Interoperability constituents and subsystems which are in conformity with harmonised standards or parts thereof the references of which have been published in the Official Journal of the European Union shall be presumed to be in conformity with the essential requirements covered by those standards or parts thereof set out in Annex III.

CHAPTER V

PLACING ON THE MARKET AND PLACING IN SERVICE

Article 18

Placing in service of fixed installations

1.   The trackside control-command and signalling, energy and infrastructure subsystems shall be placed in service only if they are designed, constructed and installed in such a way as to meet the essential requirements as set out in Annex III, and the relevant authorisation is received in accordance with paragraph 2.

2.   Each national safety authority shall authorise the placing in service of the energy and infrastructure subsystems
  and the trackside control-command and signalling
  which are

  is not ERTMS
  located or operated in the territory of its Member State.
  National safety authorities shall take into account the opinion of the Agency when TEN-T corridors or cross borders sections are involved.

The Agency shall authorise cross-border infrastructures with one single infrastructure manager. [Am. 81]

The Agency shall grant decisions authorising the placing in service of the trackside control-command and signalling subsystems located or operated throughout

  authorise the ERTMS in close cooperation with the national safety authorities. Before the Agency authorises the ERTMS, the national safety authority shall be competent for verifying the operational compatibility with the national networks. The Agency shall ensure the uniform application of the ERTMS in
  the Union. [Am. 82]

In the case of the ERTMS, the Agency shall consult the national safety authority concerned within one month of receipt of the complete application in order to ensure a coherent development of the ERTMS within the Union. The national safety authority shall issue an opinion to the Agency regarding the technical and operational compatibility of the subsystem with the vehicles intended to operate on the relevant part of the network within two months. The Agency shall, to the extent possible, take that opinion into account before issuing the authorisation and, in the event of disagreement, shall inform the national safety authority, stating the reasons therefor. This Article is without prejudice to the Agency's obligations as a system authority under Chapter 6 of Regulation (EU) No .../... [Agency Regulation].

When the Agency disagrees with a negative assessment carried out by a national safety authority, it shall inform the authority in question to that effect, giving reasons for the disagreement. The Agency and the national safety authority shall cooperate with a view to reaching a mutually acceptable assessment. Where necessary, as decided by the Agency and the national safety authority, this process shall also involve the applicant. If no mutually acceptable assessment can be found within one month after the Agency has informed the national safety authority of its disagreement, the Agency shall take its final decision unless the national safety authority has referred the matter for arbitration to the Board of Appeal established under Article 51 of Regulation (EU) No .../... [Agency Regulation]. The Board of Appeal shall decide whether to confirm the Agency's draft decision within one month of the request of the national safety authority.

Any decision refusing the request for an authorisation for placing in service of fixed installations shall be duly substantiated by the Agency. The applicant may, within one month of receipt of the negative decision, submit a request that the Agency review its decision. That request shall be accompanied by a statement of grounds. The Agency shall have two months from the date of receipt of the request for review in which to confirm or reverse its decision. If the negative decision of the Agency is confirmed, the applicant may bring an appeal before the Board of Appeal established under Article 51 of Regulation (EU) No .../... [Agency Regulation]. [Am. 83]

The Agency and the national safety authorities shall provide detailed guidance on how to obtain the authorisations referred to in the first and second subparagraph. An application guidance document describing and explaining the requirements for those authorisations and listing the required documents shall be made available to applicants free of charge. The Agency and the national safety authorities shall cooperate in disseminating such information.

3.   In order to authorise the placing in service of the subsystems referred to in paragraph 1, the national safety authority or the Agency, depending on which is the competent authority as set out in paragraph 2, shall obtain proof of:

| (a) | the EC declaration of verification; |
| --- | --- |

(a)

the EC declaration of verification;

| (b) | the technical compatibility of these subsystems with the system into which they are being integrated, established on the basis of the relevant TSIs, national rules and registers; |
| --- | --- |

(b)

the technical compatibility of these subsystems with the system into which they are being integrated, established on the basis of the relevant TSIs, national rules and registers;

| (c) | the safe integration of these subsystems, established on the basis of the relevant TSIs, national rules, registers, and the common safety methods set out in Article 6 of Directive.../.../EU [Railway Safety Directive]; |
| --- | --- |

(c)

the safe integration of these subsystems, established on the basis of the relevant TSIs, national rules, registers, and the common safety methods set out in Article 6 of Directive.../.../EU [Railway Safety Directive];

| (ca) | the declaration of verification in the case of national rules. [Am. 84] |
| --- | --- |

(ca)

the declaration of verification in the case of national rules. [Am. 84]

Within one month of receipt of the request of the applicant, the Agency or the national safety authority, depending on which is the competent authority, shall inform the applicant that the file is complete or ask for relevant supplementary information, setting a reasonable deadline for the provision of that information. [Am. 85]

4.   In the event of renewal or upgrading of existing subsystems, the applicant shall send
  a file describing the project
  to the national safety authority (for energy and infrastructure subsystems
  and for trackside control-command and signalling subsystems which are not ERTMS
  ) or the Agency (for trackside control-command and signalling subsystems

  ERTMS and for cross-border infrastructures with one single infrastructure manager
  ), a file describing the project. The national safety authority or the Agency shall examine this file and shall decide, on the basis of the criteria set out in paragraph 5, whether a new authorisation for placing in service is needed. The national safety authority and the Agency shall take their decisions within a pre-determined, reasonable time, and, in any case, within four

  three
  months from receipt of all relevant information. [Am. 86]

5.   In the event of renewal or upgrading of existing subsystems, a new ‘EC’ declaration of verification shall be needed as set out in Article 15(4). In addition, a new authorisation for placing in service shall be required when:

| (a) | the overall safety level of the subsystem concerned may be adversely affected by the works envisaged; or |
| --- | --- |

(a)

the overall safety level of the subsystem concerned may be adversely affected by the works envisaged; or

| (b) | it is required by the relevant TSIs; or |
| --- | --- |

(b)

it is required by the relevant TSIs; or

| (c) | it is required by the national implementation plans established by the Member States. |
| --- | --- |

(c)

it is required by the national implementation plans established by the Member States.

Article 19

Placing on the market of mobile subsystems

1.   The rolling stock subsystem and the on-board control-command and signalling subsystem

  Mobile subsystems
  shall be placed on the market by the applicant only if they are designed, constructed and installed in such a way as to meet the essential requirements as set out in Annex III. [Am. 87]

2.   In particular, the applicant shall ensure that the EC declaration of verification has been provided.

3.   In the event of renewal or upgrading of existing subsystems, a new ‘EC’ declaration of verification shall be needed as set out in Article 15(4).

Article 20

Vehicle authorisation for placing on the market

1.   A vehicle shall be placed on the market only after having received the

  a
  vehicle authorisation for placing on the market issued by the Agency in accordance with paragraph 5

  this Article
  . [Am. 88]

The vehicle authorisation shall state:

| (a) | the area of use; |
| --- | --- |

(a)

the area of use;

| (b) | the values of the parameters set out in the TSIs and, where applicable, in the national rules, as relevant for checking the technical compatibility between the vehicle and the area of use; |
| --- | --- |

(b)

the values of the parameters set out in the TSIs and, where applicable, in the national rules, as relevant for checking the technical compatibility between the vehicle and the area of use;

| (c) | the vehicle's compliance with the relevant TSIs and sets of national rules, in relation to the parameters referred to in point (b); |
| --- | --- |

(c)

the vehicle's compliance with the relevant TSIs and sets of national rules, in relation to the parameters referred to in point (b);

| (d) | the conditions for the use of the vehicle and any other restrictions. [Am. 89] |
| --- | --- |

(d)

the conditions for the use of the vehicle and any other restrictions. [Am. 89]

2.   The Agency shall issue decisions granting vehicle authorisations for placing on the market. Those authorisations attest the values of the parameters relevant for checking the technical compatibility between the vehicle and the fixed installations as set out in the TSIs. The vehicle authorisation for placing on the market shall also provide information about the vehicle’s compliance with the relevant TSIs and sets of national rules, related to these parameters. The
  vehicle authorisation
  shall
  be issued on the basis of a file in respect of the vehicle or type of vehicle produced by the applicant and including documentary evidence of the following:

| — | in relation to the mobile subsystems composing
  the vehicle:








  (a) | the appropriate declaration of verification in accordance with Article 19; |
| --- | --- | --- |

—

in relation to the mobile subsystems composing
  the vehicle:

(a)

the appropriate declaration of verification in accordance with Article 19;

| (b) | the technical compatibility within
  the vehicle; |
| --- | --- |

(b)

the technical compatibility within
  the vehicle;

| (c) | the safe integration within the vehicle; |
| --- | --- |

(c)

the safe integration within the vehicle;

| — | in relation to the vehicle:




  the technical compatibility of the vehicle with the networks in the area of use
  . [Am. 90] |
| --- | --- |

—

in relation to the vehicle:

the technical compatibility of the vehicle with the networks in the area of use
  . [Am. 90]

The technical compatibility shall be established on the basis of the relevant TSIs and, where applicable, national rules and registers. Whenever tests are necessary in order to obtain documentary evidence of the technical compatibility, the national safety authorities involved may issue temporary authorisations to the applicant to use the vehicle for practical verifications on the network. The infrastructure manager, in consultation with the applicant, shall make every effort to ensure that any tests take place within one month of receipt of the applicant's request. Where appropriate, the national safety authority shall take measures to ensure that tests take place.

The safe integration of the subsystems within the vehicle shall be established on the basis of the relevant TSIs, the common safety methods set out in Article 6 of Directive .../.../EU [Railway Safety Directive] and, where applicable, national rules. [Am. 91]

3.   The
  Agency shall grant a
  vehicle authorisation for placing on the market may stipulate conditions for the use of the vehicle and other restrictions

  after having assessed the elements of the file referred to in paragraph 2 within a pre-determined, reasonable time, and, in any case, within four months from receipt of all relevant information from the applicant. Within one month, the Agency shall indicate to the applicant whether or not the file is complete
  .
  Any negative decision made in relation to an application shall be duly substantiated.

Authorisations shall be recognised in all Member States.

The Agency shall assume full responsibility for the authorisations it issues. [Am. 92]

3a.
     
  During the transitional period referred to in Article 50a, the applicant may choose to submit its application for vehicle authorisation to the Agency or to the relevant national safety authority. [Am. 94]

4.   The vehicle authorisation for placing on the market shall be issued on the basis of a file of the vehicle or type of vehicle produced by the applicant and including the documentary evidence of:

| (a) | the placing on the market of the mobile subsystems composing the vehicle according to Article 19; |
| --- | --- |

(a)

the placing on the market of the mobile subsystems composing the vehicle according to Article 19;

| (b) | the technical compatibility of the subsystems referred to in point (a) within the vehicle, established on the basis of the relevant TSIs, national rules and registers; |
| --- | --- |

(b)

the technical compatibility of the subsystems referred to in point (a) within the vehicle, established on the basis of the relevant TSIs, national rules and registers;

| (c) | the safe integration of the subsystems referred to in point (a) within the vehicle, established on the basis of the relevant TSIs, national rules, and the common safety methods set out in Article 6 of Directive .../... [on the safety of the rail system within the Union].
  [Am. 93] |
| --- | --- |

(c)

the safe integration of the subsystems referred to in point (a) within the vehicle, established on the basis of the relevant TSIs, national rules, and the common safety methods set out in Article 6 of Directive .../... [on the safety of the rail system within the Union].
  [Am. 93]

5.   The Agency

  Any decision refusing the authorisation of a vehicle
  shall take the decisions referred to in paragraph 2 within a pre-determined, reasonable time, and, in any case, within four

  be duly substantiated. The applicant may, within a period of one month from receipt of the negative decision, request that the Agency or the national safety authority, as appropriate, review the decision. The Agency or the national safety authority shall have two
  months from
  the date of
  receipt of all relevant information. These authorisations shall be valid in all Member States.

  the request for review in which to confirm or reverse its decision
  . [Am. 95]

If a negative decision is confirmed by the Agency, the applicant may bring an appeal before the Board of Appeal designated under Article 51 of Regulation (EU) No
  ...
  /... [Agency Regulation]. [Am. 96]

If the negative decision of a national safety authority is confirmed, the applicant may bring an appeal before the appeal body designated by the competent Member State under Article 17(3) of Directive .../... [Railway Safety Directive]. Member States may designate the regulatory body set out in Article 56 of Directive 2012/34/EU of the European Parliament and of the Council

   (16)

  for the purposes of that appeal procedure. [Am. 97]

The Agency shall provide detailed guidance on how to obtain the vehicle authorisation for placing on the market. An application guidance document describing and explaining the requirements for the vehicle authorisation for placing on the market and listing the required documents shall be made available to applicants free of charge. The national safety authorities shall cooperate with the Agency in disseminating such information.

6.   The Agency may issue

  amend or revoke a
  vehicle authorisation for placing on the market for a series of vehicles. Those authorisations shall be valid in all Member States

  if it no longer satisfies the conditions according to which it was issued, giving reasons for its decision in that regard. The Agency shall immediately update the European vehicle register defined in Article 43a.

If a national safety authority finds that an authorised vehicle does not comply with essential requirements, it shall immediately inform the Agency and all other relevant national safety authorities. The Agency shall decide on the necessary measures within one month. In cases necessitating urgent preventive measures, the Agency may immediately restrict or suspend the authorisation before taking its decision
  . [Am. 98]

7.   The applicant may bring an appeal before the Board of Appeal designated under Article 51 of Regulation (EU) No .../... [establishing a European railway agency] against decisions of the Agency or its failure to act within the time limits referred to in paragraph 5. The
  Commission shall be empowered to adopt, not later than six months after the adoption of this Directive, delegated acts in accordance with
  Article
  46, concerning detailed rules on the authorisation procedure, including:

| (a) | detailed guidance describing and explaining the requirements for the vehicle authorisation and the documents required; |
| --- | --- |

(a)

detailed guidance describing and explaining the requirements for the vehicle authorisation and the documents required;

| (b) | procedural arrangements for the authorisation process, such as content and timeframes for each stage of the process; |
| --- | --- |

(b)

procedural arrangements for the authorisation process, such as content and timeframes for each stage of the process;

| (c) | criteria for assessment of the applicants' files
  . [Am. 99] |
| --- | --- |

(c)

criteria for assessment of the applicants' files
  . [Am. 99]

8.   In the event of renewal or upgrading of existing vehicles which already have a vehicle authorisation for placing on the market:

| (a) | a new ‘EC’ declaration of verification shall be needed as set out in Article 15(4), and |
| --- | --- |

(a)

a new ‘EC’ declaration of verification shall be needed as set out in Article 15(4), and

| (b) | a new vehicle authorisation for placing on the market shall be required if any
  major
  changes are made to the values of the parameters included in the vehicle authorisation already granted. [Am. 100] |
| --- | --- |

(b)

a new vehicle authorisation for placing on the market shall be required if any
  major
  changes are made to the values of the parameters included in the vehicle authorisation already granted. [Am. 100]

9.   At the request of the applicant, the vehicle authorisation for placing on the market may include a clear indication of the networks or lines or groups of networks or lines where the railway undertaking may place such a vehicle in service without further verifications, checks or tests concerning the technical compatibility between the vehicle and these networks or lines. In that case, the applicant shall include in its request the proof of the technical compatibility of the vehicle with the networks or lines concerned.

This indication may be also added, at the request of the original or another applicant, after the relevant authorisation for placing on the market has been issued.
  [Am. 101]

9a.
     
  Authorisation for vehicles operated or intended to be operated on railway infrastructure of isolated rail networks may also be granted by national safety authorities of the Member States in which the network in question is located. In such cases, the applicant may choose between applying to the Agency or to the national safety authorities of those Member States.

Within the transitional period referred to in Article 50a, the national safety authorities of the Member States in which an isolated rail network is located shall establish common vehicle authorisation procedures and ensure mutual recognition of vehicle authorisations issued by them. In the case of conflicting decisions of the national safety authorities and in the absence of any mutually acceptable decision, the Agency shall take a decision in accordance with Article 16 of Regulation (EU) No .../... [Agency Regulation] accordingly.

If by the end of the transitional period referred to in Article 50a, those national safety authorities have not established arrangements for common authorisation procedures and mutual recognition of vehicle authorisations, the authorisations referred to in this Article shall be granted only by the Agency.

If the arrangements for common authorisation procedures and mutual recognition of vehicle authorisations are established, the national safety authorities of the Member States having isolated rail networks may continue to issue vehicle authorisations and the applicant may choose to apply for vehicle authorisation to the Agency or to the relevant national safety authorities after the end of the transitional period referred in Article 50a.

Ten years after the entry into force of this Directive, the Commission shall present to the European Parliament and the Council a report on the progress achieved towards interoperability on the isolated rail network and shall, if necessary, submit the appropriate legislative proposal. [Am. 102]

Article 20a

Registration of authorised vehicles

Before a vehicle is used for the first time, after authorisation in respect of it has been granted in accordance with Article 20, it shall be registered at the request of the keeper.

When the authorisation has been granted by the Agency, the vehicle shall be registered in the European Register in accordance with Article 43a.

When the area of use of the vehicle is restricted to the territory of one Member State and the authorisation has been granted by a national safety authority, it shall be registered in the national vehicle register of that Member State in accordance with Article 43. [Am. 103]

Article 21

Placing in service

  Use
  of vehicles [Am. 104]

1.   Railway undertakings shall place in service

  Before a railway undertaking uses
  a vehicle only after having checked, , in consultation with the infrastructure manager, the technical compatibility between the vehicle and the route and the safe integration of the vehicle into the system in which it is intended to operate, established on the basis of the relevant TSIs, national rules, registers, and the common

  in the area of use specified in the vehicle authorisation, it shall ensure, using its
  safety methods set out in Article 6 of Directive.

  management system: [Am. 105]

To this aim, vehicles shall first receive

| (a) | that
  the vehicle authorisation for placing on the market

  has been authorised
  in accordance with Article 20
  and is duly registered; [Am. 106] |
| --- | --- |

(a)

that
  the vehicle authorisation for placing on the market

  has been authorised
  in accordance with Article 20
  and is duly registered; [Am. 106]

| (aa) | the technical compatibility between the vehicle and the route on the basis of the infrastructure register, the relevant TSIs and any other information to be provided by the infrastructure manager free of charge and within a reasonable period of time, where the infrastructure register does not exist or is incomplete; and [Am. 107] |
| --- | --- |

(aa)

the technical compatibility between the vehicle and the route on the basis of the infrastructure register, the relevant TSIs and any other information to be provided by the infrastructure manager free of charge and within a reasonable period of time, where the infrastructure register does not exist or is incomplete; and [Am. 107]

| (ab) | the integration of the vehicle into the composition of the train in which it is intended to operate, on the basis of safety management systems as set out in Article 9 of the Safety directive and the TSI on operation and management. [Am. 108] |
| --- | --- |

(ab)

the integration of the vehicle into the composition of the train in which it is intended to operate, on the basis of safety management systems as set out in Article 9 of the Safety directive and the TSI on operation and management. [Am. 108]

1a.
     
  In order to help the railway undertakings to check the technical compatibility and safe integration as between the vehicle and the route(s), the infrastructure manager shall, upon request, provide the railway undertakings with additional information relating to the characteristics of the route(s). [Am. 109]

2.   The railway undertaking shall communicate its decisions with respect to the placing in service

  operation
  of vehicles to the Agency, the infrastructure manager and the national safety authority concerned. These decisions shall be recorded in the national vehicle registers

  register
  referred to in Article 43
  and in the European Register referred to in Article 43a
  . [Am. 110]

3.   In the event of renewal or upgrading of existing vehicles, a new ‘EC’ declaration of verification shall be needed as set out in Article 15(4). In addition, a new decision taken by the railway undertaking for placing in service of these vehicles shall be required when:

| (a) | the overall safety level of the subsystem concerned may be adversely affected by the works envisaged, or |
| --- | --- |

(a)

the overall safety level of the subsystem concerned may be adversely affected by the works envisaged, or

| (b) | it is required by the relevant TSIs.
  [Am. 111] |
| --- | --- |

(b)

it is required by the relevant TSIs.
  [Am. 111]

Article 22

Authorisation to place vehicle types on the market

  Vehicle type authorisation [Am. 112]

1.   The Agency shall grant authorisations to place

  , or the national safety authorities during the transitional period referred to in Article 50a, shall grant
  vehicle types on the market

  type authorisations
  . [Am. 113]

The Agency
  and the national safety authorities
  shall provide detailed guidance on how to obtain the authorisation to place vehicle types on the market

  type authorisation
  . An application guidance document describing and explaining the requirements for the authorisation to place vehicle types on the market and listing the required documents shall be made available to applicants free of charge. The national safety authorities shall cooperate with the Agency in disseminating such information. [Am. 114]

2.   However, if
  a vehicle authorisation is issued by
  the Agency issues a

  or by the national safety authorities, the
  vehicle
  type
  authorisation for placing on the market, it shall

  shall be issued
  at the same time issue the authorisation to place the corresponding vehicle type on the market. [Am. 115]

3.   A vehicle which is in conformity with a vehicle type for which an authorisation to place the corresponding vehicle type on the market has been already issued shall, without further checks, receive a vehicle authorisation for placing on the market on the basis of a declaration of conformity to this type submitted by the applicant. [Am. 116]

4.   In the event of changes to any relevant provisions in TSIs or national rules, on the basis of which an

  a vehicle type
  authorisation to place a vehicle type on the market has been issued, the TSI or national rule shall determine whether the
  vehicle type
  authorisation to place that vehicle type on the market already granted remains valid or needs to be renewed. If that authorisation needs to be renewed, the checks performed by the Agency may only concern the changed rules. The renewal of the
  vehicle type
  authorisation to place a vehicle type on the market does not affect
  the
  vehicle authorisations for placing on the market already issued on the basis of the previous
  vehicle type
  authorisation to place that vehicle type on the market. [Am. 117]

5.   The declaration of conformity to type shall be established in accordance with Decision 2010/713/EU.

6.   The declaration of conformity to type shall be established in accordance with:

| (a) | for TSI-conform vehicles, the verification procedures of the relevant TSIs; |
| --- | --- |

(a)

for TSI-conform vehicles, the verification procedures of the relevant TSIs;

| (b) | for non-TSI-conform vehicles, the conformity assessment procedures as defined in modules B+D and B+F of Decision 768/2008/EC. Where appropriate, the Commission may adopt implementing acts establishing ad hoc modules for conformity assessment. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3). |
| --- | --- |

(b)

for non-TSI-conform vehicles, the conformity assessment procedures as defined in modules B+D and B+F of Decision 768/2008/EC. Where appropriate, the Commission may adopt implementing acts establishing ad hoc modules for conformity assessment. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3).

7.   The authorisation to place vehicle types on the market shall be registered in the European register of authorisations to place a vehicle types on the market referred to in Article 44.

Article 22a

Cooperation between the Agency and the national safety authorities

For the purposes of Articles 18, 20 and 22, the Agency may conclude cooperation agreements with national safety authorities in accordance with Article 69 of Regulation (EU) No .../... [Agency Regulation].

Such agreements may be specific or framework agreements, and may involve one or more national safety authorities. They shall contain a detailed description of tasks and conditions for deliverables and shall specify the time-limits applying to their delivery, as well as details of the apportionment of the fees paid by the applicant.

They may also include specific cooperation arrangements in the case of networks requiring specific expertise due to geographical, advanced ERTMS deployment or a different gauge, or for historical reasons, with a view to reducing the administrative burden and the costs to be borne by the applicant. Such agreements shall be in place before the Agency is entitled to receive applications in accordance with this Directive, and in any case by six months following the date of entry into force of this Directive.

The Commission shall be empowered to adopt delegated acts in accordance with Article 46 concerning such cooperation agreements. Those delegated acts shall be adopted at the latest six months following the date of entry into force of this Directive.

Five years after the conclusion of the first cooperation agreement, and every three years thereafter, the Commission shall present to the European Parliament and to the Council a report assessing the cooperation agreements concluded by the Agency. [Am. 118]

CHAPTER VI

NOTIFICATION OF CONFORMITY ASSESMENT BODIES

Article 23

Notification

Member States shall notify the Commission and the other Member States of bodies authorised to carry out third-party conformity assessment tasks under this Directive.

Article 24

Notifying authorities

1.   Member States shall designate a notifying authority that shall be responsible for setting up and carrying out the necessary procedures for the assessment and notification of conformity assessment bodies and the monitoring of notified conformity assessment bodies, including compliance with the provisions of Articles 27 to 29.

2.   Member States may decide that the assessment and monitoring referred to in paragraph 1 shall be carried out by a national accreditation body within the meaning of and in accordance with Regulation (EC) No 765/2008.

3.   Where the notifying authority delegates or otherwise entrusts the assessment, notification or monitoring referred to in paragraph 1 to a body which is not a governmental entity, that body shall be a legal entity and shall comply with the requirements laid down in Article 25. It shall put in place arrangements to cover liabilities arising out of its activities.

4.   The notifying authority shall take full responsibility for the tasks performed by the body referred to in paragraph 3.

Article 25

Requirements relating to notifying authorities

1.   A notifying authority shall be established in such a way that no conflict of interest with conformity assessment bodies occurs.

2.   A notifying authority shall be organised and operated so as to safeguard the objectivity and impartiality of its activities.

3.   A notifying authority shall be organised in such a way that each decision relating to notification of a conformity assessment body is taken by competent persons different from those who carried out the assessment.

4.   A notifying authority shall not offer or provide any activities that are performed by conformity assessment bodies or consultancy services on a commercial or competitive basis.

5.   A notifying authority shall safeguard the confidentiality of the information it obtains.

6.   A notifying authority shall have a sufficient number of competent personnel at its disposal for the proper performance of its tasks.

Article 26

Information obligation on notifying authorities

Member States shall inform the Commission of their procedures for the assessment and notification of conformity assessment bodies and the monitoring of notified bodies, and of any changes thereto.

The Commission shall make that information publicly available.

Article 27

Requirements relating to conformity assessment bodies

1.   For the purposes of notification, a conformity assessment body shall meet the requirements laid down in paragraphs 2 to 7 and in Articles 28 and 29. These requirements are also applicable to bodies designated by Member States pursuant to Article 13(4).

2.   A conformity assessment body shall be established under national law and have legal personality.

3.   A conformity assessment body shall be capable of carrying out all the conformity assessment tasks assigned to it by the relevant TSI and in relation to which it has been notified, whether those tasks are carried out by the conformity assessment body itself or on its behalf and under its responsibility.

At all times and for each conformity assessment procedure and each kind or category of products in relation to which it has been notified, a conformity assessment body shall have at its disposal:

| (a) | the necessary personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment tasks; |
| --- | --- |

(a)

the necessary personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment tasks;

| (b) | the relevant descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures. It shall have appropriate policies and procedures in place that distinguish between tasks it carries out as a notified conformity assessment body and other activities; |
| --- | --- |

(b)

the relevant descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures. It shall have appropriate policies and procedures in place that distinguish between tasks it carries out as a notified conformity assessment body and other activities;

| (c) | the proper procedures for the performance of activities which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process. |
| --- | --- |

(c)

the proper procedures for the performance of activities which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process.

It shall have the means necessary to perform the technical and administrative tasks connected with the conformity assessment activities in an appropriate manner and shall have access to all necessary equipment or facilities.

4.   Conformity assessment bodies shall take out liability insurance unless liability is assumed by the State in accordance with national law, or the Member State itself is directly responsible for the conformity assessment.

5.   The personnel of a conformity assessment body shall observe professional secrecy with regard to all information obtained in carrying out their tasks under the relevant TSI or any provision of national law giving effect to it, except in relation to the competent authorities of the Member State in which its activities are carried out. Proprietary rights shall be protected.

6.   Conformity assessment bodies shall participate in, or ensure that their assessment personnel are informed of, the relevant standardisation activities and the activities of the notified conformity assessment bodies coordination group established under the relevant Union's legislation and apply as general guidance the administrative decisions and documents produced as a result of the work of that group.

7.   Conformity assessment bodies shall participate in, or shall ensure that their assessment personnel are informed of, the activities of the ERTMS ad hoc working group set out in Article 25 of Regulation (EU) No .../... [Agency Regulation]. They shall follow the guidelines produced as a result of the work of that group. In case they consider it inappropriate or impossible to apply them, the conformity assessment bodies concerned shall submit their observations for discussion to the ERTMS ad hoc working group for the continuous improvement of the guidelines.

Article 28

Impartiality of conformity assessment bodies

1.   A conformity assessment body shall be a third-party body independent from the organisation or from the manufacturer of the product it assesses.

A body belonging to a business association or professional federation representing undertakings involved in the design, manufacturing, provision, assembly, use or maintenance of products which it assesses, may, on condition that its independence and the absence of any conflict of interest are demonstrated, be considered such a body.

2.   The impartiality of the conformity assessment bodies, their top level management and of the assessment personnel shall be guaranteed.

3.   A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment tasks shall not be the designer, manufacturer, supplier, installer, purchaser, owner, user or maintainer of the products which they assess, nor the authorised representative of any of those parties. This shall not preclude the use of assessed products that are necessary for the operations of the conformity assessment body or the use of such products for personal purposes.

4.   A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment tasks shall not be directly involved in the design, manufacture or construction, the marketing, installation, use or maintenance of those products, or represent the parties engaged in those activities. They shall not engage in any activity that may conflict with their independence of judgement or integrity in relation to conformity assessment activities for which they are notified. This shall in particular apply to consultancy services.

5.   Conformity assessment bodies shall ensure that the activities of their subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of their conformity assessment activities.

6.   Conformity assessment bodies and their personnel shall carry out the conformity assessment activities with the highest degree of professional integrity and the requisite technical competence in the specific field and shall be free from all pressures and inducements, particularly financial, which might influence their judgement or the results of their conformity assessment activities, especially as regards persons or groups of persons with an interest in the results of those activities.

Article 29

Personnel of conformity assessment bodies

1.   The personnel responsible for carrying out conformity assessment activities shall have the following skills:

| (a) | sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified
  , as well as training concerning accessibility issues
  ; [Am. 119] |
| --- | --- |

(a)

sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified
  , as well as training concerning accessibility issues
  ; [Am. 119]

| (b) | satisfactory knowledge of the requirements of the assessments they carry out and adequate authority to carry out those assessments; |
| --- | --- |

(b)

satisfactory knowledge of the requirements of the assessments they carry out and adequate authority to carry out those assessments;

| (c) | appropriate knowledge and understanding of the essential requirements, of the applicable harmonised standards and of the relevant provisions of Union's legislation and of its implementing regulations; |
| --- | --- |

(c)

appropriate knowledge and understanding of the essential requirements, of the applicable harmonised standards and of the relevant provisions of Union's legislation and of its implementing regulations;

| (d) | the ability to draw up certificates, records and reports demonstrating that assessments have been carried out. |
| --- | --- |

(d)

the ability to draw up certificates, records and reports demonstrating that assessments have been carried out.

2.   The remuneration of the top level management and assessment personnel of a conformity assessment body shall not depend on the number of assessments carried out or on the results of those assessments.

Article 30

Presumption of conformity of a conformity assesment body

Where a conformity assessment body demonstrates its conformity with the criteria laid down in the relevant harmonised standards or parts thereof the references of which have been published in the Official Journal of the European Union, it shall be presumed to comply with the requirements set out in Articles 27 to 29, in so far as the applicable harmonised standards cover those requirements.

Article 31

Subsidiaries of and subcontracting by conformity asssessment bodies

1.   Where a notified conformity assessment body subcontracts specific tasks connected with conformity assessment or has recourse to a subsidiary, it shall ensure that the subcontractor or the subsidiary meets the requirements set out in Articles 27 to 29 and shall inform the notifying authority accordingly.

2.   Notified bodies shall take full responsibility for the tasks performed by subcontractors or subsidiaries wherever these are established.

3.   Activities of notified bodies may be subcontracted or carried out by a subsidiary only with the agreement of the client.

4.   Notified bodies shall keep at the disposal of the notifying authority the relevant documents concerning the assessment of the qualifications of the subcontractor or the subsidiary and the work carried out by them under the relevant TSI.

Article 32

Accredited in-house bodies

1.   The applicant undertaking may use an accredited in-house body to carry out conformity assessment activities for the purpose of implementing the procedures set out in modules A1, A2, C1 or C2 defined in Annex II to Decision 768/2008/EC and modules CA1 and CA2 defined in Annex I to Decision 2010/713/EC. That body shall constitute a separate and distinct part of the applicant undertaking and shall not participate in the design, production, supply, installation, use or maintenance of the products it assesses.

2.   An accredited in-house body shall meet the following requirements:

| (a) | it shall be accredited in accordance with Regulation (EC) No 765/2008; |
| --- | --- |

(a)

it shall be accredited in accordance with Regulation (EC) No 765/2008;

| (b) | the body and its personnel shall be organisationally identifiable and have reporting methods within the undertaking of which they form a part which ensure their impartiality and demonstrate it to the relevant national accreditation body; |
| --- | --- |

(b)

the body and its personnel shall be organisationally identifiable and have reporting methods within the undertaking of which they form a part which ensure their impartiality and demonstrate it to the relevant national accreditation body;

| (c) | neither the body nor its personnel shall be responsible for the design, manufacture, supply, installation, operation or maintenance of the products they assess nor shall they engage in any activity that might conflict with their independence of judgment or integrity in relation to their assessment activities; |
| --- | --- |

(c)

neither the body nor its personnel shall be responsible for the design, manufacture, supply, installation, operation or maintenance of the products they assess nor shall they engage in any activity that might conflict with their independence of judgment or integrity in relation to their assessment activities;

| (d) | the body shall supply its services exclusively to the undertaking of which it forms a part. |
| --- | --- |

(d)

the body shall supply its services exclusively to the undertaking of which it forms a part.

3.   An accredited in-house body shall not be notified to the Member States or the Commission, but information concerning its accreditation shall be given by the undertaking of which it forms a part or by the national accreditation body to the notifying authority at the request of that authority.

Article 33

Application for notification

1.   A conformity assessment body shall submit an application for notification to the notifying authority of the Member State in which it is established.

2.   That application shall be accompanied by a description of the conformity assessment activities, the conformity assessment module or modules and the product or products for which that body claims to be competent, as well as by an accreditation certificate, where one exists, issued by a national accreditation body attesting that the conformity assessment body fulfils the requirements laid down in Articles 27 to 29.

3.   Where the conformity assessment body concerned cannot provide an accreditation certificate, it shall provide the notifying authority with all the documentary evidence necessary for the verification, recognition and regular monitoring of its compliance with the requirements laid down in Articles 27 to 29.

Article 34

Notification procedure

1.   Notifying authorities may notify only conformity assessment bodies which comply with the requirements laid down in Articles 27 to 29.

2.   They shall notify the Commission and the other Member States using the electronic notification tool developed and managed by the Commission.

3.   The notification shall include full details of the conformity assessment activities, the conformity assessment module or modules and product or products concerned and the relevant attestation of competence.

4.   Where a notification is not based on an accreditation certificate as referred to in Article 33(2), the notifying authority shall provide the Commission and the other Member States with documentary evidence which attests to the conformity assessment body’s competence and the arrangements in place to ensure that that body will be monitored regularly and will continue to satisfy the requirements laid down in Articles 27 to 29.

5.   The body concerned may perform the activities of a notified conformity assessment body only where no objections are raised by the Commission or the other Member States within two weeks of a notification where an accreditation certificate is used or within two months of a notification where accreditation is not used.

6.   The Commission and the other Member States shall be notified of any subsequent relevant changes to the notification.

Article 35

Identification numbers and lists of notified conformity assessment bodies

1.   The Commission shall assign an identification number to a notified conformity assessment body.

A notified conformity assessment body shall be assigned a single identification number even where it is notified under several Union acts.

2.   The Commission shall make publicly available the list of the bodies notified under this Directive, including the identification numbers that have been allocated to them and the activities for which they have been notified.

The Commission shall ensure that that list is kept up to date.

Article 36

Changes to notifications

1.   Where a notifying authority has ascertained or has been informed that a notified conformity assessment body no longer meets the requirements laid down in Articles 27 to 29, or that it is failing to fulfil its obligations, the notifying authority shall restrict, suspend or withdraw notification as appropriate, depending on the seriousness of the failure to meet those requirements or fulfil those obligations. It shall immediately inform the Commission and the other Member States accordingly.

2.   In the event of restriction, suspension or withdrawal of notification, or where the notified conformity assessment body has ceased its activity, the notifying Member State shall take appropriate steps to ensure that the files of that body are either processed by another notified conformity assessment body or kept available for the responsible notifying and market surveillance authorities at their request.

Article 37

Challenge of the competence of notified bodies

1.   The Commission shall investigate all cases where it doubts, or doubt is brought to its attention, regarding the competence of a notified conformity assessment body or the continued fulfilment by a notified conformity assessment body of the requirements and responsibilities to which it is subject.

2.   The notifying Member State shall provide the Commission, on request, with all information relating to the basis for the notification or the maintenance of the competence of the body concerned.

3.   The Commission shall ensure that all sensitive information obtained in the course of its investigations is treated confidentially.

4.   Where the Commission ascertains that a notified conformity assessment body does not meet or no longer meets the requirements for its notification, it shall inform the notifying Member State accordingly and request it to take the necessary corrective measures, including withdrawal of notification if necessary.

Article 38

Operational obligations of notified bodies

1.   Notified bodies shall carry out conformity assessments in accordance with the conformity assessment procedures provided for in the relevant TSI.

2.   Conformity assessments shall be carried out in a proportionate manner, avoiding unnecessary burdens for economic operators. Conformity assessment bodies shall perform their activities taking due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process.

In so doing they shall nevertheless operate with the aim of assessing the compliance of the product with the provisions of this Directive.

3.   Where a notified conformity assessment body finds that requirements laid down in the relevant TSI or corresponding harmonised standards or technical specifications have not been met by a manufacturer, it shall require that manufacturer to take appropriate corrective measures and shall not issue a conformity certificate.

4.   Where, in the course of the monitoring of conformity following the issue of a certificate, a notified conformity assessment body finds that a product no longer complies with the relevant TSI or corresponding harmonised standards or technical specifications, it shall require the manufacturer to take appropriate corrective measures and shall suspend or withdraw the certificate if necessary.

5.   Where corrective measures are not taken or do not have the required effect, the notified conformity assessment body shall restrict, suspend or withdraw any certificates, as appropriate.

Article 39

Information obligation on notified bodies

1.   Notified bodies shall inform the notifying authority of the following:

| (a) | any refusal, restriction, suspension or withdrawal of a certificate; |
| --- | --- |

(a)

any refusal, restriction, suspension or withdrawal of a certificate;

| (b) | any circumstances affecting the scope of and conditions for notification; |
| --- | --- |

(b)

any circumstances affecting the scope of and conditions for notification;

| (c) | any request for information which they have received from market surveillance authorities regarding conformity assessment activities; |
| --- | --- |

(c)

any request for information which they have received from market surveillance authorities regarding conformity assessment activities;

| (d) | on request, conformity assessment activities performed within the scope of their notification and any other activity performed, including cross-border activities and subcontracting. |
| --- | --- |

(d)

on request, conformity assessment activities performed within the scope of their notification and any other activity performed, including cross-border activities and subcontracting.

2.   Notified bodies shall provide the other bodies notified under this Directive carrying out similar conformity assessment activities covering the same products with relevant information on issues relating to negative and, on request, positive conformity assessment results.

3.   Notified bodies shall provide to the Agency the EC certificates of verification of subsystems, the EC certificates of conformity of interoperability constituents and the EC certificates of suitability of use of interoperability constituents.

Article 40

Exchange of experience

The Commission shall provide for the organisation of exchange of experience between the Member States’ national authorities responsible for notification policy.

Article 41

Coordination of notified bodies

The Commission shall ensure that appropriate coordination and cooperation between bodies notified under this Directive are put in place and properly operated in the form of a sectoral group of notified bodies. The Agency shall support the activities of notified bodies in accordance with Article 20 of Regulation (EU) No .../... [Agency Regulation].

Member States shall ensure that the bodies notified by them participate in the work of that group, directly or by means of designated representatives.

CHAPTER VII

REGISTERS

Article 42

Vehicle numbering system

1.   Any vehicle placed in service in the Union's rail system shall carry a European vehicle number (EVN) assigned by the national safety authority competent for the relevant territory before the first placing in service

  Agency at the time
  of
  issuing
  the vehicle

  authorisation
  . [Am. 120]

2.   The railway undertaking operating a vehicle shall ensure the vehicle is marked with the assigned EVN
  and shall be responsible for ensuring that the vehicle is properly registered
  . [Am. 121]

3.   The EVN is specified in Commission Decision 2007/756/EC (17).

4.   A vehicle shall be assigned an EVN only once, unless otherwise specified in Decision 2007/756/EC.

5.   Notwithstanding paragraph 1, in the case of vehicles operated or intended to be operated from or to third countries the track gauge of which is different from that of the main rail network within the Union, Member States may accept vehicles clearly identified according to a different coding system.

Article 43

National vehicle registers

1.   Each Member State shall keep a register of the vehicles placed in service in its territory. This register shall meet the following criteria:

| (a) | it shall comply with the common specifications referred to in paragraph 2; |
| --- | --- |

(a)

it shall comply with the common specifications referred to in paragraph 2;

| (b) | it shall be kept updated by a body independent of any railway undertaking; |
| --- | --- |

(b)

it shall be kept updated by a body independent of any railway undertaking;

| (c) | it shall be accessible to the national safety authorities and investigating bodies designated in Articles 16 and 21 of Directive [.../... on the safety of the rail system within the Union]; it shall also be made accessible, in response to any legitimate request, to the regulatory bodies designated in Articles 55 and 56 of Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area

   (18)

  and to the Agency, the railway undertakings and the infrastructure managers, as well as those persons or organisations registering vehicles or identified in the register

  public
  . [Am. 122] |
| --- | --- |

(c)

it shall be accessible to the national safety authorities and investigating bodies designated in Articles 16 and 21 of Directive [.../... on the safety of the rail system within the Union]; it shall also be made accessible, in response to any legitimate request, to the regulatory bodies designated in Articles 55 and 56 of Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area

   (18)

  and to the Agency, the railway undertakings and the infrastructure managers, as well as those persons or organisations registering vehicles or identified in the register

  public
  . [Am. 122]

2.   The Commission shall adopt common specifications on content, data format, functional and technical architecture, operating mode, including arrangements for the exchange of data, and rules for data input and consultation for the national vehicle registers by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3).

2a.
     
  For each vehicle, the register shall contain at least the following information:

| (a) | the EVN; |
| --- | --- |

(a)

the EVN;

| (b) | references to the declaration of verification and the issuing body; |
| --- | --- |

(b)

references to the declaration of verification and the issuing body;

| (c) | identification of the keeper and the owner of the vehicle; |
| --- | --- |

(c)

identification of the keeper and the owner of the vehicle;

| (d) | restrictions on how the vehicle may be used; |
| --- | --- |

(d)

restrictions on how the vehicle may be used;

| (e) | the entity in charge of maintenance. [Am. 123] |
| --- | --- |

(e)

the entity in charge of maintenance. [Am. 123]

3.   The registration holder shall immediately declare any modification to the data entered in the national vehicle register, the destruction of a vehicle or its decision to no longer register a vehicle, to the national safety authority of any Member State where the vehicle has been placed in service

  used
  . [Am. 124]

4.   As long as Member States’ national vehicle registers are not linked, Each Member State shall update its register with the modifications made by another Member State in its own register, as regards the data with which it is concerned. [Am. 125]

5.   In the case of vehicles placed in service for the first time in a third country and subsequently placed in service

  used
  in a Member State, that Member State shall ensure that the vehicle data can be retrieved through the national vehicle register or through provisions of an international agreement. [Am. 126]

5a.
     
  The national vehicle registers shall be incorporated in the European vehicle register after the end of the transitional period referred to in Article 50a, except in cases referred to in Article 20(9a) under the conditions laid down in that Article. The Commission shall establish, by means of implementing acts, the format type document. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3). [Am. 127]

Article 43a

European vehicle register

1.
     
  The Agency shall keep a register of the vehicles placed in service in the Union. That register shall meet the following criteria:

| (a) | it shall comply with the common specifications referred to in paragraph 2. |
| --- | --- |

(a)

it shall comply with the common specifications referred to in paragraph 2.

| (b) | it shall be kept updated by the Agency; |
| --- | --- |

(b)

it shall be kept updated by the Agency;

| (c) | it shall be public. |
| --- | --- |

(c)

it shall be public.

2.
     
  The Commission shall adopt common specifications on content, data format, functional and technical architecture, operating mode, including arrangements for the exchange of data, and rules for data input and consultation for the European vehicle registers by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3).

3.
     
  The registration holder shall immediately declare to the Agency any modification to the data entered in the European vehicle register, the destruction of a vehicle or its decision to no longer register a vehicle.

4.
     
  For each vehicle, the register shall contain at least the following information:

| (a) | the EVN; |
| --- | --- |

(a)

the EVN;

| (b) | references to the ‘EC’ declaration of verification and the issuing body; |
| --- | --- |

(b)

references to the ‘EC’ declaration of verification and the issuing body;

| (c) | references to the European register of authorised types of vehicles referred to in Article 44; |
| --- | --- |

(c)

references to the European register of authorised types of vehicles referred to in Article 44;

| (d) | identification of the keeper and the owner of the vehicle; |
| --- | --- |

(d)

identification of the keeper and the owner of the vehicle;

| (e) | restrictions on how the vehicle may be used; |
| --- | --- |

(e)

restrictions on how the vehicle may be used;

| (f) | the entity in charge of maintenance. |
| --- | --- |

(f)

the entity in charge of maintenance.

Whenever the Agency issues, renews, amends, suspends or revokes a vehicle authorisation, it shall update the register without delay.

5.
     
  In the case of vehicles used for the first time in a third country and subsequently used in a Member State, that Member State shall ensure that the vehicle data, including, as a minimum, data relating to the vehicle keeper, the entity in charge of maintenance and the restrictions on how the vehicle may be used, can be retrieved through the European vehicle register or through provisions of an international agreement. [Am. 128]

Article 44

European register of authorisation to place vehicle types on the market

1.   The Agency shall set up and keep a register of authorisations to place vehicle types on the market issued in accordance with Article 22. This register shall meet the following criteria:

| (a) | it shall be public and electronically accessible; |
| --- | --- |

(a)

it shall be public and electronically accessible;

| (b) | it shall comply with the common specifications referred to in paragraph 3. |
| --- | --- |

(b)

it shall comply with the common specifications referred to in paragraph 3.

| (c) | it shall be linked with all national vehicle registers.
  [Am. 129] |
| --- | --- |

(c)

it shall be linked with all national vehicle registers.
  [Am. 129]

2.   The Commission shall adopt common specifications relating to content, data format, functional and technical architecture, operating mode and rules for data input and consultation for the register of authorisations to place vehicle types on the market by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3).

2a.
     
  That register shall include at least the following details for each type of vehicle:

| (a) | the technical characteristics of the type of vehicle, as defined in the relevant TSI; |
| --- | --- |

(a)

the technical characteristics of the type of vehicle, as defined in the relevant TSI;

| (b) | the manufacturer's name; |
| --- | --- |

(b)

the manufacturer's name;

| (c) | the dates and references of the successive authorisations for that type of vehicle, including any restrictions or withdrawals; |
| --- | --- |

(c)

the dates and references of the successive authorisations for that type of vehicle, including any restrictions or withdrawals;

| (d) | design features intended for persons with reduced mobility and persons with disabilities; |
| --- | --- |

(d)

design features intended for persons with reduced mobility and persons with disabilities;

| (e) | identification of the owner and the keeper of the vehicle; |
| --- | --- |

(e)

identification of the owner and the keeper of the vehicle;

When the Agency issues, renews, amends, suspends or revokes an authorisation to place vehicle types in service, it shall update the register without delay. [Am. 130]

Article 45

Register of infrastructure

1.   Each Member State shall publish

  ensure that
  a register of infrastructure
  is published
  stating the values of the network parameters of each subsystem or part of subsystem concerned. [Am. 131]

2.   The values of the parameters recorded in the register of infrastructure shall be used in combination with the values of the parameters recorded in the vehicle authorisation for placing on the market to check the technical compatibility between vehicle and network.

3.   The register of infrastructure may stipulate conditions for the use of fixed installations and other restrictions
  , including temporary restrictions which are to apply for longer than six months
  . [Am. 132]

4.   Each Member State shall update

  ensure that
  the register of infrastructure
  is updated
  in accordance with Commission Implementing Decision 2011/633/EU (19). [Am. 133]

5.   Other registers, such as a register on accessibility, may

  for persons with disabilities and persons with reduced mobility, shall
  also be associated to the register of infrastructure. [Am. 134]

6.   The Commissionshall adopt common specifications relating to content, data format, functional and technical architecture, operating mode and rules for data input and consultation for the register of infrastructure by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 48(3)

CHAPTER VIII

TRANSITIONAL AND FINAL PROVISIONS

Article 46

Exercise of delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts referred to in Articles 4(2), 5(10)
  , 8(2), 15(7a), 20(7) and 22a(4)
  shall be conferred on the Commission for an indeterminate

  a
  period of time

  five years
  from the date of entry into force of this Directive.

The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 135]

3.   The delegation of power referred to in Articles 4(2), 5(10)
  , 8(2), 15(7a), 20(7) and 22a(4)
  may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Articles 4(2), 5(10)
  , 8(2), 15(7a), 20(7) and 22a(4)
  shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 47

Urgency procedure

1.   Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.

2.   Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 46(5). In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or the Council.

Article 48

Committee procedure

1.   The Commission shall be assisted by the committee established by Article 21 of Council Directive 96/48/EC (20). That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2.   Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.

3.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

4.   Where reference is made to this paragraph, Article 8 of Regulation (EU) No 182/2011 shall apply.

Article 49

Motivation

Any decision taken pursuant to this Directive concerning the assessment of conformity or suitability for use of interoperability constituents, the checking of subsystems constituting the rail system or any decision taken pursuant to Articles 6, 11 and 16 shall set out in detail the reasons on which it is based. It shall be notified as soon as possible to the party concerned, together with an indication of the remedies available under the law in force in the Member State concerned and of the time limits allowed for the exercise of such remedies.

Article 49a

Penalties

The Commission shall be empowered to adopt delegated acts in accordance with Article 46 in order to establish rules on penalties for failure to comply with the deadlines set in this Regulation for the adoption of decisions by the Agency. It shall also establish a compensation scheme for cases in which the Board of Appeal provided for in Regulation (EU) No .../... [Agency Regulation] finds in favour of the addressee of an Agency decision. The penalties and the compensation scheme must be effective, proportionate, non-discriminatory and dissuasive. [Am. 136]

Article 50

Reports and information

1.   Every three years and for the first time three

  two
  years after the publication of this Directive, the Commission shall report to the European Parliament and the Council on the progress made towards achieving interoperability of the rail system. That report shall also include an analysis of the cases set out in Article 7 and of the application of Chapter V.
  On the basis of the findings of the report, the Commission shall propose improvements and measures to strengthen the Agency’s role in implementing interoperability. [Am. 137]

1a.
     
  Two years after the publication of this Directive and after consultation with the various agents involved, the Commission shall submit to the European Parliament and the Council a report on the functioning of the Agency and the progress made by it in carrying out its new responsibilities. [Am. 138]

2.   The Agency shall develop and regularly update a tool capable of providing, at the request of a Member State
  , the European Parliament
  or the Commission, an overview of the interoperability level of the rail system. That tool shall use the information included in the registers provided for in Chapter VII. [Am. 139]

Article 50a

Transitional regime

Without prejudice to Article 20(9a), as from four years after the entry into force of this Directive, the vehicle authorisations referred to in Articles 20 and 22 shall be granted by the Agency. During that transitional period, a vehicle authorisation may be granted by the Agency or by the national safety authority, at the option of the applicant.

The Agency shall have the necessary organisational capacity and expertise to perform all of its functions pursuant to Articles 18, 20 and 22 at the latest four years after the entry into force of this Directive.

In order to fulfil its obligations, the Agency may conclude cooperation agreements with national safety authorities in accordance with Article 22a. [Am. 140]

Article 51

Transitional regime for placing in service of vehicles

1.   Member States may continue to apply the provisions set out in Chapter V of Directive 2008/57/EC until [two years

  one year
  after the date of entry into force] [Am. 141]

2.   Authorisations for placing in service of vehicles which have been granted pursuant to paragraph 1, including authorisations delivered under international agreements, in particular RIC (Regolamento Internazionale Carrozze) and RIV (Regolamento Internazionale Veicoli), shall remain valid in accordance with the conditions under which the authorisations have been granted.

3.   Vehicles authorised for placing in service pursuant to paragraphs 1 and 2, have to receive a vehicle authorisation for placing on the market in order to operate on one or more networks not covered by their authorisation. The placing in service on these additional networks is subject to the provisions of Article 21.

Article 52

Other transitional provisions

Annexes IV, V, VI, VII and IX to Directive 2008/57/EC shall apply until the date of application of the corresponding
  delegated acts referred to in Articles 8(2) and 15(7a), and of the
  implementing acts referred to in Articles 8(2), 14(8), 15(7) and 7(3), of this Directive. [Am. 142]

Article 53

Recommendations and opinions and of the Agency

The Agency shall provide recommendations and opinions in accordance with Article 15 of Regulation (EU) No .../... [Agency Regulation] for the purpose of application of this Directive. These recommendations and opinions will serve as basis for any Union measure adopted pursuant this Directive.

Article 54

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Article 1, Article 2, Article 7(1) to (4), Article 11(1), Article 13, Article 14(1) to (7), Article 15(1) to (6), Articles 17 to 21, Article 22(3) to (7), Articles 23 to 36, Article 37(2), Article 38, Article 39, Articles 41 to 43, Article 45(1) to (5), Article 51, and Annexes I to III by [two years

  one year
  after the date of entry into force] at the latest. They shall forthwith communicate to the Commission the text of those measures and a correlation table between those measures and this Directive. The correlation tables are needed to enable all actors concerned to clearly identify the relevant provisions applicable at national level for the implementation of this Directive. [Am. 143]

When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference at the time of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the Directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

3.   The obligation to transpose and implement Article 13, Article 14(1) to (7), Article 15(1) to (6), Articles 17 to 21, Article 42, Article 43, Article 45(1) to (5) and Article 51 of this Directive shall not apply to the Republic of Cyprus and the Republic of Malta for as long as no rail system is established within their territory.

However, as soon as a public or private entity submits an official application to build a railway line in view of its operation by one or more railway undertakings, the Member States concerned shall put in place legislation to implement the Articles referred to in the first subparagraph within one year from the receipt of the application.

Article 55

Repeal

Directive 2008/57/EC, as amended by the Directives listed in Annex IV, Part A, is repealed with effect from [two years

  one year
  after the date of entry into force], without prejudice to the obligations of the Member States relating to the time limits for the transposition into national law of the Directives set out in Annex IV, Part B. [Am. 144]

References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex V.

Article 56

Entry into force

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

Articles 3 to 10, Article 11(2), (3) and (4), Article 12, Article 16, shall apply from [two years after the date of entry into force].

Article 57

Addressees

This Directive is addressed to the Member States.

Done at ...

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122.

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community (OJ L 191, 18.7.2008, p. 1).

4

(5)  Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

5

(6)  Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors (OJ L 134, 30.4.2004, p. 1).

6

(7)  Commission Decision 2010/713/EU of 9 November 2010 on modules for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical specifications for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council (OJ L 319, 4.12.2010, p. 1).

7

(8)  Directive .../.../EU of the European Parliament and of the Council of ... (OJ L ...).

8

(9)  Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC (OJ L 218, 13.8.2008, p. 82).

9

(10)  Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30).

10

(11)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

11

(12)  Directive .../.../EU of the European Parliament and of the Council of ... [establishing a single European railway area] (OJ L ...).

12

(13)  
  Regulation (EU) No .../... of the European Parliament and of the Council of ... on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (OJ L ...).

13

Regulation (EU) No .../... of the European Parliament and of the Council of ... on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (OJ L ...).

(14)  Commission Decision 98/500/EC of 20 May 1998 on the establishment of Sectoral Dialogue Committees promoting the Dialogue between the social partners at European level (OJ L 225, 12.8.1998, p. 27).

14

(15)  Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations (OJ L 204, 21.7.1998, p. 37).

15

(16)  Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).

16

(17)  Commission Decision 2007/756/EC of 9 November 2007 adopting a common specification of the national vehicle register provided for under Articles 14(4) and (5) of Directives 96/48/EC and 2001/16/EC (OJ L 305, 23.11.2007, p. 30).

17

(18)  
  OJ L 343, 14.12.2012, p. 32.

18

OJ L 343, 14.12.2012, p. 32.

(19)  Commission Implementing Decision 2011/633/EU of 15 September 2011 on the common specifications of the register of railway infrastructure (OJ L 256, 1.10.2011, p. 1).

19

(20)  Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system (OJ L 235, 17.9.1996, p. 6).

20

ANNEX I

Elements of Union rail system

1.   Network

For the purposes of this Directive, the Union's

  Union
  network shall include
  the following elements of the high-speed network as defined in points (a), (b) and (c) and the conventional network as defined in points (d) to (i)
  :

| (a) | specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h
  , while enabling speeds of over 300 km/h to be reached in appropriate circumstances
  , |
| --- | --- |

(a)

specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h
  , while enabling speeds of over 300 km/h to be reached in appropriate circumstances
  ,

| (b) | specially upgraded high-speed lines equipped for speeds of the order of 200 km/h, |
| --- | --- |

(b)

specially upgraded high-speed lines equipped for speeds of the order of 200 km/h,

| (c) | specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning constraints, to which the speed must be adapted in each case. This category includes interconnecting lines between high-speed and conventional networks, lines through stations, accesses to terminals, depots, etc. travelled at conventional speed by ‘high-speed’ rolling stock, |
| --- | --- |

(c)

specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning constraints, to which the speed must be adapted in each case. This category includes interconnecting lines between high-speed and conventional networks, lines through stations, accesses to terminals, depots, etc. travelled at conventional speed by ‘high-speed’ rolling stock,

| (d) | conventional lines intended for passenger services, |
| --- | --- |

(d)

conventional lines intended for passenger services,

| (e) | conventional lines intended for mixed traffic (passengers and freight), |
| --- | --- |

(e)

conventional lines intended for mixed traffic (passengers and freight),

| (f) | conventional lines intended for freight services, |
| --- | --- |

(f)

conventional lines intended for freight services,

| (g) | passenger hubs, |
| --- | --- |

(g)

passenger hubs,

| (h) | freight hubs, including intermodal terminals, |
| --- | --- |

(h)

freight hubs, including intermodal terminals,

| (i) | lines connecting the abovementioned elements. [Am. 145] |
| --- | --- |

(i)

lines connecting the abovementioned elements. [Am. 145]

This network includes traffic management, tracking and navigation systems, technical installations for data processing and telecommunications intended for long-distance passenger services and freight services on the network in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

2.   Vehicles

For the purposes of this Directive, Union vehicles shall comprise all vehicles likely to travel on all or part of the Union’s network, including:

| — | locomotives and passenger rolling stock, including thermal or electric traction units, self-propelling thermal or electric passenger trains, passenger coaches; |
| --- | --- |

—

locomotives and passenger rolling stock, including thermal or electric traction units, self-propelling thermal or electric passenger trains, passenger coaches;

| — | vehicles designed to travel at speeds of at least 250 km/h on lines specially built for high speeds, while enabling speeds exceeding 300 km/h to be reached in appropriate circumstances; |
| --- | --- |

—

vehicles designed to travel at speeds of at least 250 km/h on lines specially built for high speeds, while enabling speeds exceeding 300 km/h to be reached in appropriate circumstances;

| — | vehicles designed to travel at speeds of the order of 200 km/h on high-speed lines or on lines specially built or specially upgraded for high speeds, where they are compatible with the possibilities offered by those lines. |
| --- | --- |

—

vehicles designed to travel at speeds of the order of 200 km/h on high-speed lines or on lines specially built or specially upgraded for high speeds, where they are compatible with the possibilities offered by those lines.

In addition, vehicles designed to operate with a maximum speed lower than 200 km/h which are likely to travel on all or part of the trans-European high-speed network, where compatible with the performance levels of that network, shall fulfil the requirements ensuring safe operation on that network. To that end, the TSIs for conventional vehicles shall also specify requirements for safe operation of conventional vehicles on high-speed networks. [Am. 146]

| — | freight wagons, including
  low-deck vehicles designed for the entire network and
  vehicles designed to carry lorries; [Am. 147] |
| --- | --- |

—

freight wagons, including
  low-deck vehicles designed for the entire network and
  vehicles designed to carry lorries; [Am. 147]

| — | special vehicles, such as on track machines. |
| --- | --- |

—

special vehicles, such as on track machines.

Each of the above categories may be subdivided into:

| — | vehicles for international use; |
| --- | --- |

—

vehicles for international use;

| — | vehicles for national use. |
| --- | --- |

—

vehicles for national use.

The TSIs shall specify the requirements to ensure the safe operation of these vehicles on different categories of line.

ANNEX II

SUBSYSTEMS

1.   List of subsystems

For the purposes of this Directive, the system constituting the rail system may be broken down into the following subsystems, either:

| (a) | structural areas:






  — | infrastructure, |
| --- | --- | --- |

(a)

structural areas:

—

infrastructure,

| — | energy, |
| --- | --- |

—

energy,

| — | trackside control-command and signalling, |
| --- | --- |

—

trackside control-command and signalling,

| — | on-board control-command and signalling, |
| --- | --- |

—

on-board control-command and signalling,

| — | rolling stock; |
| --- | --- |

—

rolling stock;

| (b) | functional areas:






  — | operation and traffic management, |
| --- | --- | --- |

(b)

functional areas:

—

operation and traffic management,

| — | maintenance, |
| --- | --- |

—

maintenance,

| — | telematics applications for passenger and freight services. |
| --- | --- |

—

telematics applications for passenger and freight services.

2.   Description of the subsystems

For each subsystem or part of a subsystem, the list of constituents and aspects relating to interoperability is proposed by the Agency at the time of drawing up the relevant draft TSI. Without prejudging the choice of aspects and constituents relating to interoperability or the order in which they will be made subject to TSIs, the subsystems include the following:

2.1.   Infrastructure

The track, points, engineering structures (bridges, tunnels, etc.), rail-related station components (including entrances, platforms, zones of access, service venues, toilets and information systems, as well as their accessibility features for persons with reduced mobility and persons with disabilities), safety and protective equipment.

2.2.   Energy

The electrification system, including overhead lines and the trackside of the electricity consumption measuring system.

2.3.   Trackside control-command and signalling

All the trackside equipment required to ensure safety and to command and control movements of trains authorised to travel on the network.

2.4.   On-board control-command and signalling

All the on-board equipment required to ensure safety and to command and control movements of trains authorised to travel on the network.

2.5.   Operation and traffic management

The procedures and related equipment enabling coherent operation of the various structural subsystems, during both normal and degraded operation, including in particular train composition and train driving, traffic planning and management.

The professional qualifications which may be required for carrying out any type of railway service.

2.6.   Telematics applications

In accordance with Annex I, this subsystem comprises two elements:

| (a) | applications for passenger services, including systems which provide passengers with information before and during the journey, reservation and payment systems, luggage management and management of connections between trains and with other modes of transport; |
| --- | --- |

(a)

applications for passenger services, including systems which provide passengers with information before and during the journey, reservation and payment systems, luggage management and management of connections between trains and with other modes of transport;

| (b) | applications for freight services, including information systems (real-time monitoring of freight and trains), marshalling and allocation systems, reservation, payment and invoicing systems, management of connections with other modes of transport and production of electronic accompanying documents. |
| --- | --- |

(b)

applications for freight services, including information systems (real-time monitoring of freight and trains), marshalling and allocation systems, reservation, payment and invoicing systems, management of connections with other modes of transport and production of electronic accompanying documents.

2.7.   Rolling stock

Structure, command and control system for all train equipment, electric current collection devices, traction and energy conversion units, on-board equipment for electricity consumption measuring, braking, coupling and running gear (bogies, axles, etc.) and suspension, doors, man/machine interfaces (driver, on-board staff and passengers, including accessibility features for persons with reduced mobility and persons with disabilities), passive or active safety devices and requisites for the health of passengers and on-board staff.

2.8.   Maintenance

The procedures, associated equipment, logistics centres for maintenance work and reserves providing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required.

ANNEX III

ESSENTIAL REQUIREMENTS

1.   General requirements

1.1.   Safety

| 1.1.1. | The design, construction or assembly, maintenance and monitoring of safety-critical components, and more particularly of the components involved in train movements must be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations. |
| --- | --- |

1.1.1.

The design, construction or assembly, maintenance and monitoring of safety-critical components, and more particularly of the components involved in train movements must be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations.

| 1.1.2. | The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorised speed. The parameters of brake equipment must guarantee that it is possible to stop within a given brake distance at the maximum authorised speed. |
| --- | --- |

1.1.2.

The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorised speed. The parameters of brake equipment must guarantee that it is possible to stop within a given brake distance at the maximum authorised speed.

| 1.1.3. | The components used must withstand any normal or exceptional stresses that have been specified during their period in service. The safety repercussions of any accidental failures must be limited by appropriate means. |
| --- | --- |

1.1.3.

The components used must withstand any normal or exceptional stresses that have been specified during their period in service. The safety repercussions of any accidental failures must be limited by appropriate means.

| 1.1.4. | The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire. |
| --- | --- |

1.1.4.

The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire.

| 1.1.5. | Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the health and safety of users if used in a foreseeable manner, albeit not in accordance with the posted instructions. |
| --- | --- |

1.1.5.

Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the health and safety of users if used in a foreseeable manner, albeit not in accordance with the posted instructions.

1.2.   Reliability and availability

The monitoring and maintenance of fixed or movable components that are involved in train movements must be organised, carried out and quantified in such a manner as to maintain their operation under the intended conditions.

1.3.   Health

| 1.3.1. | Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructures. |
| --- | --- |

1.3.1.

Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructures.

| 1.3.2. | Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous fumes or gases, particularly in the event of fire. |
| --- | --- |

1.3.2.

Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous fumes or gases, particularly in the event of fire.

1.4.   Environmental protection

| 1.4.1. | The environmental impact of establishment and operation of the rail system must be assessed and taken into account at the design stage of the system in accordance with the Union provisions in force. |
| --- | --- |

1.4.1.

The environmental impact of establishment and operation of the rail system must be assessed and taken into account at the design stage of the system in accordance with the Union provisions in force.

| 1.4.2. | The materials used in the trains and infrastructures must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire. |
| --- | --- |

1.4.2.

The materials used in the trains and infrastructures must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire.

| 1.4.3. | The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere. |
| --- | --- |

1.4.3.

The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.

| 1.4.4. | Operation of the rail system must respect existing regulations on noise pollution. |
| --- | --- |

1.4.4.

Operation of the rail system must respect existing regulations on noise pollution.

| 1.4.5. | Operation of the rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance. |
| --- | --- |

1.4.5.

Operation of the rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance.

1.5.   Technical compatibility

The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those of the trains to be used on the rail system.

If compliance with these characteristics proves difficult on certain sections of the network, temporary solutions, which ensure compatibility in the future, may be implemented.

2.   Requirements specific to each subsystem

2.1.   Infrastructure

2.1.1.   Safety

Appropriate steps must be taken to prevent access to or undesirable intrusions into installations.

Steps must be taken to limit the dangers to which persons are exposed, particularly when trains pass through stations.

Infrastructure to which the public has access must be designed and made in such a way as to limit any human safety hazards (stability, fire, access, evacuation, platforms, etc.).

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels and viaducts.

2.2.   Energy

2.2.1.   Safety

Operation of the energy-supply systems must not impair the safety either of trains or of persons (users, operating staff, trackside dwellers and third parties).

2.2.2.   Environmental protection

The functioning of the electrical or thermal energy-supply systems must not interfere with the environment beyond the specified limits.

2.2.3.   Technical compatibility

The electricity/thermal energy supply systems used must:

| — | enable trains to achieve the specified performance levels, |
| --- | --- |

—

enable trains to achieve the specified performance levels,

| — | in the case of electricity energy supply systems, be compatible with the collection devices fitted to the trains. |
| --- | --- |

—

in the case of electricity energy supply systems, be compatible with the collection devices fitted to the trains.

2.3.   Control-command and signalling

2.3.1.   Safety

The control-command and signalling installations and procedures used must enable trains to travel with a level of safety which corresponds to the objectives set for the network. The control-command and signalling systems should continue to provide for safe passage of trains permitted to run under degraded conditions.

2.3.2.   Technical compatibility

All new infrastructure and all new rolling stock manufactured or developed after adoption of compatible control-command and signalling systems must be tailored to the use of those systems.

The control-command and signalling equipment installed in the train drivers’ cabs must permit normal operation, under the specified conditions, throughout the rail system.

2.4.   Rolling stock

2.4.1.   Safety

The rolling-stock structures and those of the links between vehicles must be designed in such a way as to protect the passenger and driving compartments in the event of collision or derailment.

The electrical equipment must not impair the safety and functioning of the control-command and signalling installations.

The braking techniques and the stresses exerted must be compatible with the design of the tracks, engineering structures and signalling systems.

Steps must be taken to prevent access to electrically-live constituents in order not to endanger the safety of persons.

In the event of danger devices must enable passengers to inform the driver
  and/or conductor
  and
  to request
  accompanying staff to contact him
  or them
  . [Am. 148]

It must be possible to board and alight from trains safely.
  The access doors must incorporate an opening and closing system which guarantees

  mechanisms for the doors, the platform gap width and the arrangements for making trains ready for departure must guarantee
  passenger safety.
  Trains must be designed in such a way that passengers cannot be trapped. [Am. 149]

Emergency exits must be provided and indicated.

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

An emergency lighting system having a sufficient intensity and duration is an absolute requirement on board trains.

Trains must be equipped with a public address system which provides a means of communication to the public from on-board staff
  and/or drivers
  . [Am. 150]

Passengers must be given easily understandable, comprehensive information about rules applicable both in railway stations and in trains (no-entry points, entrances and exits, instructions concerning conduct, access for persons with reduced mobility, what markings mean, hazard areas, etc.). [Am. 151]

2.4.2.   Reliability and availability

The design of the vital equipment and the running, traction and braking equipment and also the control and command system must, in a specific degraded situation, be such as to enable the train to continue without adverse consequences for the equipment remaining in service.

2.4.3.   Technical compatibility

The electrical equipment must be compatible with the operation of the control-command and signalling installations.

In the case of electric traction, the characteristics of the current-collection devices must be such as to enable trains to travel under the energy-supply systems for the rail system.

The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to operate, taking account of relevant climatic conditions
  and topography
  . [Am. 152]

2.4.4.   Controls

Trains must be equipped with a recording device. The data collected by this device and the processing of the information must be harmonised.

2.5.   Maintenance

2.5.1.   Health and safety

The technical installations and the procedures used in the centres must ensure the safe operation of the subsystem and not constitute a danger to health and safety.

2.5.2.   Environmental protection

The technical installations and the procedures used in the maintenance centres must not exceed the permissible levels of nuisance with regard to the surrounding environment.

2.5.3.   Technical compatibility

The maintenance installations for rolling stock must be such as to enable safety, health and comfort operations to be carried out on all stock for which they have been designed.

2.6.   Operation and traffic management

2.6.1.   Safety

Alignment of the network operating rules and the qualifications of drivers
  , rolling-stock inspectors, movement controllers
  and on-board staff and of the staff in the control centres must be such as to ensure safe operation, bearing in mind the different requirements of cross-border and domestic services.
  Efforts must be made to ensure, across the Union, a high level of training with advanced qualifications. [Am. 153]

The maintenance operations and intervals, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of safety.

2.6.2.   Reliability and availability

The maintenance operations and periods, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of system reliability and availability.

2.6.3.   Technical compatibility

Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers must be such as to ensure operating efficiency on the rail system, bearing in mind the different requirements of cross-border and domestic services.

2.7.   Telematics applications for freight and passengers

2.7.1.   Technical compatibility

The essential requirements for telematics applications guarantee a minimum quality of service for passengers and carriers of goods, particularly in terms of technical compatibility.

Steps must be taken to ensure:

| — | that the databases, software and data communication protocols are developed in a manner allowing maximum data interchange between different applications and operators, excluding confidential commercial data, |
| --- | --- |

—

that the databases, software and data communication protocols are developed in a manner allowing maximum data interchange between different applications and operators, excluding confidential commercial data,

| — | easy access to the information for users. |
| --- | --- |

—

easy access to the information for users.

2.7.2.   Reliability and availability

The methods of use, management, updating and maintenance of these databases, software and data communication protocols must guarantee the efficiency of these systems and the quality of the service.

2.7.3.   Health

The interfaces between these systems and users must comply with the minimum rules on ergonomics and health protection.

2.7.4.   Safety

Suitable levels of integrity and dependability must be provided for the storage or transmission of safety-related information.

ANNEX IV

PART A

Repealed Directives

with list of the successive amendments thereto

(referred to in Article 55)

| Directive 2008/57/EC | (OJ L 191, 18.7.2008, p. 1.) |
| --- | --- |
| Directive 2009/131/EC | (OJ L 273, 17.10.2009, p. 12.) |
| Directive 2011/18/EU | (OJ L 57, 2.3.2011, p. 21.) |

Directive 2008/57/EC

(OJ L 191, 18.7.2008, p. 1.)

Directive 2009/131/EC

(OJ L 273, 17.10.2009, p. 12.)

Directive 2011/18/EU

(OJ L 57, 2.3.2011, p. 21.)

PART B

Time limits for transposition into national law

(referred to in Article 55)

| Directive | Deadline for transposition |
| --- | --- |
| 2008/57/EC | 19 July 2010 |
| 2009/131/EC | 19 July 2010 |
| 2011/18/EU | 31 December 2011 |

Directive

Deadline for transposition

2008/57/EC

19 July 2010

2009/131/EC

19 July 2010

2011/18/EU

31 December 2011

ANNEX V

CORRELATION TABLE

| Directive 2008/57/EC | This Directive |
| --- | --- |
| Article 1 | Article 1 |
| Article 2(a) to (z) | Article 2(1) to (24) |
| ----- | Article 2(25) to (41) |
| Article 3 | ----- |
| Article 4 | Article 3 |
| Article 5(1) to (3)(g) | Article 4(1) to (3)(g) |
| ----- | Article 4(3)(h) and (i) |
| Article 5(4) to (8) | Article 4(4) to (8) |
| Article 6 | Article 5 |
| Article 7 | Article 6 |
| Article 8 | ----- |
| Article 9 | Article 7 |
| Article 10 | Article 8 |
| Article 11 | Article 9 |
| Article 12 | ----- |
| Article 13 | Article 10 |
| Article 14 | Article 11 |
| Article 15(1) | Articles 18(3) and 19(2) |
| Article 15(2) and (3) | ----- |
| Article 16 | Article 12 |
| Article 17 | Articles 13 and 14 |
| Article 18 | Article 15 |
| Article 19 | Article 16 |
| ----- | Article 17 |
| ----- | Article 18 (except 18(3)) |
| ----- | Articles 19 and 20 |
| Article 20 | ----- |
| Article 21 | Article 21 |
| Articles 22 to 25 | ----- |
| Article 26 | Article 22 |
| Article 27 | Article 14(8) |
| Article 28 and Annex VIII | Articles 23 to 41 |
| Article 29 | Article 48 |
| Articles 30 and 31 | ----- |
| Article 32 | Article 42 |
| Article 33 | Article 43 |
| Article 34 | Article 44 |
| Article 35 | Article 45 |
| Article 36 | ----- |
| ----- | Articles 46 and 47 |
| Article 37 | Article 49 |
| Article 38 | Article 54 |
| Article 39 | Article 50 |
| ----- | Articles 51 and 52 |
| ----- | Article 53 |
| Article 40 | Article 55 |
| Article 41 | Article 56 |
| Article 42 | Article 57 |
| Annex I to III | Annex I to III |
| Annex IV | Article 8(2) |
| Annexes V and VI | Article 15(7) |
| Annex VII | Article 14(8) |
| Annex VIII | Articles 27, 28 and 29 |
| Annex IX | Article 7(3) |
| Annex X | Annex IV |
| Annex XI | Annex V |

Directive 2008/57/EC

This Directive

Article 1

Article 1

Article 2(a) to (z)

Article 2(1) to (24)

-----

Article 2(25) to (41)

Article 3

-----

Article 4

Article 3

Article 5(1) to (3)(g)

Article 4(1) to (3)(g)

-----

Article 4(3)(h) and (i)

Article 5(4) to (8)

Article 4(4) to (8)

Article 6

Article 5

Article 7

Article 6

Article 8

-----

Article 9

Article 7

Article 10

Article 8

Article 11

Article 9

Article 12

-----

Article 13

Article 10

Article 14

Article 11

Article 15(1)

Articles 18(3) and 19(2)

Article 15(2) and (3)

-----

Article 16

Article 12

Article 17

Articles 13 and 14

Article 18

Article 15

Article 19

Article 16

-----

Article 17

-----

Article 18 (except 18(3))

-----

Articles 19 and 20

Article 20

-----

Article 21

Article 21

Articles 22 to 25

-----

Article 26

Article 22

Article 27

Article 14(8)

Article 28 and Annex VIII

Articles 23 to 41

Article 29

Article 48

Articles 30 and 31

-----

Article 32

Article 42

Article 33

Article 43

Article 34

Article 44

Article 35

Article 45

Article 36

-----

-----

Articles 46 and 47

Article 37

Article 49

Article 38

Article 54

Article 39

Article 50

-----

Articles 51 and 52

-----

Article 53

Article 40

Article 55

Article 41

Article 56

Article 42

Article 57

Annex I to III

Annex I to III

Annex IV

Article 8(2)

Annexes V and VI

Article 15(7)

Annex VII

Article 14(8)

Annex VIII

Articles 27, 28 and 29

Annex IX

Article 7(3)

Annex X

Annex IV

Annex XI

Annex V

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/485 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/485

---

P7_TA(2014)0150

Railway safety ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on railway safety (recast) (COM(2013)0031 — C7-0028/2013 — 2013/0016(COD))

(Ordinary legislative procedure — recast)

(2017/C 285/55)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0031), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0031),

| — | having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0028/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0028/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Lithuanian Parliament, the Romanian Senate and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Lithuanian Parliament, the Romanian Senate and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 8 October 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 8 October 2013 (2),

| — | having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts (3),

| — | having regard to the letter from the Committee on Legal Affairs to the Committee on Transport and Tourism in accordance with Rule 87(3) of its Rules of Procedure, |
| --- | --- |

—

having regard to the letter from the Committee on Legal Affairs to the Committee on Transport and Tourism in accordance with Rule 87(3) of its Rules of Procedure,

| — | having regard to Rules 87 and 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 87 and 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism (A7-0015/2014), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism (A7-0015/2014),

| A. | whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance; |
| --- | --- |

A.

whereas, according to the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission, the proposal in question does not include any substantive amendments other than those identified as such in the proposal and whereas, as regards the codification of the unchanged provisions of the earlier acts together with those amendments, the proposal contains a straightforward codification of the existing texts, without any change in their substance;

| 1. | Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out, taking into account the recommendations of the Consultative Working Party of the legal services of the European Parliament, the Council and the Commission;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

(3)  OJ C 77, 28.3.2002, p. 1.

---

P7_TC1-COD(2013)0016

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on railway safety (recast)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 91 (1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | Directive 2004/49/EC of the European Parliament and of the Council (4) have been substantially amended. Since further amendments are to be made, it should be recast in the interests of clarity. |
| --- | --- |

(1)

Directive 2004/49/EC of the European Parliament and of the Council (4) have been substantially amended. Since further amendments are to be made, it should be recast in the interests of clarity.

| (1a) | Rail is already the safest mode of transport in the Union and has further improved its safety performance over the past decades. Whilst its transport performance has increased from about 200 billion passenger kilometres in 1970 to over 300 billion now, the mean annual number of train passenger deaths has been reduced from about 400 in the early 1970s to below 100 now. [Am. 1] |
| --- | --- |

(1a)

Rail is already the safest mode of transport in the Union and has further improved its safety performance over the past decades. Whilst its transport performance has increased from about 200 billion passenger kilometres in 1970 to over 300 billion now, the mean annual number of train passenger deaths has been reduced from about 400 in the early 1970s to below 100 now. [Am. 1]

| (1b) | Safety should be ensured not only for passengers and employees, including the staff of contractors, but also for users of level crossings and persons residing near railway lines. [Am. 2] |
| --- | --- |

(1b)

Safety should be ensured not only for passengers and employees, including the staff of contractors, but also for users of level crossings and persons residing near railway lines. [Am. 2]

| (1c) | In line with technical and scientific progress, railway safety should be further improved, taking into account the expected improvement in the competitiveness of rail transport. [Am. 3] |
| --- | --- |

(1c)

In line with technical and scientific progress, railway safety should be further improved, taking into account the expected improvement in the competitiveness of rail transport. [Am. 3]

| (1d) | The railway environment in the Union has been undergoing profound changes, triggered inter alia by the three Union Railway Packages adopted since the early 1990s. The gradual creation of the single European railway area is characterised by a multiplication of actors, increased recourse to subcontractors and more frequent market entries. In this context of higher complexity, rail safety is critically dependent on the interaction between all players, namely railway undertakings, infrastructure managers, the railway industry and safety authorities. Safety legislation should take account of these developments and put in place appropriate information, management and emergency procedures and tools. [Am. 4] |
| --- | --- |

(1d)

The railway environment in the Union has been undergoing profound changes, triggered inter alia by the three Union Railway Packages adopted since the early 1990s. The gradual creation of the single European railway area is characterised by a multiplication of actors, increased recourse to subcontractors and more frequent market entries. In this context of higher complexity, rail safety is critically dependent on the interaction between all players, namely railway undertakings, infrastructure managers, the railway industry and safety authorities. Safety legislation should take account of these developments and put in place appropriate information, management and emergency procedures and tools. [Am. 4]

| (2) | Directive
  2004/49/EC
  established a common regulatory framework for railway safety, through harmonisation of the content of safety rules, the safety certification of railway undertakings, the tasks and roles of the national safety authorities and the investigation of accidents. Nevertheless, to pursue efforts to establish

  The ongoing establishment of
  a single market for rail transport services
  results in a multiplication of different actors and communication interfaces. In order to guarantee railway safety within this environment
  , that Directive needs thorough revision. [Am. 5] |
| --- | --- |

(2)

Directive
  2004/49/EC
  established a common regulatory framework for railway safety, through harmonisation of the content of safety rules, the safety certification of railway undertakings, the tasks and roles of the national safety authorities and the investigation of accidents. Nevertheless, to pursue efforts to establish

  The ongoing establishment of
  a single market for rail transport services
  results in a multiplication of different actors and communication interfaces. In order to guarantee railway safety within this environment
  , that Directive needs thorough revision. [Am. 5]

| (2a) | Given the subsisting differences between safety requirements, which affect the optimal functioning of rail transport in the Union, it is of particular importance to continue the process of harmonising operational and safety rules as well as the rules on the investigation of accidents. [Am. 6] |
| --- | --- |

(2a)

Given the subsisting differences between safety requirements, which affect the optimal functioning of rail transport in the Union, it is of particular importance to continue the process of harmonising operational and safety rules as well as the rules on the investigation of accidents. [Am. 6]

| (2b) | Harmonisation should not, however, jeopardise any Member State’s present safety level. [Am. 7] |
| --- | --- |

(2b)

Harmonisation should not, however, jeopardise any Member State’s present safety level. [Am. 7]

| (2c) | Proper enforcement and further improvement of Council Directive 96/49/EC

   (5)

  and Directive 2008/68/EC of the European Parliament and of the Council

   (6)

  are of the highest importance for rail safety and the protection of human lives, public health and the environment. [Am. 8] |
| --- | --- |

(2c)

Proper enforcement and further improvement of Council Directive 96/49/EC

   (5)

  and Directive 2008/68/EC of the European Parliament and of the Council

   (6)

  are of the highest importance for rail safety and the protection of human lives, public health and the environment. [Am. 8]

| (3) | Metros, trams
  , tram-trains
  and other light rail systems are subject in many Member States to local or regional safety rules and are often supervised by local or regional authorities and not covered by the requirements for interoperability or licensing within the Union. Trams are furthermore often subject to road safety legislation and could therefore not be fully covered by railway safety rules. For these reasons such local rail systems should be excluded from the scope of this Directive. This does not prevent Member States from applying the provisions of this Directive to local rail systems on a voluntary basis if they deem this appropriate. [Am. 9] |
| --- | --- |

(3)

Metros, trams
  , tram-trains
  and other light rail systems are subject in many Member States to local or regional safety rules and are often supervised by local or regional authorities and not covered by the requirements for interoperability or licensing within the Union. Trams are furthermore often subject to road safety legislation and could therefore not be fully covered by railway safety rules. For these reasons such local rail systems should be excluded from the scope of this Directive. This does not prevent Member States from applying the provisions of this Directive to local rail systems on a voluntary basis if they deem this appropriate. [Am. 9]

| (4) | Safety levels in the Union’s rail system are generally high, in particular compared to road transport. In line with technical and scientific progress, safety should be further improved, when

  so far as is
  reasonably practicable and taking into account the expected improvement in the competitiveness of rail transport. [Am. 10] |
| --- | --- |

(4)

Safety levels in the Union’s rail system are generally high, in particular compared to road transport. In line with technical and scientific progress, safety should be further improved, when

  so far as is
  reasonably practicable and taking into account the expected improvement in the competitiveness of rail transport. [Am. 10]

| (4a) | Safety is critically dependent on the interaction between rail infrastructure, operations, manufacturers and safety authorities. Appropriate tools should be used and developed in order to ensure and develop safety. [Am. 11] |
| --- | --- |

(4a)

Safety is critically dependent on the interaction between rail infrastructure, operations, manufacturers and safety authorities. Appropriate tools should be used and developed in order to ensure and develop safety. [Am. 11]

| (5) | The main

  All the
  actors in the rail system, infrastructure managers and railway undertakings, should bear full responsibility for the safety of the system, each for their own part. Whenever appropriate, they should cooperate in implementing risk control measures. Member States should make a clear distinction between this immediate responsibility for safety and the national safety authorities’ task of providing a national regulatory framework and supervising the performance of all operators. [Am. 12] |
| --- | --- |

(5)

The main

  All the
  actors in the rail system, infrastructure managers and railway undertakings, should bear full responsibility for the safety of the system, each for their own part. Whenever appropriate, they should cooperate in implementing risk control measures. Member States should make a clear distinction between this immediate responsibility for safety and the national safety authorities’ task of providing a national regulatory framework and supervising the performance of all operators. [Am. 12]

| (6) | The responsibility of infrastructure managers and railway undertakings for operating the rail system does not preclude other actors such as manufacturers, carriers, consignors, fillers, loaders
  , unloaders, consignees,
  entities in charge of maintenance, maintenance suppliers, wagon

  vehicle owners, vehicle
  keepers, service providers and procurement entities from assuming responsibility for their products or services
  and for implanting risk control measures
  . To avoid the risk that the responsibilities are not properly assumed, each relevant actor should be made responsible for its particular process
  through contractual agreements
  . Each actor in the rail system should be responsible in respect to the other actors
  , including relevant authorities,
  for complete and truthful communication of all relevant information to check if the vehicles are fit to run. In

  needed to ensure the safe operation of a vehicle, in
  particular that concerns information on the status and history of the vehicle, maintenance files, traceability of loading operations, and consignment notes. [Am. 13] |
| --- | --- |

(6)

The responsibility of infrastructure managers and railway undertakings for operating the rail system does not preclude other actors such as manufacturers, carriers, consignors, fillers, loaders
  , unloaders, consignees,
  entities in charge of maintenance, maintenance suppliers, wagon

  vehicle owners, vehicle
  keepers, service providers and procurement entities from assuming responsibility for their products or services
  and for implanting risk control measures
  . To avoid the risk that the responsibilities are not properly assumed, each relevant actor should be made responsible for its particular process
  through contractual agreements
  . Each actor in the rail system should be responsible in respect to the other actors
  , including relevant authorities,
  for complete and truthful communication of all relevant information to check if the vehicles are fit to run. In

  needed to ensure the safe operation of a vehicle, in
  particular that concerns information on the status and history of the vehicle, maintenance files, traceability of loading operations, and consignment notes. [Am. 13]

| (6a) | The occurrence of heavy accidents involving freight wagons has shown that mandatory rules, harmonised at Union level, on frequency and intervals of maintenance of rail freight wagons, passenger rolling stock and locomotives are necessary. [Am. 14] |
| --- | --- |

(6a)

The occurrence of heavy accidents involving freight wagons has shown that mandatory rules, harmonised at Union level, on frequency and intervals of maintenance of rail freight wagons, passenger rolling stock and locomotives are necessary. [Am. 14]

| (7) | Each railway undertaking, infrastructure manager and entity in charge of maintenance should ensure that its contractors and other parties implement risk control measures. To this end, they should apply the methods for monitoring set out in the common safety methods (CSMs). Their contractors should apply this process through contractual arrangements. Because such arrangements are an essential part of the safety management system of railway undertakings and infrastructure managers, railway undertakings and infrastructure managers should disclose their contractual arrangements on request of the European Union Agency for Railways (hereafter ‘the Agency’) or the national safety authority in the context of supervision activities. |
| --- | --- |

(7)

Each railway undertaking, infrastructure manager and entity in charge of maintenance should ensure that its contractors and other parties implement risk control measures. To this end, they should apply the methods for monitoring set out in the common safety methods (CSMs). Their contractors should apply this process through contractual arrangements. Because such arrangements are an essential part of the safety management system of railway undertakings and infrastructure managers, railway undertakings and infrastructure managers should disclose their contractual arrangements on request of the European Union Agency for Railways (hereafter ‘the Agency’) or the national safety authority in the context of supervision activities.

| (7a) | The intensity of cooperation between manufacturers, maintenance suppliers and railway undertakings has decreased over past decades. This necessitates the harmonisation of minimum maintenance intervals and quality requirements to ensure the safety of the entire rail system. [Am. 15] |
| --- | --- |

(7a)

The intensity of cooperation between manufacturers, maintenance suppliers and railway undertakings has decreased over past decades. This necessitates the harmonisation of minimum maintenance intervals and quality requirements to ensure the safety of the entire rail system. [Am. 15]

| (8) | Common safety targets (CSTs) and CSMs have been gradually introduced to ensure that safety is maintained at a high level and, when necessary and where reasonably practicable, improved. They should provide tools for assessment of the safety and performance of operators at Union level as well as in the Member States. Common safety indicators (CSIs) have been established in order to assess whether systems comply with the CSTs and to facilitate the monitoring of railway safety performance. [Am. 16] |
| --- | --- |

(8)

Common safety targets (CSTs) and CSMs have been gradually introduced to ensure that safety is maintained at a high level and, when necessary and where reasonably practicable, improved. They should provide tools for assessment of the safety and performance of operators at Union level as well as in the Member States. Common safety indicators (CSIs) have been established in order to assess whether systems comply with the CSTs and to facilitate the monitoring of railway safety performance. [Am. 16]

| (9) | National rules, which are often based on national technical standards, have been

  are
  gradually
  being
  replaced by rules based on common standards, established by CSTs, CSMs and technical specifications for interoperability (TSIs). In order to eliminate the obstacles to interoperability, the amount of national rules should be reduced as a consequence of extending the scope of the TSIs to the whole Union’s rail system and of closing open points in the TSIs. For this purpose the Member States should

  must
  keep their system of national rules updated, delete obsolete rules and thereof inform the Commission and the the Agency
  thereof without delay
  . [Am. 17] |
| --- | --- |

(9)

National rules, which are often based on national technical standards, have been

  are
  gradually
  being
  replaced by rules based on common standards, established by CSTs, CSMs and technical specifications for interoperability (TSIs). In order to eliminate the obstacles to interoperability, the amount of national rules should be reduced as a consequence of extending the scope of the TSIs to the whole Union’s rail system and of closing open points in the TSIs. For this purpose the Member States should

  must
  keep their system of national rules updated, delete obsolete rules and thereof inform the Commission and the the Agency
  thereof without delay
  . [Am. 17]

| (10) | In view of the gradual approach to eliminating obstacles to the interoperability of the rail system
  while maintaining a high level of railway safety,
  and of the time consequently required for the adoption of TSIs, steps should be taken to avoid a situation where Member States adopt new national rules or undertake projects that increase the diversity of the present system. The safety management system is the

  a
  recognised tool for preventing accidents
  . Member States, the Agency
  and railway undertakings are responsible for taking immediate corrective action to prevent re-occurrence of accidents. Member States should not decrease the responsibility of the railway undertakings by establishing new national rules immediately after an accident. [Am. 18] |
| --- | --- |

(10)

In view of the gradual approach to eliminating obstacles to the interoperability of the rail system
  while maintaining a high level of railway safety,
  and of the time consequently required for the adoption of TSIs, steps should be taken to avoid a situation where Member States adopt new national rules or undertake projects that increase the diversity of the present system. The safety management system is the

  a
  recognised tool for preventing accidents
  . Member States, the Agency
  and railway undertakings are responsible for taking immediate corrective action to prevent re-occurrence of accidents. Member States should not decrease the responsibility of the railway undertakings by establishing new national rules immediately after an accident. [Am. 18]

| (10a) | Train control and signalling systems play a critical role in ensuring railway safety. The harmonised development and deployment of the ‘European Rail Traffic Management System’ (ERTMS) on the Union railway network constitutes an important contribution to improving safety levels. [Am. 19] |
| --- | --- |

(10a)

Train control and signalling systems play a critical role in ensuring railway safety. The harmonised development and deployment of the ‘European Rail Traffic Management System’ (ERTMS) on the Union railway network constitutes an important contribution to improving safety levels. [Am. 19]

| (11) | In carrying out their duties and fulfilling their responsibilities, infrastructure managers and railway undertakings should implement a safety management system meeting Union requirements and containing common elements. Information on safety and the implementation of the safety management system should be submitted to the Agency and to the national safety authority in the Member State concerned. |
| --- | --- |

(11)

In carrying out their duties and fulfilling their responsibilities, infrastructure managers and railway undertakings should implement a safety management system meeting Union requirements and containing common elements. Information on safety and the implementation of the safety management system should be submitted to the Agency and to the national safety authority in the Member State concerned.

| (11a) | Railway undertakings and infrastructure managers should establish, within their safety culture, a ‘just culture’ in order to actively encourage personnel to report safety-related accidents, incidents and near misses without being subject to punishment or discrimination. A fair culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and for passengers. [Am. 20] |
| --- | --- |

(11a)

Railway undertakings and infrastructure managers should establish, within their safety culture, a ‘just culture’ in order to actively encourage personnel to report safety-related accidents, incidents and near misses without being subject to punishment or discrimination. A fair culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and for passengers. [Am. 20]

| (12) | To ensure a high level of railway safety and equal conditions for all railway undertakings, the latter should be subject to the same safety requirements. A licensed railway undertaking should hold a safety certificate in order to obtain access to the railway infrastructure. The safety certificate should provide evidence that the railway undertaking has established its safety management system and is able to comply with the relevant safety standards and rules
  in all Member States in which the undertaking operates
  . For international transport services, it should be enough to approve the safety management system only once at Union level
  or for the territory the rail infrastructure of which the railway undertaking will use
  . [Am. 21] |
| --- | --- |

(12)

To ensure a high level of railway safety and equal conditions for all railway undertakings, the latter should be subject to the same safety requirements. A licensed railway undertaking should hold a safety certificate in order to obtain access to the railway infrastructure. The safety certificate should provide evidence that the railway undertaking has established its safety management system and is able to comply with the relevant safety standards and rules
  in all Member States in which the undertaking operates
  . For international transport services, it should be enough to approve the safety management system only once at Union level
  or for the territory the rail infrastructure of which the railway undertaking will use
  . [Am. 21]

| (13) | Minimum
  harmonised methods based on Directive 2004/49/EC have been established to be applied to the railway undertakings and the national safety authorities on monitoring, conformity assessment, supervision and on risk evaluation and assessment. This regulatory framework is sufficiently mature to move progressively towards a ‘single safety certificate’, valid throughout the Union
  within the specified areas of operation
  . The move to a single safety certificate should make the rail system more effective and efficient by reducing admistrative burdens for the railway undertakings
  , thereby making railway transport more competitive in intermodal competition
  . [Am. 22] |
| --- | --- |

(13)

Minimum
  harmonised methods based on Directive 2004/49/EC have been established to be applied to the railway undertakings and the national safety authorities on monitoring, conformity assessment, supervision and on risk evaluation and assessment. This regulatory framework is sufficiently mature to move progressively towards a ‘single safety certificate’, valid throughout the Union
  within the specified areas of operation
  . The move to a single safety certificate should make the rail system more effective and efficient by reducing admistrative burdens for the railway undertakings
  , thereby making railway transport more competitive in intermodal competition
  . [Am. 22]

| (14) | The single safety certificate should be issued on the basis of the evidence that the railway undertaking has established its safety management system. Establishing this evidence may require not only on-site inspections to the railway undertaking but also the supervision aimed to assess that the railway undertaking continues to apply duly its safety management system after having been granted the single safety certificate. |
| --- | --- |

(14)

The single safety certificate should be issued on the basis of the evidence that the railway undertaking has established its safety management system. Establishing this evidence may require not only on-site inspections to the railway undertaking but also the supervision aimed to assess that the railway undertaking continues to apply duly its safety management system after having been granted the single safety certificate.

| (15) | Infrastructure manager should have a key responsibility for the safe design, maintenance and operation of its rail network. The infrastructure manager should be subject to safety authorisation by the national safety authority concerning its safety management system and other provisions to meet safety requirements. |
| --- | --- |

(15)

Infrastructure manager should have a key responsibility for the safe design, maintenance and operation of its rail network. The infrastructure manager should be subject to safety authorisation by the national safety authority concerning its safety management system and other provisions to meet safety requirements.

| (16) | Training and qualification of train staff is a critical factor for railway safety. Railway undertakings should ensure that their staff are adequately qualified, certified and trained, including when operating on the network of another Member State. National safety authorities should monitor and enforce the requirements in this regard.
  The certification of train staff is often an insurmountable

  can be a
  barrier to new entrants. Member States should ensure that facilities for the training and certification of train staff necessary to meet requirements under national rules are available to railway undertakings intending to operate on the relevant network. [Am. 23] |
| --- | --- |

(16)

Training and qualification of train staff is a critical factor for railway safety. Railway undertakings should ensure that their staff are adequately qualified, certified and trained, including when operating on the network of another Member State. National safety authorities should monitor and enforce the requirements in this regard.
  The certification of train staff is often an insurmountable

  can be a
  barrier to new entrants. Member States should ensure that facilities for the training and certification of train staff necessary to meet requirements under national rules are available to railway undertakings intending to operate on the relevant network. [Am. 23]

| (17) | The entity in charge of maintenance should be certified for freight wagons. Where the entity in charge of maintenance is an infrastructure manager, this certification should be included in the procedure for safety authorisation. The certificate issued to such an entity should guarantee that the maintenance requirements of this Directive are met for any freight wagon for which the entity is in charge. This certificate should be valid in the whole Union and should be issued by a body able to audit the maintenance system set up by the entity. As freight wagons are frequently used in international traffic and as the entity in charge of maintenance may want to use workshops established in more than one Member State, the certification body should be able to implement its controls throughout the Union. |
| --- | --- |

(17)

The entity in charge of maintenance should be certified for freight wagons. Where the entity in charge of maintenance is an infrastructure manager, this certification should be included in the procedure for safety authorisation. The certificate issued to such an entity should guarantee that the maintenance requirements of this Directive are met for any freight wagon for which the entity is in charge. This certificate should be valid in the whole Union and should be issued by a body able to audit the maintenance system set up by the entity. As freight wagons are frequently used in international traffic and as the entity in charge of maintenance may want to use workshops established in more than one Member State, the certification body should be able to implement its controls throughout the Union.

| (17a) | The Agency should develop with the sector experts a common safety method for identifying the critical safety components, taking into account the experience of the aviation sector. [Am. 24] |
| --- | --- |

(17a)

The Agency should develop with the sector experts a common safety method for identifying the critical safety components, taking into account the experience of the aviation sector. [Am. 24]

| (18) | The national safety authorities should be fully independent in their organisation, legal structure and decision making from any railway undertaking, infrastructure manager, applicant and

  or
  procurement entity. They should carry out their tasks in an open and non-discriminatory way and cooperate with the Agency to create a single rail area
  with a high level of railway safety
  and coordinate their decision-making criteria.
  In order to fulfil their tasks, the national safety authorities must have sufficient budgetary resources and a sufficient number of well-trained staff
  . To increase efficiency, two or more Member States may decide to merge the staff and resources of the respective national safety authorities. [Am. 25] |
| --- | --- |

(18)

The national safety authorities should be fully independent in their organisation, legal structure and decision making from any railway undertaking, infrastructure manager, applicant and

  or
  procurement entity. They should carry out their tasks in an open and non-discriminatory way and cooperate with the Agency to create a single rail area
  with a high level of railway safety
  and coordinate their decision-making criteria.
  In order to fulfil their tasks, the national safety authorities must have sufficient budgetary resources and a sufficient number of well-trained staff
  . To increase efficiency, two or more Member States may decide to merge the staff and resources of the respective national safety authorities. [Am. 25]

| (18a) | In order to create a Single European Railway Area and to improve railway safety, the introduction of a single safety certificate is essential. This requires a clear distribution of tasks and responsibilities between the Agency and the national safety authorities. The Agency should become a one-stop shop for safety certificates in the Union, using the valuable expertise, local knowledge and experience of national safety authorities. It should delegate specific tasks and responsibilities to national safety authorities on the basis of contractual agreements as referred to in Regulation ... [Regulation on the European Railway Agency], but should have exclusive competence to issue, renew, amend or revoke safety certificates for both railway undertakings and infrastructure managers. [Am. 26] |
| --- | --- |

(18a)

In order to create a Single European Railway Area and to improve railway safety, the introduction of a single safety certificate is essential. This requires a clear distribution of tasks and responsibilities between the Agency and the national safety authorities. The Agency should become a one-stop shop for safety certificates in the Union, using the valuable expertise, local knowledge and experience of national safety authorities. It should delegate specific tasks and responsibilities to national safety authorities on the basis of contractual agreements as referred to in Regulation ... [Regulation on the European Railway Agency], but should have exclusive competence to issue, renew, amend or revoke safety certificates for both railway undertakings and infrastructure managers. [Am. 26]

| (19) | When a national safety authority is requested to supervise a railway undertaking established in different Member States, the other relevant national safety authorities should be informed by the Agency and the latter should ensure the necessary coordination of supervision activities. |
| --- | --- |

(19)

When a national safety authority is requested to supervise a railway undertaking established in different Member States, the other relevant national safety authorities should be informed by the Agency and the latter should ensure the necessary coordination of supervision activities.

| (19a) | Adherence to working, driving and rest time rules for train drivers and train staff performing safety tasks is crucial for railway safety and fair competition. The national safety authorities should be responsible for enforcing and checking the application of those rules, as well as for cross-border operations. The Agency should develop an on-board device for registering the driving and rest times of train drivers. National safety authorities should have competence to monitor driving and rest times across borders. [Am. 27] |
| --- | --- |

(19a)

Adherence to working, driving and rest time rules for train drivers and train staff performing safety tasks is crucial for railway safety and fair competition. The national safety authorities should be responsible for enforcing and checking the application of those rules, as well as for cross-border operations. The Agency should develop an on-board device for registering the driving and rest times of train drivers. National safety authorities should have competence to monitor driving and rest times across borders. [Am. 27]

| (20) | Serious accidents on the railways are rare. However, they can have disastrous consequences and raise concern among the public about the safety performance of the rail system. All such accidents should, therefore, be investigated from a safety perspective to avoid recurrence and the results of the investigations should be made public
  and included in regular reports
  . Other accidents and incidents should also be subject to safety investigations when they could be significant precursors to serious accidents.
  In order to identify such precursors, railway undertakings and infrastructure managers shall establish a ‘just culture’ as defined in Article 3
  . [Am. 28] |
| --- | --- |

(20)

Serious accidents on the railways are rare. However, they can have disastrous consequences and raise concern among the public about the safety performance of the rail system. All such accidents should, therefore, be investigated from a safety perspective to avoid recurrence and the results of the investigations should be made public
  and included in regular reports
  . Other accidents and incidents should also be subject to safety investigations when they could be significant precursors to serious accidents.
  In order to identify such precursors, railway undertakings and infrastructure managers shall establish a ‘just culture’ as defined in Article 3
  . [Am. 28]

| (20a) | The rail safety system is based on feedback and lessons learned from accidents and incidents which require the strict application of rules on confidentiality in order to ensure the future availability of valuable sources of information. In this context, sensitive safety information should be afforded appropriate protection. [Am. 29] |
| --- | --- |

(20a)

The rail safety system is based on feedback and lessons learned from accidents and incidents which require the strict application of rules on confidentiality in order to ensure the future availability of valuable sources of information. In this context, sensitive safety information should be afforded appropriate protection. [Am. 29]

| (20b) | Accidents involve a number of different public interests such as the need to prevent future accidents and the proper administration of justice. Those interests go beyond the individual interests of the parties involved and beyond the specific event in question. The right balance among all interests is necessary in order to guarantee the overall public interest. [Am. 30] |
| --- | --- |

(20b)

Accidents involve a number of different public interests such as the need to prevent future accidents and the proper administration of justice. Those interests go beyond the individual interests of the parties involved and beyond the specific event in question. The right balance among all interests is necessary in order to guarantee the overall public interest. [Am. 30]

| (21) | A safety investigation should be kept separate from the judicial inquiry into the same incident and should be granted access to evidence and witnesses. It should be carried out by a permanent body that is independent of the actors of the rail sector. The body should function in a way which avoids any conflict of interest and any possible involvement in the causes of the occurrences that are investigated; in particular, its functional independence should not be affected if it is closely linked to the national safety authority or regulator of railways for organisational and legal structure purposes. Its investigations should be carried out under as much openness as possible. For each occurrence the investigation body should establish the relevant investigation group with necessary expertise to find the immediate causes and underlying causes. |
| --- | --- |

(21)

A safety investigation should be kept separate from the judicial inquiry into the same incident and should be granted access to evidence and witnesses. It should be carried out by a permanent body that is independent of the actors of the rail sector. The body should function in a way which avoids any conflict of interest and any possible involvement in the causes of the occurrences that are investigated; in particular, its functional independence should not be affected if it is closely linked to the national safety authority or regulator of railways for organisational and legal structure purposes. Its investigations should be carried out under as much openness as possible. For each occurrence the investigation body should establish the relevant investigation group with necessary expertise to find the immediate causes and underlying causes.

| (21a) | The rail sector should likewise promote a non-punitive environment facilitating the spontaneous reporting of occurrences and thereby advancing the principle of a ‘just culture’. [Am. 31] |
| --- | --- |

(21a)

The rail sector should likewise promote a non-punitive environment facilitating the spontaneous reporting of occurrences and thereby advancing the principle of a ‘just culture’. [Am. 31]

| (21b) | It is important for the prevention of accidents and incidents that relevant information, including in particular reports and safety recommendations resulting from safety investigations, be communicated as rapidly as possible. [Am. 32] |
| --- | --- |

(21b)

It is important for the prevention of accidents and incidents that relevant information, including in particular reports and safety recommendations resulting from safety investigations, be communicated as rapidly as possible. [Am. 32]

| (21c) | In the rail sector, it is difficult to identify victims and contact persons and/or family members following an accident, since in general the operator does not know the victims' identities. Nevertheless, in some of the Union's rail services where advance reservation is compulsory or security checks are carried out on passengers before they board the train, it would be appropriate if the operator could have a list of the passengers and crew on board for the sole purpose of being able to communicate quickly with family members and/or contact persons. The Agency should therefore be mandated to develop systems to integrate such information in passenger reservation systems. National agencies also need to draw up emergency plans providing for emergency services, access plans and assistance at the site of the accident, and also including a plan for the provision of care for victims. The Agency will be able to cooperate and assist in the drawing-up of such plans, taking account of best practice. The operator should also have a plan for the provision of assistance to victims. [Am. 33] |
| --- | --- |

(21c)

In the rail sector, it is difficult to identify victims and contact persons and/or family members following an accident, since in general the operator does not know the victims' identities. Nevertheless, in some of the Union's rail services where advance reservation is compulsory or security checks are carried out on passengers before they board the train, it would be appropriate if the operator could have a list of the passengers and crew on board for the sole purpose of being able to communicate quickly with family members and/or contact persons. The Agency should therefore be mandated to develop systems to integrate such information in passenger reservation systems. National agencies also need to draw up emergency plans providing for emergency services, access plans and assistance at the site of the accident, and also including a plan for the provision of care for victims. The Agency will be able to cooperate and assist in the drawing-up of such plans, taking account of best practice. The operator should also have a plan for the provision of assistance to victims. [Am. 33]

| (22) | In order to improve the efficiency of activities of an investigation body and to help it in discharging its duties, the investigation
  , as well as the Agency if it so requests,
  body should have timely access to the site of an accident, where necessary in good cooperation with the judicial authority.
  All parties involved, including the Agency, should provide all relevant information necessary in order to enable the investigation body to carry out its activities.
  The reports on investigations and any findings and recommendations provide crucial information for the further improvement of railway safety and should be made publicly available at Union level. Safety recommendations should be acted upon by the addressees and actions reported back to the investigating body. [Am. 34] |
| --- | --- |

(22)

In order to improve the efficiency of activities of an investigation body and to help it in discharging its duties, the investigation
  , as well as the Agency if it so requests,
  body should have timely access to the site of an accident, where necessary in good cooperation with the judicial authority.
  All parties involved, including the Agency, should provide all relevant information necessary in order to enable the investigation body to carry out its activities.
  The reports on investigations and any findings and recommendations provide crucial information for the further improvement of railway safety and should be made publicly available at Union level. Safety recommendations should be acted upon by the addressees and actions reported back to the investigating body. [Am. 34]

| (23) | 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 should be effective, proportionate and dissuasive. |
| --- | --- |

(23)

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 should be effective, proportionate and dissuasive.

| (24) | Since the objectives of the actions proposed in this Directive, namely coordinating activities in the Member States in order to regulate and supervise safety, investigating accidents and establishing common safety targets, common safety methods, common safety indicators and common requirements for single safety certificates cannot be sufficiently achieved by the Member States and can be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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. |
| --- | --- |

(24)

Since the objectives of the actions proposed in this Directive, namely coordinating activities in the Member States in order to regulate and supervise safety, investigating accidents and establishing common safety targets, common safety methods, common safety indicators and common requirements for single safety certificates cannot be sufficiently achieved by the Member States and can be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. 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.

| (25) | In order to supplement and amend certain non-essential elements of this Directive, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of common safety methods and their revision, and revision of common safety indicators and common safety targets. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level
  , with social partners and especially with national safety authorities
  . The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 35] |
| --- | --- |

(25)

In order to supplement and amend certain non-essential elements of this Directive, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of common safety methods and their revision, and revision of common safety indicators and common safety targets. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level
  , with social partners and especially with national safety authorities
  . The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 35]

| (26) | In order to ensure uniform conditions for the implementation of this Directive, the implementing powers should be conferred on the Commission relating to the requirements for the safety management system and its elements, review of the system for certification of the entities in charge of maintenance for freight wagons and extension to other rolling stocks and the principal content of the accident and incident investigation report. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (7). |
| --- | --- |

(26)

In order to ensure uniform conditions for the implementation of this Directive, the implementing powers should be conferred on the Commission relating to the requirements for the safety management system and its elements, review of the system for certification of the entities in charge of maintenance for freight wagons and extension to other rolling stocks and the principal content of the accident and incident investigation report. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (7).

| (27) | The obligation to transpose this Directive into national law should be confined to those provisions representing a substantive change as compared with the earlier Directive. The obligation to transpose the provisions that are unchanged arises under the earlier Directive. |
| --- | --- |

(27)

The obligation to transpose this Directive into national law should be confined to those provisions representing a substantive change as compared with the earlier Directive. The obligation to transpose the provisions that are unchanged arises under the earlier Directive.

| (28) | This Directive should be without prejudice to the obligation of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex IV, part B, |
| --- | --- |

(28)

This Directive should be without prejudice to the obligation of the Member States relating to the time-limits for transposition into national law of the Directives set out in Annex IV, part B,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

GENERAL PROVISIONS

Article 1

Subject matter

This Directive lays down
  minimum
  provisions
  , beyond which Member States may legislate only in accordance with Article 8,
  to ensure the development and
  further
  improvement of safety of the Union’s railways and improved access to the market for rail transport services by: [Am. 36]

| (a) | harmonising the regulatory structure in the Member States; |
| --- | --- |

(a)

harmonising the regulatory structure in the Member States;

| (b) | defining responsibilities between the actors of the rail system; |
| --- | --- |

(b)

defining responsibilities between the actors of the rail system;

| (c) | developing common safety targets and common safety methods with a view to gradually removing the need for

  greater harmonisation of
  national rules
  at a high safety level
  ; [Am. 37] |
| --- | --- |

(c)

developing common safety targets and common safety methods with a view to gradually removing the need for

  greater harmonisation of
  national rules
  at a high safety level
  ; [Am. 37]

| (d) | requiring the establishment, for each Member State, of a national safety authority and an accident and incident investigating body; |
| --- | --- |

(d)

requiring the establishment, for each Member State, of a national safety authority and an accident and incident investigating body;

| (e) | defining common principles for the management, regulation and supervision of railway safety; |
| --- | --- |

(e)

defining common principles for the management, regulation and supervision of railway safety;

| (ea) | introducing a single safety certificate that is valid and recognised in all Member States within the specified areas of operation. [Am. 38] |
| --- | --- |

(ea)

introducing a single safety certificate that is valid and recognised in all Member States within the specified areas of operation. [Am. 38]

| (eb) | requiring the Agency to publish guidelines on railway safety and safety certification, including lists of examples of good practice, in particular for cross-border transport. [Am. 39] |
| --- | --- |

(eb)

requiring the Agency to publish guidelines on railway safety and safety certification, including lists of examples of good practice, in particular for cross-border transport. [Am. 39]

Article 2

Scope

1.   This Directive applies to the rail system in the Member States, which may be broken down into subsystems for structural and functional areas. It covers safety requirements on the system as a whole, including the safe management of infrastructure and of traffic operation and the interaction between railway undertakings, infrastructure managers and other actors of the rail system.

2.   The following systems are excluded

  Member States may exclude
  from the scope

  measures they adopt in implementation
  of this Directive: [Am. 103]

| (a) | metros, trams
  , tram-trains
  and light rail systems; [Am. 40] |
| --- | --- |

(a)

metros, trams
  , tram-trains
  and light rail systems; [Am. 40]

| (b) | networks that are functionally separate from the rest of the railway system and intended only for the operation of local, urban or suburban passenger services, as well as railway undertakings operating solely on these networks; |
| --- | --- |

(b)

networks that are functionally separate from the rest of the railway system and intended only for the operation of local, urban or suburban passenger services, as well as railway undertakings operating solely on these networks;

3.   Member States may exclude from the scope of the measures implementing this Directive:

| (a) | privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations; |
| --- | --- |

(a)

privately owned railway infrastructure and vehicles exclusively used on such infrastructure where this exists solely for use by the owner for its own freight operations;

| (b) | infrastructure and vehicles reserved for strictly local, historical or tourist use; |
| --- | --- |

(b)

infrastructure and vehicles reserved for strictly local, historical or tourist use;

| (ba) | light rail infrastructure occasionally used by heavy rail vehicles under the operational conditions of the light-rail systems, where such use by such vehicles is necessary for connectivity purposes only; [Am. 41] |
| --- | --- |

(ba)

light rail infrastructure occasionally used by heavy rail vehicles under the operational conditions of the light-rail systems, where such use by such vehicles is necessary for connectivity purposes only; [Am. 41]

| (bb) | rolling stock which has lost its authorisation and is being moved to a terminal or site to allow it to be reauthorised. [Am. 42] |
| --- | --- |

(bb)

rolling stock which has lost its authorisation and is being moved to a terminal or site to allow it to be reauthorised. [Am. 42]

Article 3

Definitions

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

| (a) | ‘
  Union
  rail system’ means the
  conventional and high-speed
  Union rail system as defined in Article 2 of Directive ... [Railway Interoperability Directive]; [Am. 43] |
| --- | --- |

(a)

‘
  Union
  rail system’ means the
  conventional and high-speed
  Union rail system as defined in Article 2 of Directive ... [Railway Interoperability Directive]; [Am. 43]

| (b) | ‘infrastructure manager’ means
  an
  infrastructure manager as defined in Article 2

  3
  of Directive 2001/14/EC

  2012
  /
  34
  /
  EU of the European Parliament and of the Council

   (8); [Am. 44] |
| --- | --- |

(b)

‘infrastructure manager’ means
  an
  infrastructure manager as defined in Article 2

  3
  of Directive 2001/14/EC

  2012
  /
  34
  /
  EU of the European Parliament and of the Council

   (8); [Am. 44]

| (c) | ‘'railway undertaking’' means railway undertaking as defined in Article 2 of

  Article 3 of
  Directive 2001/14/EC

  2012
  /
  34
  /
  EU
  , and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction, including undertakings which provide traction only; [Am. 45] |
| --- | --- |

(c)

‘'railway undertaking’' means railway undertaking as defined in Article 2 of

  Article 3 of
  Directive 2001/14/EC

  2012
  /
  34
  /
  EU
  , and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction, including undertakings which provide traction only; [Am. 45]

| (ca) | ‘area of operation’ means a network or networks within a Member State, or a group of Member States, on which a railway undertaking intends to operate; |
| --- | --- |

(ca)

‘area of operation’ means a network or networks within a Member State, or a group of Member States, on which a railway undertaking intends to operate;

| (cb) | ‘isolated rail network’ means the rail network of a Member State, or a part thereof, with a track gauge of 1 520 mm, which is geographically or technically detached from the European network with the standard nominal track gauge (1 435 mm — hereafter ‘standard gauge’) and well integrated in the rail network of 1 520 mm track gauge together with third countries, but isolated from the Union's standard network. [Am. 46] |
| --- | --- |

(cb)

‘isolated rail network’ means the rail network of a Member State, or a part thereof, with a track gauge of 1 520 mm, which is geographically or technically detached from the European network with the standard nominal track gauge (1 435 mm — hereafter ‘standard gauge’) and well integrated in the rail network of 1 520 mm track gauge together with third countries, but isolated from the Union's standard network. [Am. 46]

| (d) | ‘technical specification for interoperability (TSI)’ means a specification by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system as defined in Article 2 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(d)

‘technical specification for interoperability (TSI)’ means a specification by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system as defined in Article 2 of Directive ... [Railway Interoperability Directive];

| (e) | ‘common safety targets (CSTs)’ means the safety levels that must at least be reached by different parts of the rail system (such as the conventional rail system, the high speed rail system, long railway tunnels or lines solely used for freight transport) and by the system as a whole, expressed in risk acceptance criteria; |
| --- | --- |

(e)

‘common safety targets (CSTs)’ means the safety levels that must at least be reached by different parts of the rail system (such as the conventional rail system, the high speed rail system, long railway tunnels or lines solely used for freight transport) and by the system as a whole, expressed in risk acceptance criteria;

| (f) | ‘common safety methods (CSMs)’ means the methods describing the assessment of safety levels and achievement of safety targets and compliance with other safety requirements; |
| --- | --- |

(f)

‘common safety methods (CSMs)’ means the methods describing the assessment of safety levels and achievement of safety targets and compliance with other safety requirements;

| (fa) | ‘Common Safety Indicators (CSIs)’ means a common set of rail safety data, gathered to facilitate the monitoring of railway safety performance as well as the achievement of Common Safety Targets (CSTs); [Am. 48] |
| --- | --- |

(fa)

‘Common Safety Indicators (CSIs)’ means a common set of rail safety data, gathered to facilitate the monitoring of railway safety performance as well as the achievement of Common Safety Targets (CSTs); [Am. 48]

| (g) | ‘national safety authority’ means the national body entrusted with the tasks regarding railway safety in accordance with this Directive or any body entrusted by several Member States with these tasks in order to ensure a unified safety regime; |
| --- | --- |

(g)

‘national safety authority’ means the national body entrusted with the tasks regarding railway safety in accordance with this Directive or any body entrusted by several Member States with these tasks in order to ensure a unified safety regime;

| (h) | ‘national rules’ means all binding rules containing

  that have been notified by a Member State and that contain
  railway safety
  , operational
  or technical requirements imposed at Member State level and applicable to railway undertakings

  actors
  , irrespective of the body issuing them; [Am. 49] |
| --- | --- |

(h)

‘national rules’ means all binding rules containing

  that have been notified by a Member State and that contain
  railway safety
  , operational
  or technical requirements imposed at Member State level and applicable to railway undertakings

  actors
  , irrespective of the body issuing them; [Am. 49]

| (i) | ‘safety management system’ means the organisation and arrangements

  procedures
  established by an infrastructure manager or a railway undertaking to ensure the safe management of its operations; [Am. 50] |
| --- | --- |

(i)

‘safety management system’ means the organisation and arrangements

  procedures
  established by an infrastructure manager or a railway undertaking to ensure the safe management of its operations; [Am. 50]

| (j) | ‘investigator-in-charge’ means a person responsible for the organisation, conduct and control of an investigation; |
| --- | --- |

(j)

‘investigator-in-charge’ means a person responsible for the organisation, conduct and control of an investigation;

| (k) | ‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have

  has
  harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons,
  including those not falling within the definition of passengers,
  caused by rolling stock in motion,
  including in shunting yards and during track maintenance works,
  fires and others; |
| --- | --- |

(k)

‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have

  has
  harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons,
  including those not falling within the definition of passengers,
  caused by rolling stock in motion,
  including in shunting yards and during track maintenance works,
  fires and others;

| (l) | ‘serious accident’ means any train collision or derailment of trains, resulting in the death of at least one person or serious injuries to five or more persons or extensive damage to rolling stock, the infrastructure or the environment, and any other similar accident with an obvious impact on railway safety regulation or the management of safety; ‘extensive damage’ above means damage that can immediately be assessed by the investigating body to cost at least EUR 2 million in total; |
| --- | --- |

(l)

‘serious accident’ means any train collision or derailment of trains, resulting in the death of at least one person or serious injuries to five or more persons or extensive damage to rolling stock, the infrastructure or the environment, and any other similar accident with an obvious impact on railway safety regulation or the management of safety; ‘extensive damage’ above means damage that can immediately be assessed by the investigating body to cost at least EUR 2 million in total;

| (m) | ‘incident’ means any occurrence, other than accident or serious accident, associated with the operation of trains and affecting the safety of operations; |
| --- | --- |

(m)

‘incident’ means any occurrence, other than accident or serious accident, associated with the operation of trains and affecting the safety of operations;

| (n) | ‘investigation’ means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations; |
| --- | --- |

(n)

‘investigation’ means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations;

| (na) | ‘reasonably practicable’, when applied to any activity, means that, following a cost-benefit analysis, the activity in question does not lead to a disproportionate contribution in terms of cost and/or implementation timing, in relation to the safety target to be achieved; [Am. 52] |
| --- | --- |

(na)

‘reasonably practicable’, when applied to any activity, means that, following a cost-benefit analysis, the activity in question does not lead to a disproportionate contribution in terms of cost and/or implementation timing, in relation to the safety target to be achieved; [Am. 52]

| (nb) | ‘other parties’ means any party that performs external activities at the interfaces with the rail system which may introduce risks that have a direct impact on operations and that have to be controlled by infrastructure managers and railway undertakings; [Am. 53] |
| --- | --- |

(nb)

‘other parties’ means any party that performs external activities at the interfaces with the rail system which may introduce risks that have a direct impact on operations and that have to be controlled by infrastructure managers and railway undertakings; [Am. 53]

| (o) | ‘causes’ means actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident; |
| --- | --- |

(o)

‘causes’ means actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident;

| (p) | ‘light rail’ means an urban and/or sub-urban rail transport system with lower capacity and lower speeds than heavy rail and metro systems, but higher capacity and higher speeds than tram systems. Light rail systems may have their own right-of-way or share it with road traffic and usually do not exchange vehicles with long-distance passenger or freight traffic; |
| --- | --- |

(p)

‘light rail’ means an urban and/or sub-urban rail transport system with lower capacity and lower speeds than heavy rail and metro systems, but higher capacity and higher speeds than tram systems. Light rail systems may have their own right-of-way or share it with road traffic and usually do not exchange vehicles with long-distance passenger or freight traffic;

| (pa) | ‘cross-border rail systems’ means rail systems that provide transport services between the nearest urban nodes on each side of a border; [Am. 54] |
| --- | --- |

(pa)

‘cross-border rail systems’ means rail systems that provide transport services between the nearest urban nodes on each side of a border; [Am. 54]

| (q) | ‘notified bodies’ means the bodies which are responsible for assessing the conformity or suitability for use of the interoperability constituents or for appraising the ‘EC’ procedure for verification of the subsystems; |
| --- | --- |

(q)

‘notified bodies’ means the bodies which are responsible for assessing the conformity or suitability for use of the interoperability constituents or for appraising the ‘EC’ procedure for verification of the subsystems;

| (r) | ‘interoperability constituents’ means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem upon which the interoperability of the rail system depends directly or indirectly, as defined in Article 2 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(r)

‘interoperability constituents’ means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem upon which the interoperability of the rail system depends directly or indirectly, as defined in Article 2 of Directive ... [Railway Interoperability Directive];

| (s) | ‘keeper’

  ‘owner’
  means the person or entity that, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as such in the national vehicle register

  registers
  referred to in Article 43
  and Article 43a
  of Directive ... [Railway Interoperability Directive]; [Am. 55] |
| --- | --- |

(s)

‘keeper’

  ‘owner’
  means the person or entity that, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as such in the national vehicle register

  registers
  referred to in Article 43
  and Article 43a
  of Directive ... [Railway Interoperability Directive]; [Am. 55]

| (t) | ‘entity in charge of maintenance’ means an entity in charge of maintenance of a vehicle, and registered as such in the national vehicle register; |
| --- | --- |

(t)

‘entity in charge of maintenance’ means an entity in charge of maintenance of a vehicle, and registered as such in the national vehicle register;

| (u) | ‘vehicle’ means a railway vehicle suitable for circulation on its own wheels on railway lines, with or without traction in a fixed or variable composition . A vehicle is composed of one or more structural and functional subsystems; [Am. 56] |
| --- | --- |

(u)

‘vehicle’ means a railway vehicle suitable for circulation on its own wheels on railway lines, with or without traction in a fixed or variable composition . A vehicle is composed of one or more structural and functional subsystems; [Am. 56]

| (v) | ‘manufacturer’ means any natural or legal person who manufactures an interoperability constituent
  , component
  or subsystem or has it designed or manufactured, and markets it under his name or trademark; [Am. 57] |
| --- | --- |

(v)

‘manufacturer’ means any natural or legal person who manufactures an interoperability constituent
  , component
  or subsystem or has it designed or manufactured, and markets it under his name or trademark; [Am. 57]

| (w) | ‘consignor’ means the enterprise which consigns goods either on its own behalf or for a third party; |
| --- | --- |

(w)

‘consignor’ means the enterprise which consigns goods either on its own behalf or for a third party;

| (x) | ‘loader’ means any enterprise that loads packaged goods, including dangerous goods, small containers or portable tanks onto a wagon or a container or which loads a container, bulk-container, multiple-element gas container, tank-container or portable tank onto a wagon; |
| --- | --- |

(x)

‘loader’ means any enterprise that loads packaged goods, including dangerous goods, small containers or portable tanks onto a wagon or a container or which loads a container, bulk-container, multiple-element gas container, tank-container or portable tank onto a wagon;

| (xa) | ‘unloader’ means the enterprise which removes a container from a wagon, or unloads packaged goods out of or from a wagon or a container, or discharges goods from a tank, a wagon or a container; [Am. 58] |
| --- | --- |

(xa)

‘unloader’ means the enterprise which removes a container from a wagon, or unloads packaged goods out of or from a wagon or a container, or discharges goods from a tank, a wagon or a container; [Am. 58]

| (y) | ‘filler’ means any enterprise that loads goods, including dangerous goods, into a tank (tank-wagon, wagon with demountable tank, portable tank or tank-container) into a wagon, large container or small container for carriage in bulk, or into a battery-wagon or multiple-element gas container. |
| --- | --- |

(y)

‘filler’ means any enterprise that loads goods, including dangerous goods, into a tank (tank-wagon, wagon with demountable tank, portable tank or tank-container) into a wagon, large container or small container for carriage in bulk, or into a battery-wagon or multiple-element gas container.

| (ya) | ‘just culture’ means a procedure to be established to actively encourage personnel to report safety-related accidents, incidents and near misses while still being accountable for wilful violations and gross negligence. Such individuals should not be subject to punishment or discrimination for unintended errors or for disclosure of such information. A just culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and passengers; [Am. 59] |
| --- | --- |

(ya)

‘just culture’ means a procedure to be established to actively encourage personnel to report safety-related accidents, incidents and near misses while still being accountable for wilful violations and gross negligence. Such individuals should not be subject to punishment or discrimination for unintended errors or for disclosure of such information. A just culture enables the railway industry to learn lessons from accidents, incidents and near misses and thereby improve safety on the railway for workers and passengers; [Am. 59]

| (yb) | ‘consignee’ means any natural or legal person who is identified as such in the consignment note and who receives the goods and the consignment note; [Am. 60] |
| --- | --- |

(yb)

‘consignee’ means any natural or legal person who is identified as such in the consignment note and who receives the goods and the consignment note; [Am. 60]

| (yc) | ‘carrier’ means any enterprise with whom the consignor or the passenger has concluded the contract of carriage or a successive carrier who is liable on the basis of that contract; [Am. 61] |
| --- | --- |

(yc)

‘carrier’ means any enterprise with whom the consignor or the passenger has concluded the contract of carriage or a successive carrier who is liable on the basis of that contract; [Am. 61]

CHAPTER II

DEVELOPMENT AND MANAGEMENT OF SAFETY

Article 4

Role of the actors of the rail system in developing and improving railway safety

1.   Member States and the Agency shall ensure
  , each within their respective fields of responsibility,
  that railway safety is generally maintained and, where reasonably practicable, continuously improved, taking into consideration
  the impact of human factors,
  the development of Union
  and international
  legislation and technical and scientific progress and giving priority to the prevention of serious accidents.

Member States and the Agency shall ensure that measures to develop and improve railway safety take account of the need to follow a system-based approach.

2.   Member States
  and the Agency
  shall ensure that the responsibility for the safe operation of the rail system and the control of risks associated with it is laid upon the infrastructure managers and railway undertakings, obliging them:

| (a) | to implement necessary risk control measures, where appropriate in cooperation with each other, |
| --- | --- |

(a)

to implement necessary risk control measures, where appropriate in cooperation with each other,

| (b) | to apply Union and national rules, |
| --- | --- |

(b)

to apply Union and national rules,

| (c) | to establish safety management systems in accordance with this Directive. |
| --- | --- |

(c)

to establish safety management systems in accordance with this Directive.

Without prejudice to civil liability in accordance with the legal requirements of the Member States, each infrastructure manager and railway undertaking shall be made responsible for its part of the system and its safe operation, including supply of material and contracting of services, vis-à-vis users, customers, the workers concerned and third parties. The risks associated with the activities of third parties shall also be taken into account in the safety management systems of infrastructure managers and railway undertakings.

3.   Each manufacturer, maintenance supplier, 1 keeper, service provider and procurement entity shall ensure that rolling stock
  , facilities
  , installations, accessories and equipment and services supplied by them comply with the specified requirements and conditions for use, so that they can be safely put into operation by the railway undertaking and/or infrastructure manager.

4.   All actors having a relevant role in safety operations shall
  , each within their respective fields of responsibility,
  implement the necessary risk control measures, where appropriate in cooperation with the others
  , and shall bear the responsibility for the performance of their own duties
  . In addition to railway undertakings and infrastructure managers those actors include:

| (a) | the
  keepers and their entity or
  entities in charge of the maintenance of vehicles; |
| --- | --- |

(a)

the
  keepers and their entity or
  entities in charge of the maintenance of vehicles;

| (b) | the consignors, the loaders, the unloaders
  and the fillers, which have a role in safe loading operations, |
| --- | --- |

(b)

the consignors, the loaders, the unloaders
  and the fillers, which have a role in safe loading operations,

| (c) | the manufacturers, which are responsible for the design and manufacturing of safe railway vehicles, parts, components or sub-assemblies of vehicle, railway infrastructure, energy and track side control command, as well as issuing of the preliminary maintenance documentation associated to

  with
  the vehicle. |
| --- | --- |

(c)

the manufacturers, which are responsible for the design and manufacturing of safe railway vehicles, parts, components or sub-assemblies of vehicle, railway infrastructure, energy and track side control command, as well as issuing of the preliminary maintenance documentation associated to

  with
  the vehicle.

5.   Each railway undertaking, infrastructure manager and entity in charge of maintenance shall ensure that its contractors implement risk control measures. To this end, each railway undertaking, infrastructure manager and entity in charge of maintenance shall apply the common methods for monitoring processes set out in the Commission Regulation (EU) No 1078/2012 (9). Their contractors shall apply this process through contractual arrangements

  agreements
  . Railway undertakings, infrastructure managers and entities in charge of maintenance shall disclose their contractual arrangements

  agreements
  on request of the Agency or the national safety authority.

6.   Any actor of the rail system who identifies a
  systemic
  safety risk related to defects and construction non-conformities or malfunctions of technical equipment, including those of structural sub-systems, shall report those risks
  , under a procedure that is harmonised throughout the Union,
  to the other parties involved
  and to the Agency in order
  to enable them to take any necessary corrective actions to ensure continuous achievement of the safety performance of the rail system.

6a.
     
  Member States, the Agency and all actors of the rail system shall establish a ‘just culture’ that ensures the consistent reporting of accidents, incidents and potential safety risks. In order to encourage such reporting, Member States shall set up a mechanism enabling such reporting to be done on a confidential basis.

7.   In case

  the event
  of exchange of vehicles between railways

  railway
  undertakings, all actors shall exchange all information relevant to safe operation
  using the registers of vehicles referred to in Articles 43 and 43a of Directive... [Railway Interoperability Directive]
  . Such information shall include information on the status and history of the vehicle, elements of the maintenance files, traceability of loading operations, and
  safety-critical components as well as
  consignment notes. It shall be sufficiently detailed to allow an assessment of the risks of operating the vehicle by the railway undertaking. [Am. 62]

Article 5

Common safety indicators

1.   In order to facilitate the assessment of the achievement of the CST and to provide for the monitoring of the general development of railway safety Member States shall collect information on common safety indicators (CSIs) through the annual reports of the national safety authorities as referred to in Article 18.

The CSIs shall be established as set out in Annex I.

1a.
     
  Member States shall support the Agency in its work of monitoring the development of railway safety on a Union level. [Am. 63]

2.   The Commission shall be empowered to adopt delegated acts in accordance with Article 26 concerning the revision of Annex I, in particular to update the CSIs taking into account of the technical progress and to adapt the common methods for calculating accident costs.

Article 6

Common safety methods

1.   The CSMs shall describe how the safety levels, the achievement of safety targets and compliance with other safety requirements are assessed, by elaborating and defining:

| (a) | risk evaluation and assessment methods, |
| --- | --- |

(a)

risk evaluation and assessment methods,

| (b) | methods for assessing conformity with requirements in safety certificates and safety authorisations issued in accordance with Articles 10 and 11, |
| --- | --- |

(b)

methods for assessing conformity with requirements in safety certificates and safety authorisations issued in accordance with Articles 10 and 11,

| (c) | methods for supervision to be applied by national safety authorities and methods for monitoring to be applied by railway undertakings, infrastructure managers and entities in charge of maintenance; |
| --- | --- |

(c)

methods for supervision to be applied by national safety authorities and methods for monitoring to be applied by railway undertakings, infrastructure managers and entities in charge of maintenance;

| (ca) | methods for monitoring the development of safety at national and Union level; [Am. 64] |
| --- | --- |

(ca)

methods for monitoring the development of safety at national and Union level; [Am. 64]

| (d) | any other methods covering a process of the safety management system which need to be harmonised at Union level. |
| --- | --- |

(d)

any other methods covering a process of the safety management system which need to be harmonised at Union level.

2.   The Commission shall issue mandates to the Agency to draft the new CSMs referred in point 1(d), to review and update all CSMs to take account of developments in technology or social requirements and to make the relevant recommendations to the Commission
  as quickly as possible
  . [Am. 65]

When drafting the recommandations

  recommendations
  , the Agency shall take account of the opinion of the users
  , national safety authorities, the social partners
  and of the

  other
  stakeholders. The recommendations shall enclose a report on the results of this consultation and a report assessing the impact of the new CSM to be adopted. [Am. 66]

3.   The CSMs shall be revised at regular intervals, taking into account the experience gained from their application and the global development of railway safety and in view of generally maintaining and where

  , so far as is
  reasonably practicable, continuously improving safety. [Am. 67]

4.   The Commission shall be empowered to adopt delegated acts laying down CSMs and revised CSMs in accordance with Article 26.

5.   Member States shall
  promptly
  make any necessary amendments to their national rules in the light of the adoption of CSMs and revisions to them. [Am. 68]

Article 7

Common safety targets

1.   The CSTs shall define the minimum safety levels that shall be reached by different parts of the rail system and by the system as a whole in each Member State, expressed in risk acceptance criteria for:

| (a) | individual risks relating to passengers, staff including the staff of contractors, level crossing users and others, and, without prejudice to existing national and international liability rules, individual risks relating to unauthorised persons on railway premises; |
| --- | --- |

(a)

individual risks relating to passengers, staff including the staff of contractors, level crossing users and others, and, without prejudice to existing national and international liability rules, individual risks relating to unauthorised persons on railway premises;

| (b) | societal risks. |
| --- | --- |

(b)

societal risks.

2.   The Commission shall issue a mandate to the Agency to draft revised CSTs
  as soon as possible
  and to make the relevant recommendations to the Commission. [Am. 69]

3.   The CSTs shall be revised at regular intervals, taking into account the global development of railway safety. The revised CSTs shall reflect any priority areas where safety needs to be further improved.

4.   The Commission shall be empowered to adopt delegated acts laying down revised CSTs in accordance with Article 26.

5.   Member States shall make any necessary amendments to their national rules in order to achieve at least the CSTs, and any revised CSTs, in accordance with the implementation timetables attached to them. They shall notify these rules to the Commission in accordance with Article 8.

Article 8

National rules

1.   Member States may lay down

  draft
  new national rules
  after the entry into force of this Directive
  only in the following cases:

| (a) | where rules concerning existing safety methods are not covered by a CSM; |
| --- | --- |

(a)

where rules concerning existing safety methods are not covered by a CSM;

| (b) | as an urgent preventive measure, in particular following an accident. |
| --- | --- |

(b)

as an urgent preventive measure, in particular following an accident.

Member States shall ensure that national rules
  are non-discriminatory and that they
  take account of the need for a system-based approach.

Member States may decide to achieve a higher safety level than that defined in the relevant CST provided that such higher safety level is fully compatible with the existing CST.

2.   If a Member State intends to introduce a new national rule, it shall
  promptly
  notify the draft of that rule to the Agency and the Commission using the appropriate IT system in accordance with article

  Article
  23 of Regulation ... [Regulation on Agency for Railways]
  and enclosing a report assessing the impact of the new rule to be adopted
  .
  Save in the cases described in point (b) of paragraph 1, such notification shall be made at least three months before the planned adoption of the rule
  .

After receipt of the draft national rule, the Agency shall initiate a coordination process involving all national safety authorities in order to ensure the highest possible degree of harmonisation across the Union.

The new national rule may not remain in force or enter into force if the Commission, upon a recommendation of the Agency, objects to it, providing a statement of reasons for its objection.

3.   If the Agency becomes aware of any national rule notified or not which that has become redundant or is in conflict with the CSMs or any other Union legislation adopted after the application of the national rule the procedure established in article

  Article
  22 of Regulation ... [Regulation on Agency for Railways] shall apply.

In relation to matters concerning training, occupational health and safety for rail professionals responsible for safety critical tasks, the Agency may only apply this paragraph if the national rule in question is discriminatory and a higher safety level is ensured by the CSMs or by any other Union legislation.

4.   Member States shall ensure that national rules
  , including those covering the interfaces between vehicles and the network,
  are made available free of charge and in a language that can be understood by all parties concerned

  at least two official languages of the Union
  .

5.   National rules notified in accordance with this Article are not subject to the notification procedure set out in Directive 98/34/EC of the European Parliament and of the Council (10).

5a.
     
  The Agency shall establish and publish common guidelines for the adoption of new, or the amendment of existing, national rules. [Am. 70]

Article 9

Safety management systems

1.   Infrastructure managers and railway undertakings shall establish their safety management systems to ensure that the rail system can achieve at least the CSTs, is in conformity with safety requirements laid down in the TSIs, and that the relevant parts of CSMs and rules notified under Article 8 are applied.

2.   The safety management system shall meet the requirements, adapted to the character, extent and other conditions of the activity pursued. It shall ensure the control of all risks associated with the activity of the infrastructure manager or railway undertaking, including
  proper qualification and training of staff as well as
  the supply of maintenance and material and the use of contractors. Without prejudice to existing national and international liability rules, the safety management system shall also take into account, where appropriate and reasonable, the risks arising as a result of activities by other parties.
  Consequently, infrastructure managers and railway undertakings shall have procedures to identify those potential risks which arise from external activities at the interfaces with the rail system and which have a direct impact on operations. [Am. 71]

The Commission shall establish, by means of implementing

  delegated
  acts, elements of the safety management system
  , including an internally approved and communicated safety policy; qualitative and quantitative safety targets and procedures to reach those targets; procedures to meet technical and operational standards; risk evaluation procedures and implementing risk control measures; staff training and information measures; procedures ensuring communication and documentation of safety-related information; procedures for reporting and analysing incidents and accidents and other safety occurrences and for developing preventive measures; provisions in respect of emergency plans which are agreed with public authorities; and provisions for the internal auditing of the safety management system
  . Those implementing

  delegated
  acts shall be adopted in accordance with the examination procedure referred to in Article 27(2)

  26
  . [Am. 72]

2a.
     
  As far as railway personnel are concerned, the safety management system shall include measures for the provision of programmes for the training of staff and systems to ensure that the competence of staff is maintained and that tasks are carried out accordingly. [Am. 73]

2b.
     
  The safety management system shall include provisions for a ‘just culture’ as defined in Article 3. [Am. 74]

3.   The safety management system of any infrastructure manager shall take into account the effects of operations by different railway undertakings on the network and make provisions to allow all railway undertakings to operate in accordance with TSIs and national rules and with the conditions laid down in their safety certificate. The safety management systems shall be developed with the aim of coordinating the emergency procedures of the infrastructure manager with all railway undertakings that operate on its infrastructure
  , with the emergency services, so as to guarantee the rapid intervention of rescue services, and with any other party that could be involved in an emergency situation
  .
  For cross-border infrastructure, and in particular for cross-border tunnels, specific safety management systems shall be developed and improved in order to ensure the necessary coordination and preparedness of the competent emergency services on both sides of the border
  . [Am. 75]

3a.
     
  Infrastructure managers shall also establish a system for coordination with managers in neighbouring countries with which the network is linked. That system shall include mechanisms for the provision of information in the event of incidents or accidents on the network or delays that could disrupt cross-border traffic, and cooperation procedures to restore traffic between the two infrastructures whilst guaranteeing network safety at all times. Infrastructure managers in both countries shall notify operators, stakeholders and the corresponding national authorities of any relevant information that could affect traffic between the two States. [Am. 76]

4.   Each year all infrastructure managers and railway undertakings shall submit to the national safety authority before 30 June an annual safety report concerning the preceding calendar year. The safety report shall contain:

| (a) | information on how the organisation’s corporate safety targets are met and the results of safety plans; |
| --- | --- |

(a)

information on how the organisation’s corporate safety targets are met and the results of safety plans;

| (b) | the development of national safety indicators, and of the CSIs laid down in Annex I, as far as it is relevant to the reporting organisation; |
| --- | --- |

(b)

the development of national safety indicators, and of the CSIs laid down in Annex I, as far as it is relevant to the reporting organisation;

| (c) | the results of internal safety auditing; |
| --- | --- |

(c)

the results of internal safety auditing;

| (d) | observations on deficiencies and malfunctions of railway operations and infrastructure management that might be relevant for the national safety authority. |
| --- | --- |

(d)

observations on deficiencies and malfunctions of railway operations and infrastructure management that might be relevant for the national safety authority.

CHAPTER III

SAFETY CERTIFICATION AND AUTHORISATION

Article 10

Single safety certificate

1.   Access to the railway infrastructure shall be granted only to railway undertakings which hold the single safety certificate.

2.   The single safety certificate shall be granted by the Agency
  , save in the cases referred to in paragraph 2a,
  on the basis of the evidence that the railway undertaking has established its safety management system in accordance with Article 9 and meets the requirements laid down in TSIs, and in other relevant legislation
  and in any specific operational rules relevant for the service operated by the railway undertaking
  in order to control risks and provide transport services safely on the network.

2a.
     
  Safety certificates for railway undertakings operating exclusively on an isolated network may also be granted by a national safety authority of those Member States which possess such a network. In such cases, the applicant may choose between applying to the Agency or to the national safety authorities of the Member States concerned.

Within the transition period provided for in Article 30, the national safety authorities of those Member States that possess an isolated network shall establish common safety certification procedures and ensure mutual recognition of safety certificates issued by them. In the case of conflicting decisions of the national safety authorities or in the absence of a mutually acceptable decision, the Agency shall take a decision in accordance with Article 12 of Regulation... [Regulation on Agency for Railways].

If by the end of the transitional period provided for in Article 30 those national safety authorities have not established arrangements for common procedures and mutual recognition of safety certificates, the authorisations referred to in this Article shall be granted only by the Agency.

If by the end of the transitional period provided for in Article 30 the arrangements for common certification procedures and mutual recognition of safety certificates are established, the national safety authorities of those Member States that possess isolated networks may continue to issue safety certificates and the applicant may choose to apply for a safety certificate to the Agency or to the relevant national safety authorities after the end of the transition period provided for in Article 30.

Ten years after the entry into force of this Directive, the Commission shall present to the European Parliament and the Council a report on the progress achieved towards the establishment of common procedures and the mutual recognition of safety certificates on the isolated rail network and shall, if necessary, make appropriate legislative proposals.

3.   The single safety certificate shall specify the type and, extent
  and area of operation
  of the railway operations covered. It shall be valid
  and recognised
  throughout
  or in parts of
  the Union for equivalent operations

  in conformity with the conditions laid down by the Agency
  .

4.   Three months before

  Before
  the start of operation of any new service
  that is not covered by its single safety certificate
  , the railway undertaking shall notify

  send to the Agency or, in the cases referred to in paragraph 2a,
  to the relevant national safety authority

  authorities,
  the
  additional
  documentation confirming

  necessary to confirm
  that:

| (a) | the railway undertaking will follow the operating rules, including national rules made available to them in accordance with Article 8(4), and assess the safety of their operation, taking into account the requirements in Commission Regulation (EC) No 352/2009 (11) and ensuring that they are managing all risks through their safety management system and that they are making all necessary arrangements to operate safely; |
| --- | --- |

(a)

the railway undertaking will follow the operating rules, including national rules made available to them in accordance with Article 8(4), and assess the safety of their operation, taking into account the requirements in Commission Regulation (EC) No 352/2009 (11) and ensuring that they are managing all risks through their safety management system and that they are making all necessary arrangements to operate safely;

| (b) | the railway undertaking has made the arrangements necessary for cooperation and coordination with the infrastructure manager(s) of the network(s) where it proposes to operate; |
| --- | --- |

(b)

the railway undertaking has made the arrangements necessary for cooperation and coordination with the infrastructure manager(s) of the network(s) where it proposes to operate;

| (c) | the railway undertaking has taken any action necessary to ensure the safe operation of the service; |
| --- | --- |

(c)

the railway undertaking has taken any action necessary to ensure the safe operation of the service;

| (d) | the railway undertaking has a licence issued in accordance with Council Directive 95/18/EC (12); |
| --- | --- |

(d)

the railway undertaking has a licence issued in accordance with Council Directive 95/18/EC (12);

| (e) | the type and, extent
  and area of operation
  of its intended operation corresponds to that specified in its single safety certificate. |
| --- | --- |

(e)

the type and, extent
  and area of operation
  of its intended operation corresponds to that specified in its single safety certificate.

If the
  Agency or, in the cases referred to in paragraph 2a, the
  national safety authority has doubts concerning the fulfilment of one or more conditions it shall request more information from the railway undertaking. However, this exchange may not have any suspensive or delaying effect on the start of operation. If the

  in accordance with the time limits laid down in Article 11(1). If the Agency or, in the cases referred to in paragraph 2a, the
  national safety authority finds evidence that one or more conditions are not met, it shall refer the matter to the Agency, which shall take the appropriate measures, including
  the amendment, suspension or
  revocation of the certificate.

5.   The single safety certificate shall be renewed upon application by the railway undertaking at intervals not exceeding five years. It shall be wholly or partly updated whenever

  before
  the type or extent
  or area
  of the operation is substantially altered

  modified.

The holder of the single safety certificate shall inform the Agency
  or, in the cases referred to in paragraph 2a, the national safety authority,
  without delay of any major changes in the conditions of the single safety certificate. It shall furthermore notify the Agency
  or, in the cases referred to in paragraph 2a, the national safety authority,
  whenever new categories of
  safety-critical
  staff or new types of rolling stock are introduced.
  The time limits laid down in Article 11(1) shall likewise apply in such cases.

The Agency may require that the single safety certificate be revised following substantial changes to the safety regulatory framework.

6.   If a national safety authority finds that a holder of a single safety certificate no longer satisfies the conditions for certification, it shall ask the Agency to revoke it. The Agency
  or, in the cases referred to in paragraph 2a, the national safety authority
  may revoke the single safety certificate, giving reasons for its decision. The Agency
  or, in the cases


  referred to in paragraph 2a, the national safety authority
  shall immediately inform all the national safety authorities of the networks on which the railway undertaking operates.

7.   The Agency
  or, in the cases referred to in paragraph 2a, the national safety authority,
  shall inform the national safety authorities within one month of the issue, renewal, amendment or revocation of a single safety certificate . It shall state the name and address of the railway undertaking, the issue date, the scope and validity of the certificate and, in the case of revocation, the reasons for its decision.

8.   The Agency shall continuously monitor the effectiveness of the measures for the issuing of single safety certificates and
  the
  supervision by national safety authorities and, where appropriate, shall make recommendations to the Commission for improvement. These may include a recommandation

  recommendation
  for a CSM covering a process of the safety management system which needs to be harmonised at Union level, as referred to in
  point (d) of
  Article 6(1)(d)

  6(1).

8a.
     
  Any natural or legal person may appeal against a decision addressed to that person by the Agency pursuant to Articles 12, 16, 17 and 18 of Regulation ... [Regulation on Agency for Railways] or against a failure by the Agency to respond within the prescribed time limits. These rights shall also apply to bodies representing persons referred to in Article 34(2) of Regulation ... [Regulation on Agency for Railways], as duly authorised in accordance with their statutes. [Am. 77]

Article 11

Applications for single safety certificates

1.   Applications for single safety certificates shall be submitted to the Agency. The Agency shall take a decision on an application without delay and in any event not more than four

  three
  months after all required information and any supplementary information requested by the Agency has been submitted

  receipt of the application
  . If the applicant is requested to submit supplementary information, such information shall be submitted promptly

  supplied within a reasonable period set by the Agency that shall not exceed one month unless, in exceptional circumstances, the Agency agrees to, and authorises, a time-limited extension. Negative decisions shall be duly supported by a statement of reasons
  .

In the case of an application for an extension, to operate in an additional Member State, the Agency shall likewise take its decision within three months from receipt of the application.

2.   The Agency shall provide detailed guidance on how to obtain the single safety certificate. It shall list all requirements that have been laid down for the purpose of Article 10(2) and shall publish all relevant documents.

3.   An application guidance document describing and explaining the requirements for the single safety certificates and listing the required documents shall be made available to applicants free of charge
  and in all official languages of the Union
  . The national safety authorities shall cooperate with the Agency in disseminating such information. [Am. 78]

Article 12

Safety authorisation of infrastructure managers

1.   In order to be allowed to manage and operate a rail infrastructure, the infrastructure manager shall obtain a safety authorisation from the national safety authority in the Member State where it is established.
  In the case of cross-border infrastructures with a single infrastructure manager, the Agency shall be in charge of the tasks laid down in this Article.

2.   The safety authorisation shall comprise authorisation confirming acceptance of the infrastructure manager’s safety management system laid down in Article 9, which shall include the procedures and provisions for meeting the requirements necessary for the safe design, maintenance and operation of the railway infrastructure, including, where appropriate, the maintenance and operation of the traffic control and signalling system
  , as well as procedures for action in the event of a serious accident in order to guarantee emergency assistance and restore infrastructure safety
  .

The safety authorisation shall be renewed upon application by the infrastructure manager at intervals of five years. It shall be wholly or partly updated whenever substantial changes are made to the infrastructure, signalling or energy supply or to the principles of its operation and maintenance. The holder of the safety authorisation shall without delay

  promptly
  inform the national safety authority
  and the Agency
  of all such changes.

The national safety authority
  , or for cross-border infrastructures as referred to in paragraph 1 the Agency,
  may require that the safety authorisation be revised following substantial changes to the safety regulatory framework.

If the national safety authority
  , or for cross-border infrastructures as referred to in paragraph 1 the Agency,
  finds that an authorised infrastructure manager no longer satisfies the conditions for a safety authorisation it shall revoke the authorisation, giving reasons for its decisions.

3.   The national safety authority shall take a decision on an application for safety authorisation without delay and in any event not more than four

  three
  months after all the information required and any

  receipt of the application. If the applicant is requested to submit
  supplementary information requested has been submitted

  , such information shall be supplied within a reasonable period set by the national safety authority or the Agency that shall not exceed one month unless, in exceptional circumstances, the national safety authority or the Agency agrees to, and authorises, a time-limited extension. Negative decisions shall be duly justified
  .

An application guidance document shall be made available, describing and explaining the requirements for the safety authorisations and listing the documents required. [Am. 79]

4.   The national safety authority shall inform the Agency within one month of the safety authorisations that have been issued, renewed, amended or revoked. It shall state the name and address of the infrastructure manager, the issue date, the scope and validity of the safety authorisation and, in case of revocation, the reasons for its decision.

Article 13

Access to training facilities

1.   Member States shall ensure that railway undertakings have fair and non-discriminatory access to training facilities for train drivers and staff accompanying the trains, whenever such training is necessary for operating services on their network or, for fulfilling requirements to obtain the safety certificate and requirements to obtain licences and certificates under Directive 2007/59/EC of the European Parliament and of the Council (13).

The services offered shall include training on necessary route knowledge,
  assistance to persons with disabilities,
  operating rules and procedures, the signalling and control command system and emergency procedures applied on the routes operated. [Am. 80]

Member States shall also ensure that infrastructure managers and their staff performing vital safety tasks have fair and non-discriminatory access to training facilities.

If the training services do not include examinations and granting of certificates, Member States shall ensure that railway undertakings have access to such certification.

The national safety authority shall ensure that the provision of training services or, where appropriate, the granting of certificates meets the requirements laid down in Directive 2007/59/EC, in TSIs or national rules referred to in Article 8 .

2.   If the training facilities are available only through the services of one single railway undertaking or the infrastructure manager, Member States shall ensure that they are made available to other railway undertakings at a reasonable and non-discriminatory price, which is cost-related and may include a profit margin.

3.   When recruiting new train drivers, staff on board trains and staff performing vital safety tasks, railway undertakings shall be able to take into account any training, qualifications and experience acquired previously from other railway undertakings. For this purpose, such members of staff shall be entitled to have access to, obtain copies and communicate all documents attesting to their training, qualifications and experience.

4.   Railway undertakings and infrastructure managers shall be responsible for the level of training and qualifications of its staff carrying out safety-related work,
  including on-board staff
  .

Article 14

Maintenance of vehicles

1.   Each vehicle, before it is placed in service or used on the network, shall have an entity in charge of maintenance assigned to it and this

  that
  entity shall be registered in the national vehicle register

  registers
  in accordance with Article 43 of Directive ... [Railway Interoperability Directive].

2.   A railway undertaking, an infrastructure manager or a keeper may be an entity in charge of maintenance.

3.   Without prejudice to the responsibility of the railway undertakings and infrastructure managers for the safe operation of a train as provided for in Article 4, the entity shall ensure that the vehicles for which it is in charge of maintenance are in a safe state of running by means of a system of maintenance. To this end, the entity in charge of maintenance shall ensure that vehicles are maintained in accordance with:

| (a) | the maintenance file of each vehicle; |
| --- | --- |

(a)

the maintenance file of each vehicle;

| (b) | the requirements in force including maintenance rules and TSI provisions. |
| --- | --- |

(b)

the requirements in force including maintenance rules and TSI provisions.

The entity in charge of maintenance shall carry out the maintenance itself or make use of contracted maintenance workshops.

4.   In the case of freight wagons, each entity in charge of maintenance shall be certified by a body accredited or recognised in accordance with Commission Regulation (EU) No 445/2011 (14), or by a national safety authority. The recognition process shall also be based on criteria of independence, competence and impartiality.

Where the entity in charge of maintenance is an infrastructure manager, compliance with Regulation (EU) No 445/2011 shall be checked by the relevant national safety authority pursuant to the procedures referred to in Article 12
  of this Directive
  and shall be confirmed on the certificates specified in those procedures.

5.   The certificates granted in accordance with paragraph 4 shall be valid
  and automatically recognised
  throughout the Union.

The Agency shall set up and make public, and subsequently update without delay, a register of certified entities in charge of maintenance. It shall be linked with the national vehicle registers or the vehicle registers in accordance with Article 43(1) and (4) and Article 43a(1) and (4) of Directive... [Railway Interoperability Directive].

The Commission shall adopt implementing acts laying down common specifications for those registers relating to content, data format, functional and technical architecture, operating mode and rules for data input and consultation. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27(3).

5a.
     
  When drafting or amending TSIs, the Agency shall harmonise rules on minimum maintenance requirements in order to ensure the safety of the entire rail system. In so doing, it shall take account of the various parameters (use, age, material, mileage, weather conditions, type of track, etc.) that affect wear and tear. Companies may continue to use their own maintenance system, provided that the Agency considers that that system provides an equivalent or higher safety level.

6.   By 31 May 2014

  No later than two years after this Directive comes into force
  , the Agency shall evaluate the system of certification of the entity in charge of maintenance for freight wagons and shall consider the opportunity for an extension of that system to all vehicles and shall submit a report to the Commission.
  That report shall contain a recommendation on whether that system of certification should be extended to other types of vehicles. The Commission shall then take appropriate measures on the basis of that recommendation.

6a.
     
  No later than six months after this Directive comes into force, the Agency shall identify railway components that are critical for railway safety and shall develop a system that enables those components to be traced.

7.   
  On the basis of the Agency's recommendation and no later than 36 months after this Directive enters into force,
  the Commission shall, by means of implementing acts

  delegated acts in accordance with Article 26
  , adopt common conditions for certification of the entity in charge of maintenance for all vehicles by 24 December 2016.

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27 (2).

The certification system applicable to freight wagons adopted by Regulation (EU) No 445/2011 shall continue to apply until the implementing

  delegated
  acts referred to in the first subparagraph are adopted. [Am. 82]

Article 15

Derogations from the system of certification of the entities in charge of maintenance

1.   Member States may decide to fulfil the obligations to identify the entity in charge of maintenance and to certify it through alternative measures respect to the system of certification established in article 14 , in the following cases:

| (a) | vehicles registered in a third country and maintained according to the law of that country; |
| --- | --- |

(a)

vehicles registered in a third country and maintained according to the law of that country;

| (b) | vehicles which are used on networks or lines the track gauge of which is different from that of the main rail network within the Union and for which fulfilment of the requirements referred to in Article 14(3) is ensured by international agreements with third countries; |
| --- | --- |

(b)

vehicles which are used on networks or lines the track gauge of which is different from that of the main rail network within the Union and for which fulfilment of the requirements referred to in Article 14(3) is ensured by international agreements with third countries;

| (c) | vehicles covered by Article 2, and military equipment and special transport requiring an ad hoc national safety authority permit to be delivered prior to the service. In this case derogations shall be granted for periods not longer than five years. |
| --- | --- |

(c)

vehicles covered by Article 2, and military equipment and special transport requiring an ad hoc national safety authority permit to be delivered prior to the service. In this case derogations shall be granted for periods not longer than five years.

2.   Alternative measures referred to in paragraph 1 shall be implemented through derogations to be granted by the relevant national safety authority or the Agency:

| (a) | when registering vehicles pursuant to Article 43 of Directive ... [Railway Interoperability Directive] , as far as the identification of the entity in charge of maintenance is concerned; |
| --- | --- |

(a)

when registering vehicles pursuant to Article 43 of Directive ... [Railway Interoperability Directive] , as far as the identification of the entity in charge of maintenance is concerned;

| (b) | when delivering safety certificates and authorisations to railway undertakings and infrastructure managers pursuant to Articles 10 and 12 of this Directive, as far as the identification or certification of the entity in charge of maintenance is concerned. |
| --- | --- |

(b)

when delivering safety certificates and authorisations to railway undertakings and infrastructure managers pursuant to Articles 10 and 12 of this Directive, as far as the identification or certification of the entity in charge of maintenance is concerned.

3.   Such derogations shall be identified and justified in the annual safety report referred to in Article 18. Where it appears that undue safety risks are being taken on the Union rail system, the Agency shall immediately inform the Commission thereof. The Commission shall make contact with the parties involved and, where appropriate, request the Member State to withdraw its derogation decision.

CHAPTER IV

NATIONAL SAFETY AUTHORITIES

Article 16

Tasks

1.   Each Member State shall establish a safety authority.
  Member States may also decide to jointly establish a safety authority competent for their territories.
  This authority shall be independent in its organisation, legal structure and decision making from any railway undertaking, infrastructure manager, applicant and

  or
  procurement entity.
  The authority shall have the necessary expertise and the necessary staff resources in order to discharge its duties. It may be the Ministry responsible for transport matters, provided it meets the independence requirements laid down in this paragraph.

2.   The national safety authority shall be entrusted with at least the following tasks:

| (a) | authorising the placing in service of the energy and infrastructure subsystems constituting the rail system in accordance with Article 18(2) of Directive ... [Railway Interoperability Directive]
  , with the exception of cross-border infrastructures with a single infrastructure manager, for which the Agency shall be in charge of the tasks laid down in this subparagraph
  ; |
| --- | --- |

(a)

authorising the placing in service of the energy and infrastructure subsystems constituting the rail system in accordance with Article 18(2) of Directive ... [Railway Interoperability Directive]
  , with the exception of cross-border infrastructures with a single infrastructure manager, for which the Agency shall be in charge of the tasks laid down in this subparagraph
  ;

| (b) | supervising

  ensuring
  that the interoperability constituents are in compliance with the essential requirements as required

  laid down
  by Article [x] of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(b)

supervising

  ensuring
  that the interoperability constituents are in compliance with the essential requirements as required

  laid down
  by Article [x] of Directive ... [Railway Interoperability Directive];

| (c) | assigning a European

  national
  vehicle numbering in accordance with Article 42

  Articles 20a and 43
  of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(c)

assigning a European

  national
  vehicle numbering in accordance with Article 42

  Articles 20a and 43
  of Directive ... [Railway Interoperability Directive];

| (d) | on request of

  by
  the Agency
  and on the basis of contractual agreements as referred to in Regulation... [Regulation on Agency for Railways]
  , supporting it in the issue, renewal, amendment and revocation of single safety certificates granted in accordance with Article 10 and checking that the conditions and requirements laid down in them are met and that railway undertakings are operating in accordance with the requirements of Union or national law; |
| --- | --- |

(d)

on request of

  by
  the Agency
  and on the basis of contractual agreements as referred to in Regulation... [Regulation on Agency for Railways]
  , supporting it in the issue, renewal, amendment and revocation of single safety certificates granted in accordance with Article 10 and checking that the conditions and requirements laid down in them are met and that railway undertakings are operating in accordance with the requirements of Union or national law;

| (e) | issuing, renewing, amending and revoking safety authorisations granted in accordance with Article 12 and checking that the conditions and requirements laid down in them are met and that infrastructure managers are operating in accordance with the requirements of Union or national law; |
| --- | --- |

(e)

issuing, renewing, amending and revoking safety authorisations granted in accordance with Article 12 and checking that the conditions and requirements laid down in them are met and that infrastructure managers are operating in accordance with the requirements of Union or national law;

| (f) | monitoring, promoting, and, where appropriate, enforcing and updating the safety regulatory framework including the system of national rules; |
| --- | --- |

(f)

monitoring, promoting, and, where appropriate, enforcing and updating the safety regulatory framework including the system of national rules;

| (g) | supervising the railway undertakings in accordance with Annex IV to Commission Regulation (EU) No 1158/2010 (15) and with Commission Regulation (EU) No 1077/2012 (16); |
| --- | --- |

(g)

supervising the railway undertakings in accordance with Annex IV to Commission Regulation (EU) No 1158/2010 (15) and with Commission Regulation (EU) No 1077/2012 (16);

| (h) | supervising

  ensuring
  that vehicles are duly registered in the
  European and

  national vehicle register

  registers
  and that safety-related information contained in it

  those registers
  is accurate and up to date; |
| --- | --- |

(h)

supervising

  ensuring
  that vehicles are duly registered in the
  European and

  national vehicle register

  registers
  and that safety-related information contained in it

  those registers
  is accurate and up to date;

| (ha) | monitoring compliance with working, driving and rest time rules for locomotive drivers in the railway companies and on the track; |
| --- | --- |

(ha)

monitoring compliance with working, driving and rest time rules for locomotive drivers in the railway companies and on the track;

| (hb) | monitoring compliance with applicable rules on the safe maintenance and operation of rail freight wagons and other rolling stock; |
| --- | --- |

(hb)

monitoring compliance with applicable rules on the safe maintenance and operation of rail freight wagons and other rolling stock;

| (hc) | drawing up a general emergency plan for the rail network which shall be mandatory for all rail system actors and which shall detail the measures to be taken in the event of a serious accident or emergency, and forwarding it to the Agency. That plan shall include:










  (i) | mechanisms and procedures guaranteeing effective communication between the actors involved, chiefly between infrastructure managers, rail operators and emergency services; |
| --- | --- | --- |

(hc)

drawing up a general emergency plan for the rail network which shall be mandatory for all rail system actors and which shall detail the measures to be taken in the event of a serious accident or emergency, and forwarding it to the Agency. That plan shall include:

(i)

mechanisms and procedures guaranteeing effective communication between the actors involved, chiefly between infrastructure managers, rail operators and emergency services;

| (ii) | mechanisms for coordination with national agencies of neighbouring countries; |
| --- | --- |

(ii)

mechanisms for coordination with national agencies of neighbouring countries;

| (iii) | channels for communicating with victims' families following a serious accident, in order to interact with staff who have been trained for the various tasks; |
| --- | --- |

(iii)

channels for communicating with victims' families following a serious accident, in order to interact with staff who have been trained for the various tasks;

| (iv) | a system for providing care for victims following an accident, which will guide them in the complaints procedures under Union legislation, and in particular Regulation (EC) No 1371/2007 of the European Parliament and of the Council

   (17)

  , without prejudice to the obligations of rail operators. Such care shall include psychological support for accident victims and their families. |
| --- | --- |

(iv)

a system for providing care for victims following an accident, which will guide them in the complaints procedures under Union legislation, and in particular Regulation (EC) No 1371/2007 of the European Parliament and of the Council

   (17)

  , without prejudice to the obligations of rail operators. Such care shall include psychological support for accident victims and their families.

The Commission shall, as a matter of urgency, draw up measures aimed at harmonising the content and format of emergency plans by means of implementing acts as provided for in Article 27. The Agency shall assist and supervise the national safety authorities in drawing up those plans, paying particular attention to rail accidents affecting two or more national networks.

3.   The national safety authority of the Member State where the railway undertaking operates shall make necessary arrangements to coordinate with the Agency and other safety authorities to ensure that any key information on the specific railway undertaking is shared, particularly on known risks and its safety performance. The national safety authority shall also share information with other relevant national safety authorities if it finds that the railway undertaking is not taking the necessary risk control measures.

It shall inform the Agency immediately of any concerns about the safety performance of the railway undertakings under supervision. The Agency shall take appropriate action provided for in Article 10(6).

4.   The tasks referred to in paragraph 2 may not be transferred or subcontracted to any infrastructure manager, railway undertaking or procurement entity.

4a.
     
  National safety authorities shall, with the help of the Agency, establish mechanisms for the exchange of examples of good and best practice.

4b.
     
  National safety authorities may, on a voluntary basis, request the Agency to audit their work. The Agency may also audit national safety authorities on its own initiative. [Am. 83]

Article 17

Decision-making principles

1.   The national safety authorities shall carry out their tasks in an open, non-discriminatory and transparent way. In particular they shall allow all parties to be heard and give reasons for their decisions.

They shall promptly respond to requests and applications and communicate their requests for information without delay and adopt all their decisions within four months after all requested information has been provided. They may at any time request the technical assistance of infrastructure managers and railway undertakings or other qualified bodies when they are carrying out the tasks referred to in Article 16

  , respecting the time-limits laid down in Article 11(1) and any obligations laid down in contractual agreements concluded with the Agency
  .

In the process of developing the national regulatory framework, the national safety authority shall consult
  and consider
  all persons involved and interested parties, including infrastructure managers, railway undertakings, manufacturers and maintenance providers, users and staff representatives.

2.   The Agency and the national safety authorities shall be free to carry out all inspections
  , audits
  and investigations that are needed for accomplishment of their tasks and they shall be granted access to all relevant documents and to premises, installations and equipment of infrastructure managers and railway undertakings.

3.   Member States shall take the measures necessary to ensure that decisions taken by the national safety authority are subject to judicial review.

4.   The national safety authorities shall conduct an active exchange of views and experience within the network established by the Agency in order to harmonise their decision-making criteria across the Union.

4a.
     
  The national safety authorities shall support the Agency in its work of monitoring the development of railway safety on a Union level.

5.   The scope of cooperation between the Agency and the national safety authorities in all matters relating to inspections on site related to issuing the single safety certificate and supervision of the railway undertakings after issuing the single safety certificate shall be set out in contractual or other arrangements

  agreements
  between the Agency and the national safety authorities
  no later than one year after the entry into force of this Directive
  .

Those agreements may include contracting out certain tasks and responsibilities of the Agency to the national authorities, such as checking and preparing files, verifying technical compatibility, performing visits and drafting technical studies, in accordance with Article 69 of Regulation ... [Regulation on Agency for Railways].

Those agreements shall provide for a sharing of revenues commensurate with the share in the workload of each actor. [Am. 84]

Article 18

Annual report

Each year the national safety authority shall publish an annual report concerning its activities in the preceding year and send it to the Agency by 30 September at the latest. The report shall contain information on:

| (a) | the development of railway safety, including an aggregation at Member State level of the CSIs laid down in Annex I; |
| --- | --- |

(a)

the development of railway safety, including an aggregation at Member State level of the CSIs laid down in Annex I;

| (b) | important changes in legislation and regulation concerning railway safety; |
| --- | --- |

(b)

important changes in legislation and regulation concerning railway safety;

| (c) | the development of safety certification and safety authorisation; |
| --- | --- |

(c)

the development of safety certification and safety authorisation;

| (d) | results of and experience relating to the supervision of infrastructure managers and railway undertakings; |
| --- | --- |

(d)

results of and experience relating to the supervision of infrastructure managers and railway undertakings;

| (e) | the derogations decided in accordance with Article 14 (8); |
| --- | --- |

(e)

the derogations decided in accordance with Article 14 (8);

| (f) | all inspections or audits of railway undertakings operating in the Member State in the course of supervision activities; |
| --- | --- |

(f)

all inspections or audits of railway undertakings operating in the Member State in the course of supervision activities;

| (fa) | all technical inspections of rail freight wagons on the track. [Am. 85] |
| --- | --- |

(fa)

all technical inspections of rail freight wagons on the track. [Am. 85]

CHAPTER V

ACCIDENT AND INCIDENT INVESTIGATION

Article 19

Obligation to investigate

1.   Member States shall ensure that an investigation is carried out by the investigating body referred to in Article 21 after serious accidents on the rail system, the objective of which is possible improvement of railway safety and the prevention of accidents.

2.   In addition to serious accidents, the investigating body referred to in Article 21 may investigate those accidents and incidents which under slightly different conditions might have led to serious accidents, including technical failures of the structural subsystems or of interoperability constituents of the European rail system.

The investigating body shall, at its discretion, decide whether or not an investigation of such an accident or incident shall be undertaken. In its decision it shall take into account:

| (a) | the seriousness of the accident or incident; |
| --- | --- |

(a)

the seriousness of the accident or incident;

| (b) | whether it forms part of a series of accidents or incidents relevant to the system as a whole; |
| --- | --- |

(b)

whether it forms part of a series of accidents or incidents relevant to the system as a whole;

| (c) | its impact on railway safety on a Union level, |
| --- | --- |

(c)

its impact on railway safety on a Union level,

| (d) | requests from infrastructure managers, railway undertakings, the national safety authority or the Member States. |
| --- | --- |

(d)

requests from infrastructure managers, railway undertakings, the national safety authority or the Member States.

3.   The extent of investigations and the procedure to be followed in carrying out such investigations shall be determined by the investigating body, taking into account Articles 20 and 22 and depending on the lessons it expects to draw from the accident or incident for the improvement of safety.

4.   The investigation shall in no case be concerned with apportioning blame or liability.

Article 20

Status of investigation

1.   Member States shall define, in the framework of their respective legal system, the legal status of the investigation that shall enable the investigators-in-charge to carry out their task in the most efficient way and within the shortest time.

2.   In accordance with the legislation in force, Member States shall ensure full cooperation by the authorities responsible for the judicial inquiry, and shall ensure that the investigators
  , as well as the Agency if it so requests,
  are
  given
  , as soon as possible, given: [Am. 86]

| (a) | access to the site of the accident or incident as well as to the rolling stock involved, the related infrastructure and traffic control and signalling installations; |
| --- | --- |

(a)

access to the site of the accident or incident as well as to the rolling stock involved, the related infrastructure and traffic control and signalling installations;

| (b) | the right to an immediate listing of evidence and controlled removal of wreckage, infrastructure installations or components for examination or analysis purposes; |
| --- | --- |

(b)

the right to an immediate listing of evidence and controlled removal of wreckage, infrastructure installations or components for examination or analysis purposes;

| (c) | access to and use of the contents of on-board recorders and equipment for recording of verbal messages and registration of the operation of the signalling and traffic control system; |
| --- | --- |

(c)

access to and use of the contents of on-board recorders and equipment for recording of verbal messages and registration of the operation of the signalling and traffic control system;

| (d) | access to the results of examination of the bodies of victims; |
| --- | --- |

(d)

access to the results of examination of the bodies of victims;

| (e) | access to the results of examinations of the train staff and other railway staff involved in the accident or incident; |
| --- | --- |

(e)

access to the results of examinations of the train staff and other railway staff involved in the accident or incident;

| (f) | the opportunity to question the railway staff involved and other witnesses; |
| --- | --- |

(f)

the opportunity to question the railway staff involved and other witnesses;

| (g) | access to any relevant information or records held by the infrastructure manager, the railway undertakings involved and the national safety authority. |
| --- | --- |

(g)

access to any relevant information or records held by the infrastructure manager, the railway undertakings involved and the national safety authority.

3.   The investigation shall be accomplished independently of any judicial inquiry.

Article 21

Investigating body

1.   Each Member State shall ensure that investigations of accidents and incidents referred to in Article 19 are conducted by a permanent body, which shall comprise at least one investigator able to perform the function of investigator-in-charge in the event of an accident or incident. This body shall be independent in its organisation, legal structure and decision-making from any infrastructure manager, railway undertaking, charging body, allocation body and notified body, and from any party whose interests could conflict with the tasks entrusted to the investigating body. It shall furthermore be functionally independent from the national safety authority and from any regulator of railways.

2.   The investigating body shall perform its tasks independently of the organisations referred to in paragraph 1
  , without discriminating against any party,
  and shall be able to obtain sufficient resources to do so. Its investigators shall be afforded status giving them the necessary guarantees of independence. [Am. 87]

3.   Member States shall make provision that railway undertakings, infrastructure managers and, where appropriate, the national safety authority, are obliged immediately to report accidents and incidents referred to in Article 19 to the investigating body. The investigating body shall be able to respond to such reports and make the necessary arrangements to start the investigation no later than one week after receipt of the report concerning the accident or incident.

4.   The investigating body may combine its tasks under this Directive with the work of investigating occurrences other than railway accidents and incidents as long as such investigations do not endanger its independence.

5.   If necessary the investigating body may request the assistance of investigating bodies from other Member States or from the Agency to supply expertise or to carry out technical inspections, analyses or evaluations.

5a.
     
  Investigating bodies may, on a voluntary basis, request the Agency to audit their work. [Am. 88]

6.   Member States may entrust the investigating body with the task of carrying out investigations of railway accidents and incidents other than those referred to in Article 19.

7.   The investigating bodies shall conduct an active exchange of views and experience for the purpose of developing common investigation methods, drawing up common principles for follow-up of safety recommendations and adaptation to the development of technical and scientific progress.

The Agency shall support the investigating bodies in this task.
  In addition, investigating bodies shall support the Agency in its work of monitoring the development of railway safety on a Union level. [Am. 89]

Article 22

Investigation procedure

1.   An accident or incident referred to in Article 19 shall be investigated by the investigation body of the Member State in which it occurred. If it is not possible to establish in which Member State it occurred or if it occurred on or close to a border installation between two Member States the relevant bodies shall agree which one of them shall carry out the investigation or shall agree to carry it out in cooperation. The other body shall in the first case be allowed to participate in the investigation and fully share its results.

Investigation bodies from another Member State
  and the Agency
  shall be invited to participate in an investigation whenever a railway undertaking established and licensed in that Member State is involved in the accident or incident. [Am. 90]

This paragraph shall not preclude Member States from agreeing that the relevant bodies shall carry out investigations in cooperation in other circumstances.

2.   For each accident or incident the body responsible for the investigation shall arrange for the appropriate means, comprising the necessary operational and technical expertise
  and sufficient resources
  to carry out the investigation. The expertise may be obtained from inside or outside the body, depending on the character of the accident or incident to be investigated. [Am. 91]

3.   The investigation shall be carried out with as much openness as possible, so that all parties can be heard and can share the results. The relevant infrastructure manager and railway undertakings, the national safety authority, victims and their relatives, owners of damaged property, manufacturers, the emergency services involved and representatives of staff and users shall be regularly informed of the investigation and its progress and, as far as practicable, shall be given an opportunity to submit their opinions and views to the investigation and be allowed to comment on the information in draft reports.

4.   The investigating body shall conclude its examinations at the accident site in the shortest possible time in order to enable the infrastructure manager to restore the infrastructure and open it to rail transport services as soon as possible.

Article 23

Reports

1.   An investigation of an accident or incident referred to in Article 19 shall be the subject of reports in a form appropriate to the type and seriousness of the accident or incident and the relevance of the investigation findings. The reports shall state the objectives of the investigations as referred to in Article 19(1) and contain, where appropriate, safety recommendations.

2.   The investigating body shall make public the final report
  , including the safety recommendations,
  in the shortest possible time and normally not later than 12

  six
  months after the date of the occurrence. . The report, including the safety recommendations, shall be communicated to the relevant parties referred to in Article 22(3) and to bodies and parties concerned in other Member States. [Am. 92]

The Commission shall establish, by means of implementing

  delegated
  acts, the content of accident and incident investigation reports
  , which shall include the following elements: a summary; the immediate facts of the occurrence; the record of investigations and inquiries; analysis and conclusions
  . Those implementing

  delegated
  acts shall be adopted in accordance with the examination procedure referred to in Article 27(2)

  26
  . [Am. 93]

3.   Each year the investigating body shall publish by 30 September at the latest an annual report accounting for the investigations carried out in the preceding year, the safety recommendations that were issued and actions taken in accordance with recommendations issued previously.

Article 24

Information to be sent to the Agency

1.   Within one week after the decision to open an investigation the investigating body shall inform the Agency thereof. The information shall indicate the date, time and place of the occurrence, as well as its type and its consequences as regards fatalities, injuries and material damage.

2.   The investigating body shall send the Agency a copy of the final report referred to in Article 23(2) and of the annual report referred to in Article 23(3).

2a.
     
  The Agency shall set up and manage a centralised database containing all information submitted in relation to incidents and accidents. That database shall be established by no later than 31 December 2015. [Am. 94]

Article 25

Safety recommendations

1.   A safety recommendation issued by an investigating body shall in no case create a presumption of blame or liability for an accident or incident.

2.   Recommendations shall be addressed to the Agency, to the national safety authority and, where needed by reason of the character of the recommendation, to other bodies or authorities in the Member State or to other Member States. Member States and their national safety authorities shall take the necessary measures to ensure that the safety recommendations issued by the investigating bodies are duly taken into consideration, and, where appropriate, acted upon.

3.   The national safety authority and other authorities or bodies or, when appropriate, other Member States to which recommendations have been addressed, shall report back at least annually to the investigating body on measures that are taken or planned as a consequence of the recommendation.

CHAPTER VI

FINAL PROVISIONS

Article 26

Exercise of delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts referred to in Articles 5(2) and, 7(2)
  , 9(2), 14(7) and 23(2)
  shall be conferred on the Commission for an indeterminate

  a
  period of time

  five years from [the date of entry into force of this Directive]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period
  . [Am. 95]

3.   The delegation of power referred to in Article 5(2) and 7(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Articles 5(2) and 7(2) shall enter into force only if no objection has been expressed by either the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council, or if, before expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. The period shall be extended by two months at the initiative of the European Parliament or the Council.

Article 27

Committee procedure

1.   The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

Article 28

Report and further Union action

On the basis of relevant information provided by the Agency, the Commission shall submit to the European Parliament and to the Council before... (*1) and every five

  three
  years thereafter a report on the implementation of this Directive.

The report shall be accompanied where necessary by proposals for further Union action. [Am. 96]

Article 29

Penalties

The Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate, non-discriminatory and dissuasive.

The Member States shall notify those rules to the Commission by the date specified in Article 32(1) and shall notify it without delay of any subsequent amendment affecting them.

Article 30

Transitional provisions

Annexes III and V to Directive 2004/49/EC shall apply until the date of application of the implementing acts referred to in Articles 6(2) and (3), 9(2), 14(7) and 23(2) of this Directive.

Until... (*2), the national safety authorities shall

  may
  continue to grant safety certificates in accordance with the provisions of Directive 2004/49/EC
  , without prejudice to Article 10(2a)
  . Such safety certificates shall be valid until their date of expiry.

For an additional period of three years after the one-year transposition period laid down in Article 32, applicants may apply either to the Agency or the national safety authority. During that period, national safety authorities may continue to issue safety certificates in accordance with Directive 2004/49/EC. [Am. 97]

Article 31

Recommendations and opinions and of the Agency

The Agency shall provide recommendations and opinions in accordance with Article 15 of Regulation ... [Regulation on Agency for Railways] for the purpose of application of this Directive. These recommendations and opinions will serve as basis for any Union measure adopted pursuant this Directive.

Article 32

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Articles 2, 3, 4, 8, 10, 16, 18, 20 and Annex I

  the provisions of this Directive
  by.... (*3) at the latest. They shall forthwith communicate to the Commission the text of those provisions. [Am. 98]

2.   When Member States adopt those measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

3.   The obligation to transpose and implement this Directive shall not apply to the Republic of Cyprus and the Republic of Malta for as long as no rail system is established within their territory.

However, as soon as a public or private entity submits an official application to build a railway line with a view to its operation by one or more railway undertakings, the Member States concerned shall put in place legislation to implement this Directive within one year from receipt of the application.

Article 33

Repeal

Directive 2004/49/EC, as amended by the Directives listed in Annex II, Part A, is repealed with effect from... (*4), without prejudice to the obligations of the Member States concerning the time limits for transposition into national law and application of the Directives set out in Annex II, Part B. [Am. 99]

References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex III.

Article 34

Entry into force

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

Articles 10 and 11 shall apply from... (*5)

  , without prejudice to the transitional provisions set out in Article 30
  . [Am. 100]

Article 35

Addressees

This Directive is addressed to the Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122.

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on Safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification (OJ L 164, 30.4.2004, p. 44).

4

(5)  
  Council Directive 96/49/EC of 23 July 1996 on the approximation of the laws of the Member States with regard to the transport of dangerous goods by rail (OJ L 235, 17.9.1996, p. 25).

5

Council Directive 96/49/EC of 23 July 1996 on the approximation of the laws of the Member States with regard to the transport of dangerous goods by rail (OJ L 235, 17.9.1996, p. 25).

(6)  
  Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).

6

Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).

(7)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

7

(8)  
  Directive 2012
  /
  34
  /
  EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (

  OJ L 343, 14.12.2012, p. 32).

8

Directive 2012

34

EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (

(9)  Commission Regulation (EU) No 1078/2012 of 16 November 2012 on a common safety method for monitoring to be applied by railway undertakings, infrastructure managers after receiving a safety certificate or safety authorisation and by entities in charge of maintenance (OJ L 320, 17.11.2012, p. 8).

9

(10)  Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations (OJ L 204, 21.7.1998, p. 37).

10

(11)  Commission Regulation (EC) No 352/2009 of 24 April 2009 on the adoption of a common safety method on risk evaluation and assessment as referred to in Article 6(3)(a) of Directive 2004/49/EC of the European Parliament and of the Council (OJ L 108, 29.4.2009, p. 4).

11

(12)  Council Directive 95/18/EC of 19 June 1995 on the licensing of railway undertakings (OJ L 143, 27.6.1995, p. 70).

12

(13)  Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (OJ L 315, 3.12.2007, p. 51).

13

(14)  Commission Regulation (EU) No 445/2011 of 10 May 2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007 (OJ L 122, 11.5.2011, p. 22).

14

(15)  Commission Regulation (EU) No 1158/2010 of 9 December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates (OJ L 326, 10.12.2010, p. 11).

15

(16)  Commission Regulation (EU) No 1077/2012 of 16 November 2012 on a common safety method for supervision by national safety authorities after issuing a safety certificate or safety authorisation (OJ L 320, 17.11.2012, p. 3).

16

(17)  
  Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (OJ L 315, 3.12.2007, p. 14).

17

Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (OJ L 315, 3.12.2007, p. 14).

(*1)  
  Three
  years after the date of entry into force of this Directive.

*1

Three

(*2)  
  Four
  years after the date of entry into force of this Directive.

*2

Four

(*3)  
  One
  year after the date of entry into force of this Directive.

*3

One

(*4)  
  Four
  years after the date of entry into force of this Directive.

*4

Four

(*5)  
  Four
  years after the date of entry into force of this Directive.

*5

Four

ANNEX I

COMMON SAFETY INDICATORS

Common safety indicators are to be reported annually by the national safety authorities. If new facts or errors are discovered after the submission of the report the indicators for one particular year are to be amended or corrected by the national safety authority at the first convenient opportunity and at the latest in the next annual report.

For indicators relating to accidents under point 1, Regulation (EC) No 91/2003 of the European Parliament and of the Council (1) is to be applied as far as the information is available.

| 1. | Indicators relating to accidents






  1.1. | Total and relative (to train-kilometres) number of significant accidents and a break-down on the following types of accident:






  (i) | collision of trains with rail vehicles , |
| --- | --- | --- | --- |

1.

Indicators relating to accidents

1.1.

Total and relative (to train-kilometres) number of significant accidents and a break-down on the following types of accident:

(i)

collision of trains with rail vehicles ,

| (ii) | collision of trains, with obstacle within the clearance gauge, |
| --- | --- |

(ii)

collision of trains, with obstacle within the clearance gauge,

| (iii) | derailment of trains, |
| --- | --- |

(iii)

derailment of trains,

| (iv) | level crossing accidents, including accidents involving pedestrians at level crossings, |
| --- | --- |

(iv)

level crossing accidents, including accidents involving pedestrians at level crossings,

| (v) | accidents to persons involving rolling stock in motion, with the exception of suicides, |
| --- | --- |

(v)

accidents to persons involving rolling stock in motion, with the exception of suicides,

| (vi) | fires in rolling stock, |
| --- | --- |

(vi)

fires in rolling stock,

| (vii) | other. |
| --- | --- |

(vii)

other.

Each significant accident is to be reported under the type of the primary accident, even if the consequences of the secondary accident are more severe, for example a fire following a derailment.

| 1.2. | Total and relative (to train-kilometres) number of persons seriously injured and killed by type of accident divided into the following categories:






  (i) | passenger (also in relation to total number of passenger-kilometres and passenger train-kilometres), |
| --- | --- | --- |

1.2.

Total and relative (to train-kilometres) number of persons seriously injured and killed by type of accident divided into the following categories:

(i)

passenger (also in relation to total number of passenger-kilometres and passenger train-kilometres),

| (ii) | employee including the staff of contractors, |
| --- | --- |

(ii)

employee including the staff of contractors,

| (iii) | level crossing users, |
| --- | --- |

(iii)

level crossing users,

| (iv) | trespassers, |
| --- | --- |

(iv)

trespassers,

| (v) | other. |
| --- | --- |

(v)

other.

| 2. | Indicators relating to dangerous goods
  Total and relative (to train-kilometres) number of accidents
  and incidents
  involving the transport of dangerous goods divided into the following categories: [Am. 101]







  (i) | accidents involving at least one railway vehicle transporting dangerous goods, as defined by the Appendix, |
| --- | --- | --- |

2.

Indicators relating to dangerous goods

Total and relative (to train-kilometres) number of accidents
  and incidents
  involving the transport of dangerous goods divided into the following categories: [Am. 101]

(i)

accidents involving at least one railway vehicle transporting dangerous goods, as defined by the Appendix,

| (ii) | number of such accidents in which dangerous goods are released. |
| --- | --- |

(ii)

number of such accidents in which dangerous goods are released.

| 3. | Indicators relating to suicides
  Total and relative (to train-kilometres) number of suicides. |
| --- | --- |

3.

Indicators relating to suicides

Total and relative (to train-kilometres) number of suicides.

| 4. | Indicators relating to precursors of accidents
  Total and relative (to train-kilometres) number of:






  (i) | broken rails, |
| --- | --- | --- |

4.

Indicators relating to precursors of accidents

Total and relative (to train-kilometres) number of:

(i)

broken rails,

| (ii) | track buckles and track misalignments, |
| --- | --- |

(ii)

track buckles and track misalignments,

| (iii) | wrong-side signalling failures, |
| --- | --- |

(iii)

wrong-side signalling failures,

| (iv) | signals passed at danger, |
| --- | --- |

(iv)

signals passed at danger,

| (v) | broken wheels on rolling stock in service, |
| --- | --- |

(v)

broken wheels on rolling stock in service,

| (vi) | broken axles on rolling stock in service. |
| --- | --- |

(vi)

broken axles on rolling stock in service.

All precursors are to be reported, both resulting and not resulting in accidents. Precursors resulting in an accident are to be reported under the CSIs on precursors; the accidents that occurred, if significant, are to be reported under the CSIs on accidents referred to in heading 1.

| 5. | Indicators to calculate the economic impact of accidents
  The Agency shall define unit costs on the basis of data collected until the entry into force of this Directive. |
| --- | --- |

5.

Indicators to calculate the economic impact of accidents

The Agency shall define unit costs on the basis of data collected until the entry into force of this Directive.

| 6. | Indicators relating to technical safety of infrastructure and its implementation






  6.1. | Percentage of tracks with Automatic Train Protection (ATP) in operation, percentage of train-kilometres using operational ATP systems. |
| --- | --- | --- |

6.

Indicators relating to technical safety of infrastructure and its implementation

6.1.

Percentage of tracks with Automatic Train Protection (ATP) in operation, percentage of train-kilometres using operational ATP systems.

| 6.2. | Number of level crossings (total, per line kilometre and track kilometre) by the following eight types:






  (a) | active level crossings with:






  (i) | automatic user-side warning, |
| --- | --- | --- | --- |

6.2.

Number of level crossings (total, per line kilometre and track kilometre) by the following eight types:

(a)

active level crossings with:

(i)

automatic user-side warning,

| (ii) | automatic user-side protection, |
| --- | --- |

(ii)

automatic user-side protection,

| (iii) | automatic user-side protection and warning, |
| --- | --- |

(iii)

automatic user-side protection and warning,

| (iv) | automatic user-side protection and warning, and interlocked rail-side protection, |
| --- | --- |

(iv)

automatic user-side protection and warning, and interlocked rail-side protection,

| (v) | manual user-side warning, |
| --- | --- |

(v)

manual user-side warning,

| (vi) | manual user-side protection, |
| --- | --- |

(vi)

manual user-side protection,

| (vii) | manual user-side protection and warning; |
| --- | --- |

(vii)

manual user-side protection and warning;

| (b) | passive level crossings. |
| --- | --- |

(b)

passive level crossings.

| 7. | Indicators relating to the management of safety
  Internal audits accomplished by infrastructure managers and railway undertakings as set out in the documentation of the safety management system. Total number of audits accomplished and the number as a percentage of audits required (and/or planned). |
| --- | --- |

7.

Indicators relating to the management of safety

Internal audits accomplished by infrastructure managers and railway undertakings as set out in the documentation of the safety management system. Total number of audits accomplished and the number as a percentage of audits required (and/or planned).

| 8. | Definitions
  Common definitions for the CSIs and methods to calculate the economic impact of accidents are laid down in the Appendix. |
| --- | --- |

8.

Definitions

Common definitions for the CSIs and methods to calculate the economic impact of accidents are laid down in the Appendix.

---

(1)  Regulation (EC) No 91/2003 of the European Parliament and of the Council of 16 December 2002 on rail transport statistics (OJ L 14, 21.1.2003, p. 1).

Appendix

Common definitions for the CSIs and methods to calculate the economic impact of accidents

| 1. | Indicators relating to accidents






  1.1. | ‘significant accident’ means any accident involving at least one rail vehicle in motion, resulting in at least one killed or seriously injured person, or in significant damage to stock, track, other installations or environment, or extensive disruptions to traffic. Accidents in workshops, warehouses and depots are excluded. |
| --- | --- | --- |

1.

Indicators relating to accidents

1.1.

‘significant accident’ means any accident involving at least one rail vehicle in motion, resulting in at least one killed or seriously injured person, or in significant damage to stock, track, other installations or environment, or extensive disruptions to traffic. Accidents in workshops, warehouses and depots are excluded.

| 1.2. | ‘significant damage to stock, track, other installations or environment’ means damage that is equivalent to EUR 150 000 or more. |
| --- | --- |

1.2.

‘significant damage to stock, track, other installations or environment’ means damage that is equivalent to EUR 150 000 or more.

| 1.3. | ‘extensive disruptions to traffic’ means that train services on a main railway line are suspended for six hours or more. |
| --- | --- |

1.3.

‘extensive disruptions to traffic’ means that train services on a main railway line are suspended for six hours or more.

| 1.4. | ‘train’ means one or more railway vehicles hauled by one or more locomotives or railcars, or one railcar travelling alone, running under a given number or specific designation from an initial fixed point to a terminal fixed point. A light engine, such as a locomotive travelling on its own, is considered to be a train. |
| --- | --- |

1.4.

‘train’ means one or more railway vehicles hauled by one or more locomotives or railcars, or one railcar travelling alone, running under a given number or specific designation from an initial fixed point to a terminal fixed point. A light engine, such as a locomotive travelling on its own, is considered to be a train.

| 1.5. | ‘collision of trains’ means a front to front, front to end or a side collision between a part of a train and a part of another train or rail vehicle, or with shunting rolling stock: |
| --- | --- |

1.5.

‘collision of trains’ means a front to front, front to end or a side collision between a part of a train and a part of another train or rail vehicle, or with shunting rolling stock:

| 1.6. | ‘collision with obstacles within the clearance gauge mens a collision between a part of a train and objects fixed or temporarily present on or near the track (except at level crossings if lost by a crossing vehicle or user). Collision with overhead contact lines shall be included. |
| --- | --- |

1.6.

‘collision with obstacles within the clearance gauge mens a collision between a part of a train and objects fixed or temporarily present on or near the track (except at level crossings if lost by a crossing vehicle or user). Collision with overhead contact lines shall be included.

| 1.7. | ‘train derailment’ means any case in which at least one wheel of a train leaves the rails. |
| --- | --- |

1.7.

‘train derailment’ means any case in which at least one wheel of a train leaves the rails.

| 1.8. | ‘level crossing accidents’ means accidents at level crossings involving at least one railway vehicle and one or more crossing vehicles, other crossing users such as pedestrians or other objects temporarily present on or near the track if lost by a crossing vehicle/user. |
| --- | --- |

1.8.

‘level crossing accidents’ means accidents at level crossings involving at least one railway vehicle and one or more crossing vehicles, other crossing users such as pedestrians or other objects temporarily present on or near the track if lost by a crossing vehicle/user.

| 1.9. | ‘accidents to persons involving

  caused by
  rolling stock in motion’ means accidents to one or more persons who are either hit by a railway vehicle or by an object attached to, or that has become detached from, the vehicle. Persons who fall from railway vehicles are included, as well as persons who fall or are hit by loose objects when travelling on board vehicles. [Am. 102] |
| --- | --- |

1.9.

‘accidents to persons involving

  caused by
  rolling stock in motion’ means accidents to one or more persons who are either hit by a railway vehicle or by an object attached to, or that has become detached from, the vehicle. Persons who fall from railway vehicles are included, as well as persons who fall or are hit by loose objects when travelling on board vehicles. [Am. 102]

| 1.10. | ‘fires in rolling stock’ means fires and explosions that occur in railway vehicles (including their load) when they are running between the departure station and the destination, including when stopped at the departure station, the destination or intermediate stops, as well as during re-marshalling operations. |
| --- | --- |

1.10.

‘fires in rolling stock’ means fires and explosions that occur in railway vehicles (including their load) when they are running between the departure station and the destination, including when stopped at the departure station, the destination or intermediate stops, as well as during re-marshalling operations.

| 1.11. | ‘other types of accident’ means all accidents other than those already mentioned (train collisions, train derailments, at level crossing, to persons caused by rolling stock in motion and fires in rolling stock). |
| --- | --- |

1.11.

‘other types of accident’ means all accidents other than those already mentioned (train collisions, train derailments, at level crossing, to persons caused by rolling stock in motion and fires in rolling stock).

| 1.12. | ‘passenger’ means any person, excluding members of the train crew, who makes a trip by rail. For accident statistics, passengers trying to embark/disembark onto/from a moving train are included. |
| --- | --- |

1.12.

‘passenger’ means any person, excluding members of the train crew, who makes a trip by rail. For accident statistics, passengers trying to embark/disembark onto/from a moving train are included.

| 1.13. | ‘employee (staff of contractors and self-employed contractors are included)’ means any person whose employment is in connection with a railway and is at work at the time of the accident. It includes the crew of the train and persons handling rolling stock and infrastructure installations. |
| --- | --- |

1.13.

‘employee (staff of contractors and self-employed contractors are included)’ means any person whose employment is in connection with a railway and is at work at the time of the accident. It includes the crew of the train and persons handling rolling stock and infrastructure installations.

| 1.14. | ‘level crossing user’ means any person using a level crossing to cross the railway line by any mean of transport or by foot. |
| --- | --- |

1.14.

‘level crossing user’ means any person using a level crossing to cross the railway line by any mean of transport or by foot.

| 1.15. | ‘trespasser’ means any person present on railway premises where such presence is forbidden, with the exception of level crossing users. |
| --- | --- |

1.15.

‘trespasser’ means any person present on railway premises where such presence is forbidden, with the exception of level crossing users.

| 1.16. | ‘others (third parties)’ means all persons not defined as ‘passengers’, ‘employees including the staff of contractors’, ‘level crossing user’ or ‘trespassers’ . |
| --- | --- |

1.16.

‘others (third parties)’ means all persons not defined as ‘passengers’, ‘employees including the staff of contractors’, ‘level crossing user’ or ‘trespassers’ .

| 1.17. | ‘death (killed person)’ means any person killed immediately or dying within 30 days as a result of an accident, excluding suicides. |
| --- | --- |

1.17.

‘death (killed person)’ means any person killed immediately or dying within 30 days as a result of an accident, excluding suicides.

| 1.18. | ‘injured (seriously injured person)’ means any person injured who was hospitalised for more than 24 hours as a result of an accident, excluding attempted suicides. |
| --- | --- |

1.18.

‘injured (seriously injured person)’ means any person injured who was hospitalised for more than 24 hours as a result of an accident, excluding attempted suicides.

| 2. | Indicators relating to dangerous goods






  2.1. | ‘accident involving the transport of dangerous goods’ means any accident or incident that is subject to reporting in accordance with RID (1)/ADR section 1.8.5. |
| --- | --- | --- |

2.

Indicators relating to dangerous goods

2.1.

‘accident involving the transport of dangerous goods’ means any accident or incident that is subject to reporting in accordance with RID (1)/ADR section 1.8.5.

| 2.2. | ‘dangerous goods’ means those substances and articles the carriage of which is prohibited by RID, or authorised only under the conditions prescribed therein. |
| --- | --- |

2.2.

‘dangerous goods’ means those substances and articles the carriage of which is prohibited by RID, or authorised only under the conditions prescribed therein.

| 3. | Indicators relating to suicides






  3.1. | ‘suicide’ means an act to deliberately injure oneself resulting in death, as recorded and classified by the competent national authority. |
| --- | --- | --- |

3.

Indicators relating to suicides

3.1.

‘suicide’ means an act to deliberately injure oneself resulting in death, as recorded and classified by the competent national authority.

| 4. | Indicators relating to precursors of accidents






  4.1. | ‘broken rail’ means any rail which is separated in two or more pieces, or any rail from which a piece of metal becomes detached, causing a gap of more than 50 mm in length and more than 10 mm in depth on the running surface. |
| --- | --- | --- |

4.

Indicators relating to precursors of accidents

4.1.

‘broken rail’ means any rail which is separated in two or more pieces, or any rail from which a piece of metal becomes detached, causing a gap of more than 50 mm in length and more than 10 mm in depth on the running surface.

| 4.2. | ‘track buckle and track misalignment’ means faults related to the continuum and the geometry of track, requiring track obstruction or immediate reduction of permitted speed . |
| --- | --- |

4.2.

‘track buckle and track misalignment’ means faults related to the continuum and the geometry of track, requiring track obstruction or immediate reduction of permitted speed .

| 4.3. | ‘wrong side signalling failure’ means any technical failure of a signalling system (either to infrastructure or to rolling stock), resulting in signalling information less restrictive than that demanded. |
| --- | --- |

4.3.

‘wrong side signalling failure’ means any technical failure of a signalling system (either to infrastructure or to rolling stock), resulting in signalling information less restrictive than that demanded.

| 4.4. | ‘Signal Passed at Danger (SPAD)’ means any occasion when any part of a train proceeds beyond its authorised movement.
  Unauthorised movement means to pass:
  a trackside colour light signal or semaphore at danger, order to STOP, where an Automatic Train Control System (ATCS) or ATP system is not operational,
  the end of a safety related movement authority provided in an ATCS or ATP system,
  a point communicated by verbal or written authorisation laid down in regulations,
  stop boards (buffer stops are not included) or hand signals.
  Cases in which vehicles without any traction unit attached or a train that is unattended run away past a signal at danger are not included. Cases in which, for any reason, the signal is not turned to danger in time to allow the driver to stop the train before the signal are not included.
  National safety authorities may report separately on the four indexes and must report at least an aggregate indicator containing data on all four items. |
| --- | --- |

4.4.

‘Signal Passed at Danger (SPAD)’ means any occasion when any part of a train proceeds beyond its authorised movement.

Unauthorised movement means to pass:

a trackside colour light signal or semaphore at danger, order to STOP, where an Automatic Train Control System (ATCS) or ATP system is not operational,

the end of a safety related movement authority provided in an ATCS or ATP system,

a point communicated by verbal or written authorisation laid down in regulations,

stop boards (buffer stops are not included) or hand signals.

Cases in which vehicles without any traction unit attached or a train that is unattended run away past a signal at danger are not included. Cases in which, for any reason, the signal is not turned to danger in time to allow the driver to stop the train before the signal are not included.

National safety authorities may report separately on the four indexes and must report at least an aggregate indicator containing data on all four items.

| 4.5. | ‘broken wheel’ means a break affecting the essential parts of the wheel creating a risk of accident (derailment or collision). |
| --- | --- |

4.5.

‘broken wheel’ means a break affecting the essential parts of the wheel creating a risk of accident (derailment or collision).

| 4.6. | ‘broken axle’ means a break affecting the essential parts of the axle creating a risk of accident (derailment or collision). |
| --- | --- |

4.6.

‘broken axle’ means a break affecting the essential parts of the axle creating a risk of accident (derailment or collision).

| 5. | Common methodologies to calculate the economic impact of accidents
  The Agency shall develop a methodology for calculation of the unit costs starting from the data collected before the entry into force of this Directive |
| --- | --- |

5.

Common methodologies to calculate the economic impact of accidents

The Agency shall develop a methodology for calculation of the unit costs starting from the data collected before the entry into force of this Directive

| 6. | Indicators relating to technical safety of infrastructure and its implementation






  6.1. | ‘Automatic Train Protection (ATP)’ means a system that enforces obedience to signals and speed restrictions by speed supervision, including automatic stop at signals. |
| --- | --- | --- |

6.

Indicators relating to technical safety of infrastructure and its implementation

6.1.

‘Automatic Train Protection (ATP)’ means a system that enforces obedience to signals and speed restrictions by speed supervision, including automatic stop at signals.

| 6.2. | ‘level crossing’ means any level intersection between the railway and a passage, as recognised by the infrastructure manager and open to public or private users. Passages between platforms within stations are excluded, as well as passages over tracks for the sole use of employees. |
| --- | --- |

6.2.

‘level crossing’ means any level intersection between the railway and a passage, as recognised by the infrastructure manager and open to public or private users. Passages between platforms within stations are excluded, as well as passages over tracks for the sole use of employees.

| 6.3. | ‘passage’ means any public or private road, street or highway, including footpaths and bicycle paths, or other route provided for the passage of people, animals, vehicles or machinery. |
| --- | --- |

6.3.

‘passage’ means any public or private road, street or highway, including footpaths and bicycle paths, or other route provided for the passage of people, animals, vehicles or machinery.

| 6.4. | ‘active level crossing’ means a level crossing where the crossing users are protected from or warned of the approaching train by the activation of devices when it is unsafe for the user to traverse the crossing.
  Protection by the use of physical devices:
  half or full barriers,
  gates.
  Warning by the use of fixed equipment at level crossings:
  visible devices: lights,
  audible devices: bells, horns, klaxons, etc.,
  physical devices, e.g. vibration due to road bumps.
  Active level crossings are classified as:






  1. | ‘Level crossing with user-side automatic protection and/or warning’ means a level crossing where the protection and/or warning are activated by the approaching train or where there is interlocked rail-side protection .
  These level crossings are classified as:






  (i) | automatic user-side warning, |
| --- | --- | --- | --- |

6.4.

‘active level crossing’ means a level crossing where the crossing users are protected from or warned of the approaching train by the activation of devices when it is unsafe for the user to traverse the crossing.

Protection by the use of physical devices:

half or full barriers,

gates.

Warning by the use of fixed equipment at level crossings:

visible devices: lights,

audible devices: bells, horns, klaxons, etc.,

physical devices, e.g. vibration due to road bumps.

Active level crossings are classified as:

1.

‘Level crossing with user-side automatic protection and/or warning’ means a level crossing where the protection and/or warning are activated by the approaching train or where there is interlocked rail-side protection .

These level crossings are classified as:

(i)

automatic user-side warning,

| (ii) | automatic user-side protection, |
| --- | --- |

(ii)

automatic user-side protection,

| (iii) | automatic user-side protection and warning, |
| --- | --- |

(iii)

automatic user-side protection and warning,

| (iv) | automatic user-side protection and warning, and rail-side protection.
  ‘Interlocked Rail-side protection’ means a signal or other train protection system that only permits a train to proceed if the level crossing is user-side protected and free from incursion; the latter by means of surveillance and/or obstacle detection. |
| --- | --- |

(iv)

automatic user-side protection and warning, and rail-side protection.

‘Interlocked Rail-side protection’ means a signal or other train protection system that only permits a train to proceed if the level crossing is user-side protected and free from incursion; the latter by means of surveillance and/or obstacle detection.

| 2. | ‘Level crossing with user-side manual protection and/or warning’ means a level crossing where protection and/or warning is manually activated by a railway employee and there is not an interlocked rail-side protection .
  These level crossings are classified as:






  (v) | manual user-side warning, |
| --- | --- | --- |

2.

‘Level crossing with user-side manual protection and/or warning’ means a level crossing where protection and/or warning is manually activated by a railway employee and there is not an interlocked rail-side protection .

These level crossings are classified as:

(v)

manual user-side warning,

| (vi) | manual user-side protection, |
| --- | --- |

(vi)

manual user-side protection,

| (vii) | manual user-side protection and warning. |
| --- | --- |

(vii)

manual user-side protection and warning.

| 6.5. | ‘Passive level crossing’ means a level crossing without any form of warning system and/or protection activated when it is unsafe for the user to traverse the crossing. |
| --- | --- |

6.5.

‘Passive level crossing’ means a level crossing without any form of warning system and/or protection activated when it is unsafe for the user to traverse the crossing.

| 7. | Indicators relating to the management of safety






  7.1. | ‘audit’ means a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. |
| --- | --- | --- |

7.

Indicators relating to the management of safety

7.1.

‘audit’ means a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.

| 8. | Definitions of the scaling bases






  8.1. | ‘train-km’ means the unit of measure representing the movement of a train over one kilometre. The distance used is the distance actually run, if available, otherwise the standard network distance between the origin and destination is to be used. Only the distance on the national territory of the reporting country is to be taken into account. |
| --- | --- | --- |

8.

Definitions of the scaling bases

8.1.

‘train-km’ means the unit of measure representing the movement of a train over one kilometre. The distance used is the distance actually run, if available, otherwise the standard network distance between the origin and destination is to be used. Only the distance on the national territory of the reporting country is to be taken into account.

| 8.2. | ‘passenger-km’ means the unit of measure representing the transport of one passenger by rail over a distance of one kilometre. Only the distance on the national territory of the reporting country is to be taken into account. |
| --- | --- |

8.2.

‘passenger-km’ means the unit of measure representing the transport of one passenger by rail over a distance of one kilometre. Only the distance on the national territory of the reporting country is to be taken into account.

| 8.3. | ‘line km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. For multiple-track railway lines, only the distance between origin and destination is to be counted. |
| --- | --- |

8.3.

‘line km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. For multiple-track railway lines, only the distance between origin and destination is to be counted.

| 8.4. | ‘track km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. Each track of a multiple-track railway line is to be counted. |
| --- | --- |

8.4.

‘track km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. Each track of a multiple-track railway line is to be counted.

---

(1)  RID, Regulations concerning the International Carriage of Dangerous Goods by Rail, as adopted under Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).

ANNEX II

PART A

Repealed Directive with list of the successive amendments thereto

(referred to in Article 32)

| Directive 2004/49/EC | (OJ L 164, 30.4.2004, p. 44) |
| --- | --- |
| Directive 2008/57/EC | (OJ L 191, 18.7.2008, p. 1) |
| Directive 2008/110/EC | (OJ L 345, 23.12.2008, p. 62) |
| Commission Directive 2009/149/EC | (OJ L 313, 28.11.2009, p. 65) |
| Corrigendum, 2004/49/EC | (OJ L 220, 21.6.2004, p. 16) |

Directive 2004/49/EC

(OJ L 164, 30.4.2004, p. 44)

Directive 2008/57/EC

(OJ L 191, 18.7.2008, p. 1)

Directive 2008/110/EC

(OJ L 345, 23.12.2008, p. 62)

Commission Directive 2009/149/EC

(OJ L 313, 28.11.2009, p. 65)

Corrigendum, 2004/49/EC

(OJ L 220, 21.6.2004, p. 16)

PART B

Time limits for transposition into national law

(referred to in Article 32)

| Directive | Deadline for transposition |
| --- | --- |
| 2004/49/EC | 30 April 2006 |
| 2008/57/EC | 19 July 2010 |
| 2008/110/EC | 24 December 2010 |
| 2009/149/EC | 18 June 2010 |

Directive

Deadline for transposition

2004/49/EC

30 April 2006

2008/57/EC

19 July 2010

2008/110/EC

24 December 2010

2009/149/EC

18 June 2010

ANNEX III

CORRELATION TABLE

| Directive 2004/49/EC | This Directive |
| --- | --- |
| Article 1 | Article 1 |
| Article 2 | Article 2 |
| Article 3 | Article 3 |
| Article 4 | Article 4 |
| Article 5 | Article 5 |
| Article 6 | Article 6 |
| Article 7 | Article 7 |
| Article 8 | Article 8 |
| Article 9 | Article 9 |
| Article 10 | Article 10 |
| Article 11 | Article 12 |
| Article 12 | Article 11 |
| Article 13 | Article 13 |
| Article 14a (1) to (7) | Article 14 |
| Article 14a (8) | Article 15 |
| Article 15 | -- |
| Article 16 | Article 16 |
| Article 17 | Article 17 |
| Article 18 | Article 18 |
| Article 19 | Article 19 |
| Article 20 | Article 20 |
| Article 21 | Article 21 |
| Article 22 | Article 22 |
| Article 23 | Article 23 |
| Article 24 | Article 24 |
| Article 25 | Article 25 |
| Article 26 | -- |
| -- | Article 26 |
| Article 27 | Article 27 |
| Article 28 | -- |
| Article 29 | -- |
| Article 30 | -- |
| Article 31 | Article 28 |
| Article 32 | Article 29 |
| -- | Article 30 |
| -- | Article 31 |
| Article 33 | Article 32 |
| -- | Article 33 |
| Article 34 | Article 34 |
| Article 35 | Article 35 |
| Annex I | Annex I |
| Annex II | -- |
| Annex III | -- |
| Annex IV | -- |
| Annex V | -- |
| -- | Annex II |

Directive 2004/49/EC

This Directive

Article 1

Article 1

Article 2

Article 2

Article 3

Article 3

Article 4

Article 4

Article 5

Article 5

Article 6

Article 6

Article 7

Article 7

Article 8

Article 8

Article 9

Article 9

Article 10

Article 10

Article 11

Article 12

Article 12

Article 11

Article 13

Article 13

Article 14a (1) to (7)

Article 14

Article 14a (8)

Article 15

Article 15

--

Article 16

Article 16

Article 17

Article 17

Article 18

Article 18

Article 19

Article 19

Article 20

Article 20

Article 21

Article 21

Article 22

Article 22

Article 23

Article 23

Article 24

Article 24

Article 25

Article 25

Article 26

--

--

Article 26

Article 27

Article 27

Article 28

--

Article 29

--

Article 30

--

Article 31

Article 28

Article 32

Article 29

--

Article 30

--

Article 31

Article 33

Article 32

--

Article 33

Article 34

Article 34

Article 35

Article 35

Annex I

Annex I

Annex II

--

Annex III

--

Annex IV

--

Annex V

--

--

Annex II

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/524 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/524

---

P7_TA(2014)0151

European Union Agency for Railways ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (COM(2013)0027 — C7-0029/2013 — 2013/0014(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/56)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0027), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0027),

| — | having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0029/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 91(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0029/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 July 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 8 October 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 8 October 2013 (2),

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Lithuanian Parliament, the Romanian Senate and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Lithuanian Parliament, the Romanian Senate and the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Budgets and the Committee on Budgetary Control (A7-0016/2014), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on Budgets and the Committee on Budgetary Control (A7-0016/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Requests that the Commission present a financial statement which fully takes into account the result of the legislative agreement between the European Parliament and the Council on all pieces of legislation within the Fourth Railway Package to meet the budgetary and staff requirements of ERA and possibly of the Commission services; |
| --- | --- |

2.

Requests that the Commission present a financial statement which fully takes into account the result of the legislative agreement between the European Parliament and the Council on all pieces of legislation within the Fourth Railway Package to meet the budgetary and staff requirements of ERA and possibly of the Commission services;

| 3. | Emphasises that any decision of the legislative authority on the draft regulation shall be without prejudice to the decisions of the budgetary authority in the context of the annual budgetary procedure; |
| --- | --- |

3.

Emphasises that any decision of the legislative authority on the draft regulation shall be without prejudice to the decisions of the budgetary authority in the context of the annual budgetary procedure;

| 4. | 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; |
| --- | --- |

4.

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;

| 5. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

5.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

---

P7_TC1-COD(2013)0014

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 91(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | The progressive establishment of a European railway area without frontiers requires Union action in the field of the technical regulations applicable to railways with regard to the technical aspects (interoperability) and the safety aspects, the two being inextricably linked and both requiring higher level of harmonisation at the Union level. Relevant railway legislation, in particular three railway packages, was adopted in the last two decades, with Directive 2004/49/EC of the European Parliament and of the Council (4) and Directive 2008/57/EC of the European Parliament and of the Council (5) being the most relevant. |
| --- | --- |

(1)

The progressive establishment of a European railway area without frontiers requires Union action in the field of the technical regulations applicable to railways with regard to the technical aspects (interoperability) and the safety aspects, the two being inextricably linked and both requiring higher level of harmonisation at the Union level. Relevant railway legislation, in particular three railway packages, was adopted in the last two decades, with Directive 2004/49/EC of the European Parliament and of the Council (4) and Directive 2008/57/EC of the European Parliament and of the Council (5) being the most relevant.

| (2) | Simultaneous pursuit of the goals of railway safety and interoperability requires substantial technical work which must be led by a specialised body. That is why it was necessary, as part of the Second Railway Package in 2004, to create within the existing institutional framework, and with respect for the balance of power in the Union, a European agency responsible for railway safety and interoperability (hereinafter referred to as the Agency). |
| --- | --- |

(2)

Simultaneous pursuit of the goals of railway safety and interoperability requires substantial technical work which must be led by a specialised body. That is why it was necessary, as part of the Second Railway Package in 2004, to create within the existing institutional framework, and with respect for the balance of power in the Union, a European agency responsible for railway safety and interoperability (hereinafter referred to as the Agency).

| (3) | The European Railway Agency was originally established by Regulation (EC) No 881/2004 of the European Parliament and of the Council, in order to promote the establishment of a European railway area without borders and to help revitalise the railway sector while reinforcing its essential advantages in terms of safety. Regulation (EC) No 881/2004 has to be replaced by a new act due to
  the
  substantial amount of changes
  which are required in relation
  to the tasks of the Agency and its internal organisation. [Am. 1] |
| --- | --- |

(3)

The European Railway Agency was originally established by Regulation (EC) No 881/2004 of the European Parliament and of the Council, in order to promote the establishment of a European railway area without borders and to help revitalise the railway sector while reinforcing its essential advantages in terms of safety. Regulation (EC) No 881/2004 has to be replaced by a new act due to
  the
  substantial amount of changes
  which are required in relation
  to the tasks of the Agency and its internal organisation. [Am. 1]

| (4) | The Fourth Railway Package proposes important changes to improve the functioning of the Single

  single
  European railway area through amendments by way of recast to Directive 2004/49/EC and Directive 2008/57/EC, both directly linked to the tasks of the Agency. Those Directives, together with this Regulation, provide in particular for performing tasks related to issuing vehicle authorisations and safety certificates
  especially in cross-border traffic
  at the Union level. It implies a greater role of the Agency. [Am. 2] |
| --- | --- |

(4)

The Fourth Railway Package proposes important changes to improve the functioning of the Single

  single
  European railway area through amendments by way of recast to Directive 2004/49/EC and Directive 2008/57/EC, both directly linked to the tasks of the Agency. Those Directives, together with this Regulation, provide in particular for performing tasks related to issuing vehicle authorisations and safety certificates
  especially in cross-border traffic
  at the Union level. It implies a greater role of the Agency. [Am. 2]

| (5) | The Agency should contribute to the creation and effective functioning of a Single European railway area without frontiers and guaranteeing a high level of safety while improving the competitive position of the railway sector. That should be attained by contributing, on technical matters, to the implementation of European Union legislation by enhancing the level of interoperability of railway systems and to developing a common approach to safety on the European railway system. The Agency should also perform the role of European authority responsible for issuing
  , at Union level,
  authorisations for placing
  railway vehicles
  on the market for railway vehicles and for types of vehicles, safety certificates for railway undertakings and authorisations for placing in service of trackside control-command and signalling

  European Rail Traffic Management System
  (
  ERTMS)
  sub-systems
  located or operated throughout the Union
  . Moreover, it should monitor national railway rules and the performance of national authorities acting in the railway interoperability and safety fields. [Am. 3] |
| --- | --- |

(5)

The Agency should contribute to the creation and effective functioning of a Single European railway area without frontiers and guaranteeing a high level of safety while improving the competitive position of the railway sector. That should be attained by contributing, on technical matters, to the implementation of European Union legislation by enhancing the level of interoperability of railway systems and to developing a common approach to safety on the European railway system. The Agency should also perform the role of European authority responsible for issuing
  , at Union level,
  authorisations for placing
  railway vehicles
  on the market for railway vehicles and for types of vehicles, safety certificates for railway undertakings and authorisations for placing in service of trackside control-command and signalling

  European Rail Traffic Management System
  (
  ERTMS)
  sub-systems
  located or operated throughout the Union
  . Moreover, it should monitor national railway rules and the performance of national authorities acting in the railway interoperability and safety fields. [Am. 3]

| (6) | In pursuing its objectives, the Agency should take full account of the process of enlargement of the Union and of the specific constraints relating to rail links with third countries. The Agency

  , and the specific situation of rail networks with a different track gauge, particularly where the Member States are well integrated into those networks together with third countries but isolated from the main Union rail network. It
  should have sole responsibility for the functions and powers assigned to it

  also seek to facilitate the principle of reciprocity between access for third countries to the Union market and access for Union undertakings to the markets of third countries
  . [Am. 4] |
| --- | --- |

(6)

In pursuing its objectives, the Agency should take full account of the process of enlargement of the Union and of the specific constraints relating to rail links with third countries. The Agency

  , and the specific situation of rail networks with a different track gauge, particularly where the Member States are well integrated into those networks together with third countries but isolated from the main Union rail network. It
  should have sole responsibility for the functions and powers assigned to it

  also seek to facilitate the principle of reciprocity between access for third countries to the Union market and access for Union undertakings to the markets of third countries
  . [Am. 4]

| (6a) | The Agency should have sole responsibility for the functions and powers assigned to it. National safety authorities should have sole responsibility for the decisions that they take. [Am. 5] |
| --- | --- |

(6a)

The Agency should have sole responsibility for the functions and powers assigned to it. National safety authorities should have sole responsibility for the decisions that they take. [Am. 5]

| (7) | The Agency, while performing its tasks, and particularly in relation to drafting recommendations, should take upmost account of external railway expertise. This expertise should predominantly consist of professionals

  experts
  from the railway sector and the

  national safety authorities and other
  relevant national authorities
  as well as professionals from the railway sector
  ,
  including representative bodies and independent notified conformity assessment bodies
  . They should form competent and representative working parties of the Agency.
  The Agency should bear in mind the need to maintain a balance between risks and benefits, in particular as regards the management of conflicts of interest, on the one hand, and the objective of obtaining the best possible expertise, on the other. [Am. 6] |
| --- | --- |

(7)

The Agency, while performing its tasks, and particularly in relation to drafting recommendations, should take upmost account of external railway expertise. This expertise should predominantly consist of professionals

  experts
  from the railway sector and the

  national safety authorities and other
  relevant national authorities
  as well as professionals from the railway sector
  ,
  including representative bodies and independent notified conformity assessment bodies
  . They should form competent and representative working parties of the Agency.
  The Agency should bear in mind the need to maintain a balance between risks and benefits, in particular as regards the management of conflicts of interest, on the one hand, and the objective of obtaining the best possible expertise, on the other. [Am. 6]

| (8) | In order to provide insight into the economic effects on the railway sector and its impact on society, to allow others to make informed decisions, and to manage the work priorities and resource allocation more effectively within the Agency, the Agency should further develop its engagement in the impact assessment activity. |
| --- | --- |

(8)

In order to provide insight into the economic effects on the railway sector and its impact on society, to allow others to make informed decisions, and to manage the work priorities and resource allocation more effectively within the Agency, the Agency should further develop its engagement in the impact assessment activity.

| (9) | The Agency should provide independent and objective technical support, predominantly to the Commission. Directive .... [Railway Interoperability Directive] provides the basis for drafting and revising Technical Specifications for Interoperability (TSIs) while Directive ... [Railway Safety Directive] provides the basis for drafting and revising Common Safety Methods (CSMs) and Common Safety Targets (CSTs). The continuity of the work and the development of the TSIs, CSMs and CSTs over time require a permanent technical framework and a dedicated staff of a specialised body. To this end, the Agency should be responsible for providing the Commission with recommendations in relation to drafting and revising the TSIs, CSMs and CSTs. The national safety organisations and regulatory bodies should be equally able to request an independent technical opinion from the Agency. |
| --- | --- |

(9)

The Agency should provide independent and objective technical support, predominantly to the Commission. Directive .... [Railway Interoperability Directive] provides the basis for drafting and revising Technical Specifications for Interoperability (TSIs) while Directive ... [Railway Safety Directive] provides the basis for drafting and revising Common Safety Methods (CSMs) and Common Safety Targets (CSTs). The continuity of the work and the development of the TSIs, CSMs and CSTs over time require a permanent technical framework and a dedicated staff of a specialised body. To this end, the Agency should be responsible for providing the Commission with recommendations in relation to drafting and revising the TSIs, CSMs and CSTs. The national safety organisations and regulatory bodies should be equally able to request an independent technical opinion from the Agency.

| (10) | Railway undertakings have been faced with various problems when applying for safety certificates to competent national authorities, ranging from protracting procedures and excessive costs to unfair treatment, especially of new entrants. The certificates issued in one Member State have not been unconditionally recognised in other Member States, with a detriment to the Single European rail area. In order to make the procedures for issuing safety certificates to railway undertakings more efficient and impartial, it is essential to migrate towards a single safety certificate valid throughout the Union
  within the specified areas of operation
  and issued by the Agency. The revised Directive ... [Railway Safety Directive] provides a basis for this. [Am. 7] |
| --- | --- |

(10)

Railway undertakings have been faced with various problems when applying for safety certificates to competent national authorities, ranging from protracting procedures and excessive costs to unfair treatment, especially of new entrants. The certificates issued in one Member State have not been unconditionally recognised in other Member States, with a detriment to the Single European rail area. In order to make the procedures for issuing safety certificates to railway undertakings more efficient and impartial, it is essential to migrate towards a single safety certificate valid throughout the Union
  within the specified areas of operation
  and issued by the Agency. The revised Directive ... [Railway Safety Directive] provides a basis for this. [Am. 7]

| (11) | Currently Directive 2008/57/EC provides, in the case of rail vehicles, an authorisation of placing in service in each Member State, except in specific cases. The Task Force on vehicle authorisation set up by the Commission in 2011 discussed several cases where manufacturers and railway undertakings have suffered from excessive duration and cost of the authorisation process and proposed a number of improvements. As some problems are due to the complexity of the current vehicle authorisation process, it should be simplified. Each rail vehicle should only receive one authorisation and this authorisation for placing on the market for vehicles and for types of vehicles should be issued by the Agency. This would bring tangible benefits for the sector by reducing the costs and time of the procedure, and would diminish the risk of potential discrimination, especially of new companies wishing to enter a railway market. The revised Directive ... [Railway Interoperability Directive] provides a basis for this. |
| --- | --- |

(11)

Currently Directive 2008/57/EC provides, in the case of rail vehicles, an authorisation of placing in service in each Member State, except in specific cases. The Task Force on vehicle authorisation set up by the Commission in 2011 discussed several cases where manufacturers and railway undertakings have suffered from excessive duration and cost of the authorisation process and proposed a number of improvements. As some problems are due to the complexity of the current vehicle authorisation process, it should be simplified. Each rail vehicle should only receive one authorisation and this authorisation for placing on the market for vehicles and for types of vehicles should be issued by the Agency. This would bring tangible benefits for the sector by reducing the costs and time of the procedure, and would diminish the risk of potential discrimination, especially of new companies wishing to enter a railway market. The revised Directive ... [Railway Interoperability Directive] provides a basis for this.

| (11a) | In an open European railway market with increasing cross-border operations, the respect of requirements on driving and rest time is essential for railway safety and for fair competition and should be controlled and enforced. National safety authorities should monitor driving and rest times, including for cross-border operations. [Am. 8] |
| --- | --- |

(11a)

In an open European railway market with increasing cross-border operations, the respect of requirements on driving and rest time is essential for railway safety and for fair competition and should be controlled and enforced. National safety authorities should monitor driving and rest times, including for cross-border operations. [Am. 8]

| (11b) | On-board personnel perform operational safety tasks within the railway system and are responsible for passengers' comfort and safety on-board trains. A certification similar to the certification of locomotive drivers should be set up by the Agency in order to guarantee a high level of qualifications and competences, to recognise the importance of this professional group for safe rail services and also in order to facilitate the mobility of workers. [Am. 9] |
| --- | --- |

(11b)

On-board personnel perform operational safety tasks within the railway system and are responsible for passengers' comfort and safety on-board trains. A certification similar to the certification of locomotive drivers should be set up by the Agency in order to guarantee a high level of qualifications and competences, to recognise the importance of this professional group for safe rail services and also in order to facilitate the mobility of workers. [Am. 9]

| (12) | In order to further pursue the development of Single European rail area, in particular with relation to providing appropriate information to freight customers and passengers, and taking into account current involvement of the Agency, it is necessary to give it a strengthened role in the field of telematics applications
  within a flexible framework ensuring interoperability as well as enabling innovative commercial strategies to coexist
  . This would ensure their consistent development and swift deployment. [Am. 10] |
| --- | --- |

(12)

In order to further pursue the development of Single European rail area, in particular with relation to providing appropriate information to freight customers and passengers, and taking into account current involvement of the Agency, it is necessary to give it a strengthened role in the field of telematics applications
  within a flexible framework ensuring interoperability as well as enabling innovative commercial strategies to coexist
  . This would ensure their consistent development and swift deployment. [Am. 10]

| (13) | Given the importance of the European Rail Traffic Management System (ERTMS) for the smooth development of the Single European railway area and its safety, and taking into account its fragmented

  the failure of the
  development
  and deployment
  to date, it is necessary to strengthen its s overall coordination at the Union level.
  The objective of achieving interoperability and harmonisation of train control and signalling systems across the Union is currently seriously undermined by a multitude of diverging national versions of ERTMS. [Am. 11]

  Therefore the Agency, as the most competent Union body, should be given a more prominent role in this field to ensure consistent development of the ERTMS, to contribute to ensuring that ERTMS equipment complies with the specifications in force and to ensure that ERTMS-related European research programmes are coordinated with the development of ERTMS technical specifications. Moreover, in order to make the procedures for issuing authorisations for placing in service of trackside control-command and signalling sub-systems more efficient and impartial, it is essential to migrate towards a single authorisation valid in the Union and issued by the Agency. The revised Directive ... [Railway Interoperability Directive] provides a basis for this. |
| --- | --- |

(13)

Given the importance of the European Rail Traffic Management System (ERTMS) for the smooth development of the Single European railway area and its safety, and taking into account its fragmented

  the failure of the
  development
  and deployment
  to date, it is necessary to strengthen its s overall coordination at the Union level.
  The objective of achieving interoperability and harmonisation of train control and signalling systems across the Union is currently seriously undermined by a multitude of diverging national versions of ERTMS. [Am. 11]

Therefore the Agency, as the most competent Union body, should be given a more prominent role in this field to ensure consistent development of the ERTMS, to contribute to ensuring that ERTMS equipment complies with the specifications in force and to ensure that ERTMS-related European research programmes are coordinated with the development of ERTMS technical specifications. Moreover, in order to make the procedures for issuing authorisations for placing in service of trackside control-command and signalling sub-systems more efficient and impartial, it is essential to migrate towards a single authorisation valid in the Union and issued by the Agency. The revised Directive ... [Railway Interoperability Directive] provides a basis for this.

| (13a) | During recent years, several accidents in the rail freight sector illustrated the need to improve the rules at Union level for the maintenance of freight wagons. The Agency should work on harmonised compulsory requirements for regular maintenance intervals. [Am. 12] |
| --- | --- |

(13a)

During recent years, several accidents in the rail freight sector illustrated the need to improve the rules at Union level for the maintenance of freight wagons. The Agency should work on harmonised compulsory requirements for regular maintenance intervals. [Am. 12]

| (14) | Competent national authorities have been normally charging for issuing vehicle authorisations and safety certificates. With the transfer competence to the Union level, the Agency should be entitled to charge the applicants for issuing the certificates and authorisations mentioned in the preceding recitals. The level of those charges should be equal to or lower than the current average

  vary according to the extent of operations and area of use specified
  in the Union

  certificate or authorisation
  and should be determined in a delegated act to be adopted by the Commission.
  Establishment plan posts financed by those charges should not be subject to the staff reductions envisaged for all Union institutions and bodies. [Am. 13] |
| --- | --- |

(14)

Competent national authorities have been normally charging for issuing vehicle authorisations and safety certificates. With the transfer competence to the Union level, the Agency should be entitled to charge the applicants for issuing the certificates and authorisations mentioned in the preceding recitals. The level of those charges should be equal to or lower than the current average

  vary according to the extent of operations and area of use specified
  in the Union

  certificate or authorisation
  and should be determined in a delegated act to be adopted by the Commission.
  Establishment plan posts financed by those charges should not be subject to the staff reductions envisaged for all Union institutions and bodies. [Am. 13]

| (14a) | That delegated act should ensure that the level of charges does not exceed the costs of the certification or authorisation procedures in question. [Am. 14] |
| --- | --- |

(14a)

That delegated act should ensure that the level of charges does not exceed the costs of the certification or authorisation procedures in question. [Am. 14]

| (15) | It is a general objective that the transfer of functions and tasks from the Member States to the Agency should be done efficiently, without any reduction in the current high levels of safety. The Agency should have sufficient resources for its new tasks, and the timing of the allocation of these resources should be based on clearly defined needs. Taking into account the know-how of national authorities, in particular the National Safety Authorities, the Agency should be allowed to make appropriate use of that expertise
  including through contractual agreements
  when granting the relevant authorisations and certificates. To this end, secondment of national experts to the Agency should be
  strongly
  encouraged
  , promoted and facilitated
  . [Am. 15] |
| --- | --- |

(15)

It is a general objective that the transfer of functions and tasks from the Member States to the Agency should be done efficiently, without any reduction in the current high levels of safety. The Agency should have sufficient resources for its new tasks, and the timing of the allocation of these resources should be based on clearly defined needs. Taking into account the know-how of national authorities, in particular the National Safety Authorities, the Agency should be allowed to make appropriate use of that expertise
  including through contractual agreements
  when granting the relevant authorisations and certificates. To this end, secondment of national experts to the Agency should be
  strongly
  encouraged
  , promoted and facilitated
  . [Am. 15]

| (16) | Directive ... [Railway Safety Directive] and Directive ... [Railway Interoperability Directive] provide for examination of national measures from the point of view of safety and interoperability, and compatibility with competition rules. They also limit the possibility for Member States to adopt new national rules. The current system in which a large number of national rules continue to exist leads to possible
  safety risks and
  conflicts with Union rules and creates a risk of insufficient transparency and disguised discrimination of foreign operators, especially the smaller and new ones. In order to migrate towards a system of truly, transparent and impartial railway rules at Union level, gradual reduction of national rules
  , including operational rules,
  needs to be reinforced. An opinion based on independent and neutral expertise is essential at Union level. To this end, the role of the Agency needs to be strengthened. [Am. 16] |
| --- | --- |

(16)

Directive ... [Railway Safety Directive] and Directive ... [Railway Interoperability Directive] provide for examination of national measures from the point of view of safety and interoperability, and compatibility with competition rules. They also limit the possibility for Member States to adopt new national rules. The current system in which a large number of national rules continue to exist leads to possible
  safety risks and
  conflicts with Union rules and creates a risk of insufficient transparency and disguised discrimination of foreign operators, especially the smaller and new ones. In order to migrate towards a system of truly, transparent and impartial railway rules at Union level, gradual reduction of national rules
  , including operational rules,
  needs to be reinforced. An opinion based on independent and neutral expertise is essential at Union level. To this end, the role of the Agency needs to be strengthened. [Am. 16]

| (17) | Performance, organisation and decision-making procedures in the field of railway interoperability and safety vary substantially among the national safety authorities and notified conformity assessment bodies, with a detrimental effect to smooth operation of the Single European rail area. In particular, small and medium companies wishing to enter the railway market in another Member State can be negatively affected. Therefore, a strengthened coordination with a view to greater harmonisation at the Union level is essential. To this end, the Agency should monitor the national safety authorities and notified conformity assessment bodies through audits and inspections.
  Monitoring of the notified conformity assessment bodies should be carried out by the national accreditation bodies in accordance with Article 5(3) of Regulation (EC) No 765/2008 of the European Parliament and of the Council

   (6).
  Equal monitoring of the performance of the Agency is also required. [Am. 17] |
| --- | --- |

(17)

Performance, organisation and decision-making procedures in the field of railway interoperability and safety vary substantially among the national safety authorities and notified conformity assessment bodies, with a detrimental effect to smooth operation of the Single European rail area. In particular, small and medium companies wishing to enter the railway market in another Member State can be negatively affected. Therefore, a strengthened coordination with a view to greater harmonisation at the Union level is essential. To this end, the Agency should monitor the national safety authorities and notified conformity assessment bodies through audits and inspections.
  Monitoring of the notified conformity assessment bodies should be carried out by the national accreditation bodies in accordance with Article 5(3) of Regulation (EC) No 765/2008 of the European Parliament and of the Council

   (6).
  Equal monitoring of the performance of the Agency is also required. [Am. 17]

| (18) | In the field of safety, it is important to ensure the greatest possible transparency and an effective flow of information. An analysis of performance, based on common indicators and linking all parties in the sector, is important and should be carried out. As regards statistics, close collaboration with Eurostat is necessary. |
| --- | --- |

(18)

In the field of safety, it is important to ensure the greatest possible transparency and an effective flow of information. An analysis of performance, based on common indicators and linking all parties in the sector, is important and should be carried out. As regards statistics, close collaboration with Eurostat is necessary.

| (19) | In order to monitor progress with the railway interoperability and safety, the Agency should be responsible for publishing a relevant report every two years. Given its technical expertise and impartiality, the Agency should also assist the Commission with monitoring the implementation of Union railway safety and interoperability legislation. |
| --- | --- |

(19)

In order to monitor progress with the railway interoperability and safety, the Agency should be responsible for publishing a relevant report every two years. Given its technical expertise and impartiality, the Agency should also assist the Commission with monitoring the implementation of Union railway safety and interoperability legislation.

| (20) | The interoperability of the Trans-European network should be enhanced and the

  both ongoing and
  new investment projects chosen for support by the Union should be in line with the objective of interoperability set in Decision No 1692/96/EC of the European Parliament and of the Council (7). The Agency is the right institution to contribute to these objectives. [Am. 18] |
| --- | --- |

(20)

The interoperability of the Trans-European network should be enhanced and the

  both ongoing and
  new investment projects chosen for support by the Union should be in line with the objective of interoperability set in Decision No 1692/96/EC of the European Parliament and of the Council (7). The Agency is the right institution to contribute to these objectives. [Am. 18]

| (21) | Rolling stock maintenance is an important part of the safety system. There has been no genuine European market for the maintenance of rail equipment owing to the lack of a system for certification of maintenance workshops. This situation has been adding to the costs for the sector and results in journeys without loads. A European certification system for maintenance workshops should therefore gradually be developed and updated, with the Agency being the most appropriate body to propose adequate solutions to the Commission. |
| --- | --- |

(21)

Rolling stock maintenance is an important part of the safety system. There has been no genuine European market for the maintenance of rail equipment owing to the lack of a system for certification of maintenance workshops. This situation has been adding to the costs for the sector and results in journeys without loads. A European certification system for maintenance workshops should therefore gradually be developed and updated, with the Agency being the most appropriate body to propose adequate solutions to the Commission.

| (22) | The vocational qualifications required for train drivers are a major factor in both safety and interoperability in the Union. They are also a precondition for the free movement of workers in the railway industry. This question should be tackled with respect to the existing framework for social dialogue. The Agency should provide the technical support necessary in order to take account of this aspect at Union level. |
| --- | --- |

(22)

The vocational qualifications required for train drivers are a major factor in both safety and interoperability in the Union. They are also a precondition for the free movement of workers in the railway industry. This question should be tackled with respect to the existing framework for social dialogue. The Agency should provide the technical support necessary in order to take account of this aspect at Union level.

| (23) | The Agency should organise and facilitate cooperation between the national safety authorities, the national investigating bodies and representative bodies from the railway sector acting on at European level, in order to promote good practices, exchange of relevant information, collection of railway-related data and monitor the overall safety performance of the railway system. |
| --- | --- |

(23)

The Agency should organise and facilitate cooperation between the national safety authorities, the national investigating bodies and representative bodies from the railway sector acting on at European level, in order to promote good practices, exchange of relevant information, collection of railway-related data and monitor the overall safety performance of the railway system.

| (24) | In order to ensure the greatest possible transparency and equal access for all parties to relevant information, the documents envisaged for the railway interoperability and safety processes should be accessible to the public. The same applies to licences, safety certificates and other relevant railway documents. The Agency should provide an efficient
  , user-friendly and easily accessible
  means of exchanging and publishing this information. [Am. 19] |
| --- | --- |

(24)

In order to ensure the greatest possible transparency and equal access for all parties to relevant information, the documents envisaged for the railway interoperability and safety processes should be accessible to the public. The same applies to licences, safety certificates and other relevant railway documents. The Agency should provide an efficient
  , user-friendly and easily accessible
  means of exchanging and publishing this information. [Am. 19]

| (25) | Promotion of innovation and research in the railway field is an important task which the Agency should encourage, given its reputation and position. Any financial assistance provided within the framework of the Agency’s activities in this respect should not lead to any distortion in the relevant market. |
| --- | --- |

(25)

Promotion of innovation and research in the railway field is an important task which the Agency should encourage, given its reputation and position. Any financial assistance provided within the framework of the Agency’s activities in this respect should not lead to any distortion in the relevant market.

| (26) | In order to increase the efficiency of the Union financial support, its quality and compatibility with relevant technical regulations, the Agency, as the only Union body with reputable competence

  should play an active role
  in the railway field, should play an active role in the assessment of rail projects
  with European added value, in close cooperation with national infrastructure managers
  . [Am. 20] |
| --- | --- |

(26)

In order to increase the efficiency of the Union financial support, its quality and compatibility with relevant technical regulations, the Agency, as the only Union body with reputable competence

  should play an active role
  in the railway field, should play an active role in the assessment of rail projects
  with European added value, in close cooperation with national infrastructure managers
  . [Am. 20]

| (27) | Railway interoperability and safety legislation, implementation guides or recommendations of the Agency may sometimes pose interpretation and other problems to the stakeholders. Proper and uniform understanding of those acts is a precondition for effective implementation of the railway acquis and the functioning of the railway market. Therefore, the Agency should actively engage in training and explanatory activities in that regard
  , while giving particular attention to small and medium-sized enterprises
  . [Am. 21] |
| --- | --- |

(27)

Railway interoperability and safety legislation, implementation guides or recommendations of the Agency may sometimes pose interpretation and other problems to the stakeholders. Proper and uniform understanding of those acts is a precondition for effective implementation of the railway acquis and the functioning of the railway market. Therefore, the Agency should actively engage in training and explanatory activities in that regard
  , while giving particular attention to small and medium-sized enterprises
  . [Am. 21]

| (27a) | The Agency should cooperate fully with, and give the maximum possible assistance to, national authorities carrying out civil or criminal investigations when the investigations concern issues for which the Agency has responsibility. [Am. 22] |
| --- | --- |

(27a)

The Agency should cooperate fully with, and give the maximum possible assistance to, national authorities carrying out civil or criminal investigations when the investigations concern issues for which the Agency has responsibility. [Am. 22]

| (28) | In order to perform its tasks properly, the Agency should have legal personality and an autonomous budget funded mainly through a contribution by the Union and through fees and charges paid by applicants.
  The Union contribution should be assessed and revised each time new powers are added which are not subject to fees or charges paid by applicants. The Agency's independence and impartiality should not be compromised by any financial contributions that it receives from Member States, third countries or other entities.
  In order to ensure independence in its daily management and in the opinions, recommendations and decisions which it issues, the Agency’s organisation should be transparent, the Executive Director should have full responsibility. The Agency’s staff should be independent and should represent an appropriate balance of short-term and long-term contracts,
  of seconded national experts and permanent officials,
  in order to maintain its organisational knowledge and business continuity while keeping necessary and on-going exchange of expertise with the railway sector. [Am. 23] |
| --- | --- |

(28)

In order to perform its tasks properly, the Agency should have legal personality and an autonomous budget funded mainly through a contribution by the Union and through fees and charges paid by applicants.
  The Union contribution should be assessed and revised each time new powers are added which are not subject to fees or charges paid by applicants. The Agency's independence and impartiality should not be compromised by any financial contributions that it receives from Member States, third countries or other entities.
  In order to ensure independence in its daily management and in the opinions, recommendations and decisions which it issues, the Agency’s organisation should be transparent, the Executive Director should have full responsibility. The Agency’s staff should be independent and should represent an appropriate balance of short-term and long-term contracts,
  of seconded national experts and permanent officials,
  in order to maintain its organisational knowledge and business continuity while keeping necessary and on-going exchange of expertise with the railway sector. [Am. 23]

| (29) | In order to ensure effectively the accomplishment of the functions of the Agency, the Member States and the Commission should be represented on a Management Board vested with the necessary powers, including to establish the budget and approve the annual and multi-annual work programmes. |
| --- | --- |

(29)

In order to ensure effectively the accomplishment of the functions of the Agency, the Member States and the Commission should be represented on a Management Board vested with the necessary powers, including to establish the budget and approve the annual and multi-annual work programmes.

| (30) | In order to guarantee the transparency of the Management Board’s decisions, representatives of the sectors concerned should attend its meetings, but without the right to vote, that right being reserved for the representatives of public authorities who are accountable to the democratic control authorities. The representatives of the sector should be appointed by the Commission on the basis of their representativeness at Union level of railway undertakings, infrastructure managers, railway industry,
  notified bodies, designated bodies,
  workers unions, passengers and
  , in particular, passengers with reduced mobility, and also
  freight customers. [Am. 24] |
| --- | --- |

(30)

In order to guarantee the transparency of the Management Board’s decisions, representatives of the sectors concerned should attend its meetings, but without the right to vote, that right being reserved for the representatives of public authorities who are accountable to the democratic control authorities. The representatives of the sector should be appointed by the Commission on the basis of their representativeness at Union level of railway undertakings, infrastructure managers, railway industry,
  notified bodies, designated bodies,
  workers unions, passengers and
  , in particular, passengers with reduced mobility, and also
  freight customers. [Am. 24]

| (31) | In order to properly prepare the meetings of the Management Board and to advice it in relation to the decisions to be taken, an advisory Executive Board should be created. |
| --- | --- |

(31)

In order to properly prepare the meetings of the Management Board and to advice it in relation to the decisions to be taken, an advisory Executive Board should be created.

| (32) | It is necessary to ensure that parties affected by decisions made by the Agency enjoy the necessary remedies in an independent and impartial manner. An appropriate appeal mechanism should be set up so that decisions of the Executive Director can be subject to appeal to a specialised Board of Appeal
  that acts in complete independence from the Commission, the Agency, national safety authorities and any actor in the railway sector
  , whose decisions are, in turn, open to action before the Court of Justice. [Am. 25] |
| --- | --- |

(32)

It is necessary to ensure that parties affected by decisions made by the Agency enjoy the necessary remedies in an independent and impartial manner. An appropriate appeal mechanism should be set up so that decisions of the Executive Director can be subject to appeal to a specialised Board of Appeal
  that acts in complete independence from the Commission, the Agency, national safety authorities and any actor in the railway sector
  , whose decisions are, in turn, open to action before the Court of Justice. [Am. 25]

| (32a) | The Agency staff advising a Board of Appeal should not themselves have been previously involved in the decision under appeal. [Am. 26] |
| --- | --- |

(32a)

The Agency staff advising a Board of Appeal should not themselves have been previously involved in the decision under appeal. [Am. 26]

| (33) | A broader strategic perspective in relation to the activities of the Agency would help to plan and manage its resources more effectively and would contribute to higher quality of its outputs. Therefore, a multi-annual work programme should be adopted and updated regularly by the Management Board, after proper consultation of the relevant stakeholders. |
| --- | --- |

(33)

A broader strategic perspective in relation to the activities of the Agency would help to plan and manage its resources more effectively and would contribute to higher quality of its outputs. Therefore, a multi-annual work programme should be adopted and updated regularly by the Management Board, after proper consultation of the relevant stakeholders.

| (34) | The Agency’s work should be transparent. Effective control by the European Parliament should be ensured and, to this end, the European Parliament should have the possibility of hearing the Executive Director of the Agency and being consulted on the multi-annual
  and annual
  work programme

  programmes
  . The Agency should also apply the relevant Union legislation concerning public access to documents. [Am. 27] |
| --- | --- |

(34)

The Agency’s work should be transparent. Effective control by the European Parliament should be ensured and, to this end, the European Parliament should have the possibility of hearing the Executive Director of the Agency and being consulted on the multi-annual
  and annual
  work programme

  programmes
  . The Agency should also apply the relevant Union legislation concerning public access to documents. [Am. 27]

| (35) | Over the past years, as more decentralised agencies have been created, the budgetary authority has looked to improve transparency and control over the management of the Union funding allocated to them, in particular concerning the budgetisation of fees, financial control, power of discharge, pension scheme contributions and the internal budgetary procedure (code of conduct). In a similar way, Regulation (EC) No 1073/1999 of the European Parliament and of the Council (8) should apply without restriction to the Agency, which should accede to the Inter-institutional Agreement of 25 May 1999 between the European Parliament, the Council of the European Union and the Commission of the European Communities concerning internal investigations by the European Anti-Fraud Office (9). [Am. 28] |
| --- | --- |

(35)

Over the past years, as more decentralised agencies have been created, the budgetary authority has looked to improve transparency and control over the management of the Union funding allocated to them, in particular concerning the budgetisation of fees, financial control, power of discharge, pension scheme contributions and the internal budgetary procedure (code of conduct). In a similar way, Regulation (EC) No 1073/1999 of the European Parliament and of the Council (8) should apply without restriction to the Agency, which should accede to the Inter-institutional Agreement of 25 May 1999 between the European Parliament, the Council of the European Union and the Commission of the European Communities concerning internal investigations by the European Anti-Fraud Office (9). [Am. 28]

| (36) | Since the objectives of the action proposed, namely to establish a specialised body to formulate common solutions on matters concerning railway safety and interoperability, cannot be sufficiently achieved by the Member States by reason of the joint nature of the work to be done, and can therefore be better achieved at Union level, the Union 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 Regulation does not go beyond what is necessary in order to achieve those objectives, |
| --- | --- |

(36)

Since the objectives of the action proposed, namely to establish a specialised body to formulate common solutions on matters concerning railway safety and interoperability, cannot be sufficiently achieved by the Member States by reason of the joint nature of the work to be done, and can therefore be better achieved at Union level, the Union 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 Regulation does not go beyond what is necessary in order to achieve those objectives,

| (37) | In order to properly determine the level of fees and charges which the Agency is entitled to levy, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of articles dealing with issuing and renewal of authorisations for placing in service of trackside control-command and signalling

  ERTMS
  subsystems, authorisations for placing on the market for vehicles and for types of vehicles, and safety certificates.
  A differentiated level of fees and charges should be applied according to the areas of use and extent of operations specified in safety certificates and authorisations.
  It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level.
  Fees and charges should be set in a transparent, fair and uniform manner and should not jeopardize the competitiveness of the European industries concerned. [Am. 29]

  The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council. |
| --- | --- |

(37)

In order to properly determine the level of fees and charges which the Agency is entitled to levy, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of articles dealing with issuing and renewal of authorisations for placing in service of trackside control-command and signalling

  ERTMS
  subsystems, authorisations for placing on the market for vehicles and for types of vehicles, and safety certificates.
  A differentiated level of fees and charges should be applied according to the areas of use and extent of operations specified in safety certificates and authorisations.
  It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level.
  Fees and charges should be set in a transparent, fair and uniform manner and should not jeopardize the competitiveness of the European industries concerned. [Am. 29]

The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and Council.

| (37a) | In order to properly encourage the standardisation of railway spare parts, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of standardisation regarding spare parts. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. [Am. 30] |
| --- | --- |

(37a)

In order to properly encourage the standardisation of railway spare parts, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of standardisation regarding spare parts. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. [Am. 30]

| (38) | In order to ensure the implementation of Articles 21 and 22 of this Regulation concerning examination of draft national rules and rules in force, implementing powers should be conferred on the Commission. |
| --- | --- |

(38)

In order to ensure the implementation of Articles 21 and 22 of this Regulation concerning examination of draft national rules and rules in force, implementing powers should be conferred on the Commission.

| (39) | In order to ensure uniform conditions for the implementation of Articles 29, 30, 31, and 51 of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (10). |
| --- | --- |

(39)

In order to ensure uniform conditions for the implementation of Articles 29, 30, 31, and 51 of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (10).

| (40) | It is necessary to implement certain principles regarding the governance of the Agency in order to comply with the Joint Statement and Common Approach agreed by the Inter-Institutional Working Group on EU decentralised agencies in July 2012, the purpose of which is to streamline the activities of agencies and increase their performance. |
| --- | --- |

(40)

It is necessary to implement certain principles regarding the governance of the Agency in order to comply with the Joint Statement and Common Approach agreed by the Inter-Institutional Working Group on EU decentralised agencies in July 2012, the purpose of which is to streamline the activities of agencies and increase their performance.

| (41) | This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, |
| --- | --- |

(41)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union,

HAVE ADOPTED THIS REGULATION:

CHAPTER 1

PRINCIPLES

Article 1

Subject matter and scope

1.   This Regulation establishes a European Union Agency for Railways (the ‘Agency’).

2.   This Regulation provides for:

| (a) | the establishment and tasks of the Agency; |
| --- | --- |

(a)

the establishment and tasks of the Agency;

| (b) | the tasks of the Member States. |
| --- | --- |

(b)

the tasks of the Member States.

3.   This Regulation shall apply to:

| (a) | interoperability within the Union rail system provided for in Directive ../../.EU [Railway Interoperability Directive]; |
| --- | --- |

(a)

interoperability within the Union rail system provided for in Directive ../../.EU [Railway Interoperability Directive];

| (b) | safety of the rail system within the Union provided for in Directive ../../.EU [Railway Safety Directive]; |
| --- | --- |

(b)

safety of the rail system within the Union provided for in Directive ../../.EU [Railway Safety Directive];

| (c) | certification of train drivers provided for in Directive 2007/59/EC of the European Parliament and of the Council (11)

  and certification of all safety-relevant staff
  . [Am. 31] |
| --- | --- |

(c)

certification of train drivers provided for in Directive 2007/59/EC of the European Parliament and of the Council (11)

  and certification of all safety-relevant staff
  . [Am. 31]

3a.
     
  The objectives of the Agency shall be to ensure a high level of rail safety and to help complete the Single European Rail Area. These objectives shall be achieved by:

| (a) | contributing, on technical matters, to the implementation of Union legislation aimed at enhancing the level of interoperability of the railway system and developing a common approach to safety on the Union railway system; |
| --- | --- |

(a)

contributing, on technical matters, to the implementation of Union legislation aimed at enhancing the level of interoperability of the railway system and developing a common approach to safety on the Union railway system;

| (b) | acting as a European authority, in cooperation with the Member States, for authorising the placing of vehicles on the market and issuing safety certificates to railway undertakings; |
| --- | --- |

(b)

acting as a European authority, in cooperation with the Member States, for authorising the placing of vehicles on the market and issuing safety certificates to railway undertakings;

| (c) | harmonising national rules and optimising procedures; |
| --- | --- |

(c)

harmonising national rules and optimising procedures;

| (d) | monitoring action taken by the national safety authorities on interoperability and rail safety. [Am. 32] |
| --- | --- |

(d)

monitoring action taken by the national safety authorities on interoperability and rail safety. [Am. 32]

Article 2

Legal status

1.   The Agency shall be a body of the Union with legal personality.

2.   In each of the Member States, the Agency shall enjoy the most extensive legal capacity accorded to legal persons under their laws. It may in particular, acquire or dispose of movable and immovable property and may be a party to legal proceedings.

3.   The Agency shall be represented by its Director.

Article 3

Types of acts of the Agency

The Agency may:

| (a) | address recommendations to the Commission concerning the application of Articles 11, 13, 14, 15, 23, 24, 26, 30, 32, 31, 33 and 41; |
| --- | --- |

(a)

address recommendations to the Commission concerning the application of Articles 11, 13, 14, 15, 23, 24, 26, 30, 32, 31, 33 and 41;

| (b) | address recommendations to Member States concerning the application of Articles 21, 22 and 30
  and to national safety authorities concerning the application of Article 29(4)
  ; [Am. 33] |
| --- | --- |

(b)

address recommendations to Member States concerning the application of Articles 21, 22 and 30
  and to national safety authorities concerning the application of Article 29(4)
  ; [Am. 33]

| (c) | issue opinions to the Commission pursuant to Articles 9, 21, 22 and 38, and to the authorities concerned in the Member States pursuant to Article 9; |
| --- | --- |

(c)

issue opinions to the Commission pursuant to Articles 9, 21, 22 and 38, and to the authorities concerned in the Member States pursuant to Article 9;

| (d) | issue decisions pursuant to Article 12, 16, 17, 18; |
| --- | --- |

(d)

issue decisions pursuant to Article 12, 16, 17, 18;

| (e) | issue opinions constituting acceptable means of compliance pursuant to Article 15; |
| --- | --- |

(e)

issue opinions constituting acceptable means of compliance pursuant to Article 15;

| (f) | issue technical documents pursuant to Article 15; |
| --- | --- |

(f)

issue technical documents pursuant to Article 15;

| (g) | issue audit reports pursuant to Articles 29 and 30; |
| --- | --- |

(g)

issue audit reports pursuant to Articles 29 and 30;

| (h) | issue guidelines and other non-binding documents facilitating application of railway interoperability and safety legislation pursuant to Articles 11, 15 and 24. |
| --- | --- |

(h)

issue guidelines and other non-binding documents facilitating application of railway interoperability and safety legislation pursuant to Articles 11, 15 and 24.

CHAPTER 2

WORKING METHODS

Article 4

Creation and composition of the working parties

1.   The Agency shall set up a limited number of working parties for drawing up recommendations, in particular related to technical specifications for interoperability (TSIs), common safety targets (CSTs) and, common safety methods (CSMs)
  , common safety indicators (CSIs), registers, entities in charge of maintenance, the documents referred to in Article 15 and provisions on minimum qualifications of railway staff entrusted with safety-critical tasks
  . [Am. 34]

The Agency may set up working parties in other duly justified cases at the request of the Commission or on its own initiative, after having consulted the Commission.

2.   The Agency shall appoint experts to the working parties.

The Agency shall appoint to the working parties representatives nominated by the competent national authorities for the working parties in which they wish to participate.

The Agency shall appoint to the working parties professionals from the railway sector from the list referred to in paragraph 3. It shall ensure adequate representation
  of all the Member States,
  of those sectors of the industry and of those users which could be affected by measures the Commission may propose on the basis of the recommendations addressed to it by the Agency. [Am. 35]

The Agency may, if necessary, appoint to the working parties independent experts and representatives of international organisations recognised as competent in the field concerned. Staff of the Agency may not be appointed to the working parties
  , except for the chair of the working parties, who shall be a representative of the Agency
  . [Am. 36]

3.   Each
  year, each
  representative body referred to in Article 34 shall forward to the Agency a list of the most qualified experts mandated to represent them in each working party. [Am. 37]

4.   Whenever the work of such working parties has a direct

  an
  impact on the working conditions, health and safety of workers in the industry, representatives from the workers’ organisations
  from all the Member States
  shall participate in the relevant working parties as full members. [Am. 38]

5.   Travel and subsistence expenses of the members of the working parties, based on rules and scales adopted by the Management Board, shall be met by the Agency.

6.   The working parties shall be chaired by a representative of the Agency.
  [Am. 39]

7.   The work of the working parties shall be transparent. The Management Board shall lay down rules of procedure of the working parties.

Article 5

Consultation of the social partners

Whenever the work provided for in Articles 11, 12, 15, and 32 has a direct impact on the social environment or working conditions of workers in the industry, the Agency shall consult the social partners
  in all the Member States
  within the framework of the sectoral dialogue committee set up pursuant to Commission Decision 98/500/EC (12). [Am. 40]

These consultations shall be held before the Agency submits its recommendations to the Commission. The Agency shall take due account of these consultations, and shall, at all times, be available to expound on its recommendations. The opinions expressed by the sectoral dialogue committee shall be forwarded
  , within two months,
  by the Agency to the Commission and by the Commission to the committee referred to in Article 75. [Am. 41]

Article 6

Consultation of rail freight customers and passengers

Whenever the work provided for in Articles 11 and 15 has a direct impact on rail freight customers and passengers, the Agency shall consult the organisations representing them
  , including in particular representatives of passengers with reduced mobility
  . The list of organisations to be consulted shall be drawn up by the Commission with the assistance of the committee referred to in Article 75. [Am. 42]

These consultations shall be held before the Agency submits its proposals to the Commission. The Agency shall take due account of these consultations, and shall, at all times, be available to expound on its proposals. The opinions expressed by the organisations concerned shall be forwarded
  , within two months,
  by the Agency to the Commission and by the Commission to the committee referred to in Article 75. [Am. 43]

Article 7

Impact assessment

1.   The Agency shall conduct an impact assessment of its recommendations and opinions. The Management Board shall adopt impact assessment methodology based on the methodology of the Commission
  , taking into account the requirements laid down in Directive
  ...
  [the Railway Safety Directive]
  . The Agency shall liaise with the Commission to ensure that relevant work at the Commission is duly taken into account.
  The assumptions used as the basis for the impact assessment and the data sources used shall be clearly identified in the report accompanying each recommendation. [Am. 44]

2.   Before launching an activity included in the work programme, the Agency shall conduct an early impact assessment in relation to it which shall state:

| (a) | the issue to be solved and likely solutions; |
| --- | --- |

(a)

the issue to be solved and likely solutions;

| (b) | the extent to which a specific action, including issuing a recommendation or an opinion of the Agency, would be required; |
| --- | --- |

(b)

the extent to which a specific action, including issuing a recommendation or an opinion of the Agency, would be required;

| (c) | the expected Agency contribution to the solution of the problem. |
| --- | --- |

(c)

the expected Agency contribution to the solution of the problem.

Moreover, each activity and project in the work programme shall be subject to an efficiency analysis individually and in conjunction with each other, to make best use of the budget and resources of the Agency.

3.   The Agency may conduct an ex post assessment of the legislation resulting from its recommendations.

4.   Member States
  and stakeholders
  shall provide the Agency
  , as required and at its request,
  with the data necessary for the impact assessment. [Am. 45]

Article 8

Studies

Where required for the implementation of its tasks, the Agency shall order studies and finance them from its budget.

Article 9

Opinions

1.   The Agency shall issue opinions at
  the
  request of the

  one or more
  national regulatory bodies referred to in Article 55 of Directive 2012/34/EU
  of the European Parliament and of the Council

   (13) concerning safety-related and interoperability-related aspects of matters drawn to their attention. [Am. 46]

2.   The Agency shall issue opinions at request of the Commission on amendments to any act adopted on the basis of Directive ... [Railway Interoperability Directive] or ... [Railway Safety Directive], especially where any alleged deficiency is signalled.

3.   With regard to opinions referred to in previous paragraphs and in other articles of this Regulation, the Agency shall give its opinions within two months, unless otherwise agreed. The opinions shall be made public by the Agency within two months in a version from which all commercially confidential material has been removed.

Article 10

Visits to Member States

1.   The Agency may carry out visits to the Member States in order to perform its tasks, in particular those referred to in Articles 12, 21, 22, 16, 17,
  18
  27,
  28,
  29, 30, 31
  , 33
  and 38, in accordance with the policy defined by the Management Board. [Am. 47]

2.   The Agency shall inform the Member State concerned of the planned visit, the names of the delegated Agency officials, and the date on which the visit is to start. The Agency officials delegated to carry out such visits shall do so on presentation of a decision by the Executive Director specifying the purpose and the aims of their visit.

3.   The national authorities of the Member States shall facilitate the work of the Agency’s staff.

4.   The Agency shall draw up a report on each visit and send it to the Commission and to the Member State concerned.

5.   The preceding paragraphs are without prejudice to inspections referred to in Articles 29 (6) and 30 (6) which shall be pursued in accordance with the procedure described therein.

CHAPTER 3

TASKS RELATING TO RAILWAY SAFETY

Article 11

Technical support — recommendations on railway safety

1.   The Agency shall issue recommendations to the Commission on the Common Safety Methods (CSMs)
  , the Common Safety Indicators (CSIs)
  and the Common Safety Targets (CSTs) provided for in Articles 6 and 7 of Directive ... [Railway Safety Directive]. The Agency shall also issue recommendations on periodic revision of CSMs and CSTs to the Commission. [Am. 48]

2.   The Agency shall issue recommendations to the Commission, at the request of the Commission or on its own initiative, on other measures in the field of safety

3.   The Agency may issue guidelines and other non-binding documents to facilitate the implementation of railway safety legislation.

Article 12

Safety certificates

Without prejudice to Article 10 (2a) of Directive... [the Safety Directive]
  the Agency shall issue
  , renew, suspend, amend or revoke
  single safety certificates in accordance with Articles 10 and 11 of Directive ... [Railway Safety Directive]. [Am. 49]

Article 13

Maintenance of vehicles

1.   The Agency shall assist the Commission with regard to the system of certification of the entities in charge of maintenance in accordance with Article 14 (6) of Directive ... [Railway Safety Directive].

2.   The Agency shall issue recommendation to the Commission with a view of Article 14 (7) of Directive ... [Railway Safety Directive].

3.   The Agency shall analyse any alternative measures decided in accordance with Article 15 of Directive... [Railway Safety Directive] in the report referred to in Article 30 (2) of this Regulation.

Article 14

Transport of dangerous goods by rail

The Agency shall follow developments in the legislation dealing with the transport of dangerous goods by rail within the meaning of Directive 2008/68/EC of the European Parliament and of the Council (14) and compare them with the legislation dealing with rail interoperability and safety, in particular the essential requirements. To this end the Agency shall assist the Commission and may issue recommendations at the Commission’s request or on its own initiative.

Article 14a

Spontaneous reporting of incidents

The Agency shall establish a system enabling the spontaneous and anonymous reporting of any incident that may jeopardise the system's safety. It shall create a mechanism for informing the responsible actors automatically. The Agency shall also coordinate the communication of reports from national agencies, in particular where they affect safety in more than one State. [Am. 50]

CHAPTER 4

TASKS RELATING TO INTEROPERABILITY

Article 15

Technical support in the field of railway interoperability

1.   The Agency shall:

| (a) | issue recommendations to the Commission on the TSIs, and their revision, in accordance with Article 5 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(a)

issue recommendations to the Commission on the TSIs, and their revision, in accordance with Article 5 of Directive ... [Railway Interoperability Directive];

| (b) | issue recommendations to the Commission on the templates for the ‘EU’ declaration of verification and for documents of the technical file that has to accompany it, in accordance with Article 15 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(b)

issue recommendations to the Commission on the templates for the ‘EU’ declaration of verification and for documents of the technical file that has to accompany it, in accordance with Article 15 of Directive ... [Railway Interoperability Directive];

| (c) | issue recommendations to the Commission on specifications for registers, and their revision, in accordance with Articles 43, 44 and 45 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(c)

issue recommendations to the Commission on specifications for registers, and their revision, in accordance with Articles 43, 44 and 45 of Directive ... [Railway Interoperability Directive];

| (d) | issue opinions which constitute acceptable means of compliance concerning TSI deficiencies, in accordance with Article 6(2) of Directive ... [Railway Interoperability Directive], and provide it to the Commission; |
| --- | --- |

(d)

issue opinions which constitute acceptable means of compliance concerning TSI deficiencies, in accordance with Article 6(2) of Directive ... [Railway Interoperability Directive], and provide it to the Commission;

| (e) | issue opinions to the Commission regarding requests for non-application of TSIs by Member States, in accordance with Article 7 of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(e)

issue opinions to the Commission regarding requests for non-application of TSIs by Member States, in accordance with Article 7 of Directive ... [Railway Interoperability Directive];

| (f) | issue technical documents in accordance with Article 4(9) of Directive ... [Railway Interoperability Directive]; |
| --- | --- |

(f)

issue technical documents in accordance with Article 4(9) of Directive ... [Railway Interoperability Directive];

| (g) | issue recommendations to the Commission relating to the working conditions of all staff carrying out safety-critical tasks. |
| --- | --- |

(g)

issue recommendations to the Commission relating to the working conditions of all staff carrying out safety-critical tasks.

| (ga) | issue recommendations to the Commission on European standards to be developed by the relevant European standardisation bodies, particularly concerning spare parts; [Am. 52] |
| --- | --- |

(ga)

issue recommendations to the Commission on European standards to be developed by the relevant European standardisation bodies, particularly concerning spare parts; [Am. 52]

| (gb) | issue detailed requests concerning standards for the relevant European standardisation bodies in order to fulfil the mandate given to them by the Commission; [Am. 53] |
| --- | --- |

(gb)

issue detailed requests concerning standards for the relevant European standardisation bodies in order to fulfil the mandate given to them by the Commission; [Am. 53]

| (gc) | issue recommendations to the Commission regarding the training and certification of on-board personnel with safety tasks; [Am. 54] |
| --- | --- |

(gc)

issue recommendations to the Commission regarding the training and certification of on-board personnel with safety tasks; [Am. 54]

| (gd) | issue recommendations to the Commission to harmonise national rules in accordance with Article 22(1), particularly in cases where one rule concerns several Member States. This work shall be carried out in cooperation with the national safety authorities; [Am. 55] |
| --- | --- |

(gd)

issue recommendations to the Commission to harmonise national rules in accordance with Article 22(1), particularly in cases where one rule concerns several Member States. This work shall be carried out in cooperation with the national safety authorities; [Am. 55]

| (ge) | at the request of the Commission, issue opinions to it on interoperability constituents not complying with the essential requirements in accordance with Article 11 of Directive ...[Railway Interoperability Directive]; [Am. 56] |
| --- | --- |

(ge)

at the request of the Commission, issue opinions to it on interoperability constituents not complying with the essential requirements in accordance with Article 11 of Directive ...[Railway Interoperability Directive]; [Am. 56]

| (gf) | issue recommendations to the Commission on minimum inspection intervals (time periods and kilometrage) in respect of rolling stock (goods wagons, passenger carriages and locomotives). [Am. 57] |
| --- | --- |

(gf)

issue recommendations to the Commission on minimum inspection intervals (time periods and kilometrage) in respect of rolling stock (goods wagons, passenger carriages and locomotives). [Am. 57]

2.   For drafting recommendations referred to in paragraph 1, points (a) and, (b)
  and (c)
  , the Agency shall: [Am. 58]

| (a) | ensure that the TSIs and the specifications for registers are adapted to technical progress and market trends and to social requirements
  with a view to improving the efficiency of the railway system while taking into account its cost-effectiveness
  ; [Am. 59] |
| --- | --- |

(a)

ensure that the TSIs and the specifications for registers are adapted to technical progress and market trends and to social requirements
  with a view to improving the efficiency of the railway system while taking into account its cost-effectiveness
  ; [Am. 59]

| (b) | ensure that the development and updating of the TSIs on the one hand and the development of any European standards which prove necessary for interoperability on the other, are coordinated and maintain the relevant contacts with European standardisation bodies. |
| --- | --- |

(b)

ensure that the development and updating of the TSIs on the one hand and the development of any European standards which prove necessary for interoperability on the other, are coordinated and maintain the relevant contacts with European standardisation bodies.

| (ba) | participate as an observer in the relevant working groups on standardisation; [Am. 60] |
| --- | --- |

(ba)

participate as an observer in the relevant working groups on standardisation; [Am. 60]

3.   The Agency may issue guidelines and other non-binding documents to facilitate the implementation of railway interoperability legislation.

3a.
     
  The Agency shall involve the working parties where this is provided for in Article 4. [Am. 61]

Article 16

Authorisations for placing on the market for vehicles

Without prejudice to Article 20 (9a) of Directive ... [Railway Interoperability Directive]
  the Agency shall issue
  , renew, suspend, amend or revoke
  authorisations for placing on the market for railway vehicles in accordance with Article 20 of
  that
  Directive ... [the Interoperability Directive].
  [Am. 62]

Article 17

Authorisations for placing on the market for types of vehicles

The Agency shall issue
  , renew, suspend, amend or revoke
  authorisations for placing on the market for types of vehicles in accordance with Article 22 of Directive ... [Railway Interoperability Directive]. [Am. 63]

Article 18

Authorisations

  Authorisation
  for placing in service of trackside control-command and signalling sub-systems

  ERTMS [Am. 64]

The Agency shall issue
  , renew, suspend, amend or revoke
  authorisations for placing in service of the trackside control-command and signalling

  ERTMS
  subsystems located or operated in the entire Union in accordance with Article 18 of Directive ... [Railway Interoperability Directive]. [Am. 65]

Article 19

Telematics applications

1.   The Agency shall act as the system authority, being responsible for maintaining the technical specifications for the telematics applications, in accordance with relevant TSIs.

1a.
     
  The Agency may play a role in promoting open and full access to data including international timetable datasets. [Am. 66]

2.   The Agency shall define, publish and apply the procedure for managing requests for changes to those specifications. To this end, the Agency shall set up and maintain a register of requests for changes to telematics applications specifications and their status.

3.   The Agency shall develop and maintain the technical tools for managing the different versions of the telematics applications' specifications
  and enforce the compatibility, both downwards and upwards, of these different versions
  . [Am. 67]

4.   The Agency shall assist the Commission in the monitoring of deployment of telematics applications in accordance with relevant TSIs.

Article 20

Support for the notified conformity assessment bodies

1.   The Agency shall support the activities of notified conformity assessment bodies referred to in Article 27 of Directive ... [Railway Interoperability Directive]. That support shall in particular include drafting guidelines for assessing the conformity or suitability for use of an interoperability constituent referred to in Article 9 of Directive ... [Interoperability Directive] and guidelines for the EC verification procedure referred to in Article 10 of Directive ... [Railway Interoperability Directive].

2.   The Agency shall facilitate cooperation of notified conformity assessment bodies, in particular act as the technical secretariat for their coordination group.

CHAPTER 5

TASKS RELATING TO NATIONAL RULES

Article 21

Examination of draft national rules

1.   The Agency shall, within two months of their reception, examine the draft national rules submitted to it in accordance with:

| (a) | Article 8(2) of Directive ... [Railway Safety Directive], |
| --- | --- |

(a)

Article 8(2) of Directive ... [Railway Safety Directive],

| (b) | Article 14 of Directive ... [Railway Interoperability Directive]. |
| --- | --- |

(b)

Article 14 of Directive ... [Railway Interoperability Directive].

2.   Where after the examination
  and within the deadlines
  referred to
  in
  paragraph 1 the Agency considers that national rules enable the essential requirements for interoperability to be fulfilled, CSMs to be respected and the CSTs to be achieved, and that they would not result in arbitrary discrimination or a disguised restriction on rail transport operation between Member States, the Agency shall inform the Commission and the Member State concerned about its positive assessment. The Commission may validate the rule in the IT system referred to in Article 23. [Am. 68]

3.   Where the examination referred to in paragraph 1 leads to a negative assessment, the Agency shall:

| (a) | issue a recommendation addressed to the Member State concerned stating the reasons why the rule in question should not entry into force and/or be applied; |
| --- | --- |

(a)

issue a recommendation addressed to the Member State concerned stating the reasons why the rule in question should not entry into force and/or be applied;

| (b) | inform the Commission about its negative assessment. |
| --- | --- |

(b)

inform the Commission about its negative assessment.

4.   Where no action was taken by the Member State within 2 months after receiving the recommendation of the Agency referred to in point (a) of paragraph 3, the Commission, after receiving information referred to in point (b) of paragraph 3 and after having heard the reasons of the Member State concerned, may adopt a decision addressed to the Member State concerned requesting it to modify the draft rule in question, suspend its adoption, entry into force or implementation.

4a.
     
  The provisions of this Article do not apply to national rules on health and safety at work and qualification and training requirements for railway staff with safety-relevant tasks. [Am. 69]

4b.
     
  In the case of the urgent preventive measures referred to in Article 8 of Directive ... [the Safety Directive] and Article 14(4) of Directive ... [Railway Interoperability Directive], in particular after an accident or an incident, the Agency shall lead the harmonisation of the rule at Union level, together with the national safety authorities. If necessary, the Agency shall issue a recommendation or an opinion to the Commission. [Am. 70]

Article 22

Examination of national rules in force

1.   The Agency shall, within two months of their reception, examine national rules submitted to it in accordance with Article 14(3) of Directive ... [Railway Interoperability Directive].

1a.
     
  The Agency shall examine the national rules in force on the date of application of this Regulation. Accordingly, the Agency shall propose a plan of work to the Management Board, for carrying out the examination, as part of the annual and multiannual work programmes referred to in Article 48. Each year, pursuant to Article 50, the Agency shall submit a progress report to the Management Board on its work and the results achieved. [Am. 71]

2.   Where after examination referred to in paragraph 1 the Agency considers that national rules enable the essential requirements for interoperability to be fulfilled, CSMs to be respected and the CSTs to be achieved, and that they would not result in arbitrary discrimination or a disguised restriction on rail transport operation between Member States, the Agency shall inform the Commission and the Member State concerned about its positive assessment. The Commission may validate the rule in the IT system referred to in Article 23. [Am. 72]

3.   Where the examination referred to in paragraph 1 leads to a negative assessment, the Agency shall:

| (a) | issue a recommendation addressed to the Member State concerned
  , that the rule, which has been the subject of the negative assessment be repealed or modified immediately, and
  stating the reasons why the

  that
  rule in question should

  has to
  be modified or repealed; [Am. 73] |
| --- | --- |

(a)

issue a recommendation addressed to the Member State concerned
  , that the rule, which has been the subject of the negative assessment be repealed or modified immediately, and
  stating the reasons why the

  that
  rule in question should

  has to
  be modified or repealed; [Am. 73]

| (b) | inform the Commission about its negative assessment
  and forward to it the recommendation addressed to the Member State concerned
  . [Am. 74] |
| --- | --- |

(b)

inform the Commission about its negative assessment
  and forward to it the recommendation addressed to the Member State concerned
  . [Am. 74]

4.   Where no action was taken by the Member State within 2 months after receiving the recommendation of the Agency referred to in point (a) of paragraph 3, the Commission, after receiving information referred to in point (b) of paragraph 3 and after having heard the reasons of the Member State concerned, may adopt a decision addressed to the Member State concerned requesting it to modify or repeal the rule in question.

5.   The procedure described in paragraphs 2 and, 3
  and 4
  shall apply, mutatis mutandis, in cases where the Agency becomes aware of any national rule, notified or not, being redundant or in conflict with the CSMs, CSTs, TSIs or any other Union legislation in the railway field
  or creating an unjustified barrier to the single railway market
  .
  In that event, the time limit laid down in paragraph 1 shall apply
  . [Am. 75]

5a.
     
  On matters dealing with training, occupational health and safety for rail professionals responsible for safety critical tasks, the Agency may only apply this paragraph if the national rule has a potential discriminatory impact. [Am. 76]

Article 22a

Use of the database

The Agency shall carry out the technical examination of the national rules in force referred to in available national legislation as listed in its reference document database as at the date of entry into force of this Regulation. [Am. 77]

Article 23

IT system to be used for notification purposes and classification of national rules

1.   The Agency shall set up and manage a dedicated IT system containing national rules referred to in Articles 21(1) and 22(1) and
  national acceptable means of compliance referred to in Article 2(28a) of Directive ...[Railway Interoperability Directive]. The Agency shall
  make it accessible to stakeholders and the public. [Am. 78]

1a.
     
  Within one month of the entry into force of this Regulation, Member States shall notify to the Commission any existing national rule which has not been notified by the date of entry into force of this Regulation. [Am. 79]

2.   Member States shall notify national rules referred to in Articles 21(1) and 22(1) to the Agency and to the Commission through the IT system referred to in paragraph 1. The Agency shall publish the rules in this system and use it for informing the Commission in accordance with Articles 21 and 22.
  The Agency shall use the IT system to inform the Commission about any negative recommendation forwarded to a Member State pursuant to Article 21(3), and Article 22(3)(b). [Am. 80]

3.   The Agency shall classify notified national rules in accordance with Article 14(8) of Directive .... [Railway Interoperability Directive]. To this end, it shall use the system referred to in the first paragraph of this Article.

4.   The Agency shall classify national rules notified in accordance with Article 8(2) of Directive ... [Railway Safety Directive], taking into account development of EU legislation. To this end, the Agency shall develop a Rule Management Tool to be used by Member States for simplifying their systems of national rules. The Agency shall use the system referred to in the first paragraph of this Article to publish the Rule Management Tool.

4a.
     
  The Agency shall also make the status of the evaluation of those rules and, when completed, the results of the evaluation, publicly available via the system referred to in paragraph 1 of this Article. [Am. 81]

CHAPTER 6

TASKS RELATING TO EUROPEAN RAIL TRAFFIC MANAGEMENT SYSTEM (ERTMS)

Article 24

System authority for the ERTMS

1.   The Agency shall act as the system authority, being responsible for maintaining the technical specifications for the ERTMS.

2.   The Agency shall define, publish and apply the procedure for managing requests for changes to those specifications. To this end, the Agency shall set up and maintain a register of requests for changes to ERTMS specifications and their status.

3.   The Agency shall recommend the adoption of a new version of ERTMS Technical specifications. However, it shall only do so when the previous version has been deployed at a sufficient rate. The development of new versions shall not be detrimental to the rate of deployment of the ERTMS, the stability of the specifications which is needed to optimise the production of ERTMS equipment, the return on investment for railway undertakings
  and keepers
  and efficient planning of the deployment of the ERTMS. [Am. 82]

4.   The Agency shall develop and maintain the technical tools for managing the different versions of the ERTMS with a view to ensuring technical and operational compatibility between networks and vehicles fitted with different versions and to providing incentives for the swift implementation of the versions in force.

5.   In accordance with Article 5(10) of Directive ... [Railway Interoperability Directive], the Agency shall ensure that successive versions of ERTMS equipment are technically compatible with earlier versions.

6.   The Agency shall prepare and disseminate relevant application guidelines for stakeholders and explanatory documentation related to the technical specifications for the ERTMS.

Article 25

ERTMS Ad hoc working group of notified conformity assessment bodies

1.   The Agency shall set up and chair an ERTMS ad hoc working group of notified conformity assessment bodies referred to in Article 27 of Directive ... [Railway Interoperability Directive].

The working group shall check the consistency of application of the procedure for assessing the conformity or suitability for use of an interoperability constituent referred to in Article 9 of Directive ... [Interoperability Directive] and of the ‘EC’ procedures for verification referred to in Article 10 of Directive ... [Interoperability Directive] and carried out by notified conformity assessment bodies.

2.   The Agency shall report every two years to the Commission on the activities of the working group referred to in paragraph 1, including statistics on attendance of notified conformity assessment bodies’ representatives in the working group.

3.   The Agency shall evaluate the application of the procedure for conformity assessment of interoperability constituents and of the ‘EC’ verification procedure for ERTMS equipment and every two years shall submit a report proposing to the Commission, where appropriate, improvements to be made.

Article 26

Supporting technical and operational compatibility between ERTMS on-board and trackside subsystems

1.   The Agency may

  shall
  assist the railway undertakings, at their request, in checking the technical and operational compatibility between ERTMS on-board and trackside subsystems before placing a vehicle in service. [Am. 83]

2.   Where the Agency finds that there is a risk of a lack of technical and operational compatibility between networks and vehicles fitted with ERTMS equipment in the context of specific ERTMS projects, it may request the appropriate actors, in particular manufacturers, notified conformity assessment bodies, railway undertakings,
  keepers,
  infrastructure managers and national safety authorities, to provide any information relevant to the procedures applied for ‘EC’ verification and placing in service, and to operational conditions. The Agency shall
  immediately
  inform the Commission about such a risk and, if necessary, recommend appropriate measures to the Commission. [Am. 84]

2a.
     
  The Agency shall set up a test track and laboratory for centralised testing of ERTMS track-side and on-board equipment. [Am. 85]

Article 27

Supporting ERTMS deployment and ERTMS projects

1.   The Agency shall monitor the deployment of the ERTMS in accordance with the deployment plan set out in Commission Decision 2012/88/EU (15) and shall monitor coordination of ERTMS installation along the Trans-European Transport Corridors and Rail Freight Corridors as provided for in Regulation (EU) No 913/2010 of the European Parliament and of the Council (16).

2.   The Agency shall ensure technical follow up of Union-funded projects for the deployment of the ERTMS, including, where applicable, analysis of tendering documents at the time of the call for tenders. The Agency shall also assist, if necessary, the beneficiaries of the Union funds to ensure that the technical solutions implemented within projects are fully compliant with the TSIs relating to control-command and signalling and are therefore fully interoperable.

Article 28

Accreditation of laboratories

1.   The Agency shall support, in particular by giving appropriate guidelines to the accreditation bodies, harmonised accreditation of ERTMS laboratories in accordance with Regulation (EC) No 765/2008.

2.   The Agency may participate as an observer in the peer reviews required by Regulation (EC) No 765/2008.

2a.
     
  Where the Agency has doubts as to the performance of an accredited laboratory, it shall notify the competent accreditation body, the Member State concerned and the national safety authorities accordingly. The Agency shall be invited to participate as an observer in the peer review. Where doubts are raised, the Agency shall immediately inform the Member State concerned and the national safety authorities accordingly. [Am. 86]

CHAPTER 7

TASKS RELATING TO MONITORING THE SINGLE EUROPEAN RAILWAY AREA

Article 29

Monitoring of national safety authorities

1.   The Agency shall monitor the performance and decision-making of national safety authorities through audit and inspections.

2.   The Agency shall be entitled to audit:

| (a) | the capacity of national safety authorities to execute tasks related to railway safety and interoperability; |
| --- | --- |

(a)

the capacity of national safety authorities to execute tasks related to railway safety and interoperability;

| (b) | the effectiveness of national safety authorities' monitoring of safety management systems of actors as referred to in Article 16 in Directive [...] [Railway Safety Directive]. |
| --- | --- |

(b)

the effectiveness of national safety authorities' monitoring of safety management systems of actors as referred to in Article 16 in Directive [...] [Railway Safety Directive].

The procedure for performing the audits shall be adopted by the Management Board.

3.   The Agency shall issue audit reports and send them to the national safety authority concerned and to the Commission. Each audit report shall include, in particular, a list of any deficiencies identified by the Agency as well as recommendations for improvement.

4.   If the Agency considers that the deficiencies referred to in paragraph 3 prevent the national safety authority concerned from effectively performing its tasks in relation to railway safety and interoperability, the Agency shall recommend to the national safety authority to take appropriate steps within a time limit to be defined

  which it shall define
  taking into account the importance of the deficiency. [Am. 87]

5.   Where a national safety authority disagrees with the Agency's recommendation referred to in paragraph 4, or where no action is taken by a national safety authority as a result of the Agency's recommendation within 3 months from its reception, the Commission may take a decision within six months in accordance with the advisory procedure referred to in Article 75.

6.   The Agency shall be also entitled to conduct announced or unannounced inspections in national safety authorities, to verify specific areas of their activities and operation, in particular review documents, processes and records related to their tasks referred to in Article 16 of Directive ... [Railway Safety Directive]. The inspections may be conducted on an ad-hoc basis or in accordance with a plan developed by the Agency. The duration of an inspection shall not exceed two days. The national authorities of the Member States shall facilitate the work of the Agency’s staff. The Agency shall provide the Commission with a report on each inspection.

6a.
     
  In the cases referred to in Article 10(2a) of Directive ... [Railway Safety Directive] and Article 20(9a) of Directive ... [Railway Interoperability Directive] if national safety authorities take conflicting decisions and no mutually acceptable decision is reached, the applicant concerned by those decisions or a national safety authority that is involved may refer the decisions to the Agency who shall take a decision. [Am. 88]

Article 30

Monitoring of notified conformity assessment bodies

1.   The Agency shall monitor the notified conformity assessment bodies through assistance to accreditation bodies, audit and inspections, as provided for in paragraphs 2-5.

2.   The Agency shall support harmonised accreditation of notified conformity assessment bodies, in particular by giving appropriate guidance on evaluation criteria and procedures to assess whether notified bodies meet the requirements referred to in Art. 27

  Chapter 6
  of Directive ... [Railway Interoperability Directive] to the accreditation bodies, via the European Accreditation infrastructure recognised by Art.

  Article
  14 of Regulation (EC) No 765/2008 [Am. 89]

3.   In case of notified conformity assessment bodies which are not accredited according to Article 24 of Directive... [Railway Interoperability Directive], the Agency may audit their capacities to meet the requirements referred to in Article 27 of that Directive. The procedure for performing audits shall be adopted by the Management Board.

4.   The Agency shall issue audit reports covering the activities referred to in paragraph 3 and send them to the notified conformity assessment body concerned and to the Commission. Each audit report shall include, in particular, any deficiencies identified by the Agency and recommendations for improvement. If the Agency considers that these deficiencies prevent the notified body concerned from effectively performing its tasks in relation to railway safety and interoperability, the Agency shall adopt a recommendation requesting the Member State in which that notified body is established to take appropriate steps within a time limit
  set by the Agency
  . [Am. 90]

5.   Where a Member State disagrees with the recommendation referred to in paragraph 4, or where no action is taken by a notified body as a result of the Agency's recommendation within 3 months from its reception, the Commission may adopt an opinion within a period of six months in accordance with advisory procedure referred to in Article 75.

6.   The Agency may, including in cooperation with the relevant national accreditation bodies, conduct announced or unannounced inspections of notified conformity assessment bodies to verify specific areas of their activities and operation, in particular review documents, certificates and records related to their tasks referred to in Article 27 of Directive [...] [Railway Interoperability Directive]. The inspections may be conducted on an ad-hoc basis or in accordance with a plan developed by the Agency. The duration of an inspection shall not exceed two days. The notified conformity assessment bodies shall facilitate the work of the Agency’s staff. The Agency shall provide the Commission with a report on each inspection.

Article 31

Monitoring progress of interoperability and safety

1.   The Agency, together with the network of national investigation bodies, shall collect relevant data on accidents and incidents and monitor the contribution of the national investigation bodies to the safety of the railway system as a whole.

2.   The Agency shall monitor the overall safety performance of the railway system
  and the safety regulatory framework
  . The Agency may in particular seek the assistance of the networks referred to in Article 34, including collection of data. The Agency shall also draw on the data collected by Eurostat and shall cooperate with Eurostat to prevent any duplication of work and to ensure methodological consistency between the common safety indicators and the indicators used in other modes of transport. [Am. 91]

3.   At the Commission’s request, The Agency shall issue recommendations on how to improve the interoperability of the railway systems, in particular by facilitating coordination between railway undertakings and infrastructure managers, or between infrastructure managers

  develop a common occurrence reporting and monitoring system
  . [Am. 92]

4.   The Agency shall monitor
  and assess
  progress on the interoperability and safety of the railway systems
  and the related costs and benefits
  . Every two years it shall present to the Commission and publish a report on progress on interoperability and safety in the Single European Railway Area. [Am. 93]

5.   The Agency shall, at the Commission’s request, provide reports on the state of implementation and application of the Union legislation on safety and interoperability in a given Member State.

CHAPTER 8

OTHER TASKS

Article 32

Railway staff

1.   The Agency shall perform the appropriate tasks relating to railway staff set out in Articles 4, 20, 22, 23, 25, 28, 33, 34, 35 and 37 of Directive 2007/59/EC.

2.   The Agency may be requested by the Commission to perform other tasks relating to railway staff in accordance with Directive 2007/59/EC
  and relating to railway staff entrusted with safety-critical tasks not covered by Directive 2007/59/EC
  . [Am. 94]

3.   The Agency shall consult the authorities competent on railway staff issues on the tasks referred to in paragraphs 1 and 2. The Agency may promote cooperation between those authorities, including by organising appropriate meetings with their representatives.

Article 33

Registers and their accessibility

1.   The Agency shall set up and keep

  define
  European registers provided for in Article 43, 44 and 45 of Directive ... [Railway Interoperability Directive]
  in a practical, efficient and user-friendly format to fully support business and operational needs
  . The Agency shall act as the system authority for all registers and databases referred to in the Safety, Interoperability and Train Drivers Directives. This shall include, in particular: [Am. 95]

| (a) | developing and maintaining specifications of the registers; |
| --- | --- |

(a)

developing and maintaining specifications of the registers;

| (b) | coordinating of developments in the Member States in relation to the registers; |
| --- | --- |

(b)

coordinating of developments in the Member States in relation to the registers;

| (c) | providing guidance on the registers to relevant stakeholders; |
| --- | --- |

(c)

providing guidance on the registers to relevant stakeholders;

| (d) | making recommendations to the Commission regarding improvements to the specification of existing registers and any need to set up new ones, |
| --- | --- |

(d)

making recommendations to the Commission regarding improvements to the specification of existing registers and any need to set up new ones,

| (da) | setting-up and maintaining the registers referred to in points(g), (i) and (ma), [Am. 96] |
| --- | --- |

(da)

setting-up and maintaining the registers referred to in points(g), (i) and (ma), [Am. 96]

| (db) | creating an European Vehicle Register. [Am. 97] |
| --- | --- |

(db)

creating an European Vehicle Register. [Am. 97]

1a.
     
  The European Vehicle Register:

| (a) | shall be kept by the Agency; |
| --- | --- |

(a)

shall be kept by the Agency;

| (b) | shall be public; |
| --- | --- |

(b)

shall be public;

| (c) | shall have the national vehicle registers incorporated in it no later than two years after the entry into force of this Regulation. The Commission shall establish, by means of implementing acts, the format type document. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 75; |
| --- | --- |

(c)

shall have the national vehicle registers incorporated in it no later than two years after the entry into force of this Regulation. The Commission shall establish, by means of implementing acts, the format type document. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 75;

| (d) | shall include at least the following details for each type of vehicle:










  (i) | the technical characteristics of the type of vehicle, as defined in the relevant TSI; |
| --- | --- | --- |

(d)

shall include at least the following details for each type of vehicle:

(i)

the technical characteristics of the type of vehicle, as defined in the relevant TSI;

| (ii) | the manufacturer's name; |
| --- | --- |

(ii)

the manufacturer's name;

| (iii) | the dates and references of the successive authorisations for that type of vehicle, including any restrictions or withdrawals, and the Member States granting the authorisations; |
| --- | --- |

(iii)

the dates and references of the successive authorisations for that type of vehicle, including any restrictions or withdrawals, and the Member States granting the authorisations;

| (iv) | design features intended for persons with reduced mobility and persons with disabilities. |
| --- | --- |

(iv)

design features intended for persons with reduced mobility and persons with disabilities.

When the Agency issues, renews, amends, suspends or revokes an authorisation to place vehicle types in service, it shall update the register without delay. [Am. 98]

2.   The Agency shall make the following documents and registers provided for by Directive ... [Railway Interoperability Directive] and Directive ... [Railway Safety Directive] publicly available
  through an implemented, user-friendly and easily accessible IT solution
  : [Am. 99]

| (a) | the EC declarations of verification of subsystems; |
| --- | --- |

(a)

the EC declarations of verification of subsystems;

| (b) | the EC declarations of conformity of interoperability constituents and EC declarations of suitability of use of interoperability constituents; |
| --- | --- |

(b)

the EC declarations of conformity of interoperability constituents and EC declarations of suitability of use of interoperability constituents;

| (c) | the licences issued in accordance with Directive ... [Directive on the establishment of the Single European Rail Area (recast)]; |
| --- | --- |

(c)

the licences issued in accordance with Directive ... [Directive on the establishment of the Single European Rail Area (recast)];

| (d) | the safety certificates issued in accordance with Article 10 of Directive ... [Railway Safety Directive]; |
| --- | --- |

(d)

the safety certificates issued in accordance with Article 10 of Directive ... [Railway Safety Directive];

| (e) | the investigation reports sent to the Agency in accordance with Article 24 of Directive ... [Railway Safety Directive]; |
| --- | --- |

(e)

the investigation reports sent to the Agency in accordance with Article 24 of Directive ... [Railway Safety Directive];

| (f) | the national rules notified to the Commission in accordance with Article 8 of Directive ... [Railway Safety Directive] and Articles

  Article
   14 of Directive ... [Railway Interoperability Directive]
  and the Agency's assessment of them
  ; [Am. 100] |
| --- | --- |

(f)

the national rules notified to the Commission in accordance with Article 8 of Directive ... [Railway Safety Directive] and Articles

  Article
   14 of Directive ... [Railway Interoperability Directive]
  and the Agency's assessment of them
  ; [Am. 100]

| (g) | the
  European
  vehicle registers, including via links to relevant national registers

  register
  ; [Am. 101] |
| --- | --- |

(g)

the
  European
  vehicle registers, including via links to relevant national registers

  register
  ; [Am. 101]

| (h) | the infrastructure registers, including via links to relevant national registers; |
| --- | --- |

(h)

the infrastructure registers, including via links to relevant national registers;

| (i) | the European register of authorised types of vehicles; |
| --- | --- |

(i)

the European register of authorised types of vehicles;

| (j) | the register of requests for changes and planned changes to the ERTMS specifications; |
| --- | --- |

(j)

the register of requests for changes and planned changes to the ERTMS specifications;

| (k) | the register of requests for changes and planned changes to the Telematics Applications for Passengers (TAP) TSI/Telematics Applications for Freight (TAF) TSI specifications; |
| --- | --- |

(k)

the register of requests for changes and planned changes to the Telematics Applications for Passengers (TAP) TSI/Telematics Applications for Freight (TAF) TSI specifications;

| (l) | the register of vehicle keeper markings kept by the Agency in accordance with the TSI on operation and traffic management; |
| --- | --- |

(l)

the register of vehicle keeper markings kept by the Agency in accordance with the TSI on operation and traffic management;

| (m) | quality reports issued in accordance with Article 28(2) of Regulation (EC) No 1371/2007 of the European Parliament and of the Council (17), |
| --- | --- |

(m)

quality reports issued in accordance with Article 28(2) of Regulation (EC) No 1371/2007 of the European Parliament and of the Council (17),

| (ma) | the register of certified entities in charge of maintenance, in accordance with Article 14 of Directive... [Railway Safety Directive]. [Am. 102] |
| --- | --- |

(ma)

the register of certified entities in charge of maintenance, in accordance with Article 14 of Directive... [Railway Safety Directive]. [Am. 102]

3.   The practical arrangements for sending the documents referred to in paragraph 2 shall be discussed and agreed by the Commission and the Member States on the basis of a draft prepared by the Agency.

4.   When sending the documents referred to in paragraph 2, the bodies concerned may indicate which documents are not to be disclosed to the public for reasons of security.

5.   The national authorities responsible for issuing the licences and certificates referred to in points (c) and (d) of paragraph 2 shall notify the Agency within one month

  ten days
  of each individual decision to issue, renew, amend or revoke those licenses and certificates. [Am. 103]

6.   The Agency may include any public document or link relevant to the objectives of this Regulation in the public database, taking into account applicable Union legislation on data protection.

Article 34

Networks of national safety authorities, investigating bodies and representative bodies [Am. 104]

1.   The Agency shall establish a network of the national safety authorities and a network of the investigating bodies referred to in Article 21

  17(4)
  of Directive.../... [Railway Safety Directive]. The Agency shall provide them with a secretariat. The tasks of the networks shall, in particular, be: [Am. 105]

| (a) | exchange of information related to railway safety and interoperability; |
| --- | --- |

(a)

exchange of information related to railway safety and interoperability;

| (b) | promotion of good practices; |
| --- | --- |

(b)

promotion of good practices;

| (c) | provision of data on railway safety to the Agency, in particular data relating to common safety indicators; |
| --- | --- |

(c)

provision of data on railway safety to the Agency, in particular data relating to common safety indicators;

| (ca) | provision of information to the Agency, if necessary, on deficiencies of the secondary legislation that derives from Directive ... [Railway Safety Directive] and Directive ... [Railway Interoperability Directive]. [Am. 106] |
| --- | --- |

(ca)

provision of information to the Agency, if necessary, on deficiencies of the secondary legislation that derives from Directive ... [Railway Safety Directive] and Directive ... [Railway Interoperability Directive]. [Am. 106]

The Agency shall facilitate cooperation between those networks, in particular it may decide to hold joint meetings of both networks.

2.   The Agency shall establish a network of representative bodies from the railway sector
  , including representatives of passengers, passengers with reduced mobility and employees,
  acting at the Union level. The list of these bodies shall be defined in an implementing act adopted by the Commission, in accordance with advisory procedure referred to in Article 75. The Agency shall provide the network with a secretariat. The tasks of the network shall, in particular, be: [Am. 107]

| (a) | exchange of information related to railway safety and interoperability; |
| --- | --- |

(a)

exchange of information related to railway safety and interoperability;

| (b) | promotion of good practices; |
| --- | --- |

(b)

promotion of good practices;

| (c) | provision of data on railway safety and interoperability to the Agency. |
| --- | --- |

(c)

provision of data on railway safety and interoperability to the Agency.

3.   The networks referred to in paragraphs 1 and 2 may issue non-binding opinions on draft recommendations referred to in Article 9(2).

4.   The Agency may establish other networks with bodies or authorities with responsibility for a part of the railway system.

5.   The Commission may participate in meetings of networks referred to in this Article.

Article 35

Communication and dissemination

The Agency shall communicate and disseminate to relevant stakeholders the European framework of railway legislation, standards and guidance, in accordance with relevant communication and dissemination plans adopted by the Management Board. Those plans, based on an analysis of needs, shall be regularly updated by the Management Board.

Article 36

Research and promotion of innovation

1.   The Agency shall contribute, upon request of the Commission, to railway research activities at Union level, including through support to relevant Commission services and representative bodies. This contribution shall be without prejudice to other research activities at the Union level.

2.   The Commission may entrust the Agency with the task of promoting innovation aimed at improving railway interoperability and safety, particularly the use of new information technologies and tracking and tracing systems.

Article 37

Assistance to the Commission

1.   The Agency shall, at the Commission’s request, assist the Commission with the implementation of Union legislation aimed at enhancing the level of interoperability of railway systems and at developing a common approach to safety on the European railway system.

2.   This assistance may include:

| (a) | providing technical advice in matters requiring specific know-how; |
| --- | --- |

(a)

providing technical advice in matters requiring specific know-how;

| (b) | collecting information through the networks referred to in Article 34. |
| --- | --- |

(b)

collecting information through the networks referred to in Article 34.

Article 38

Assistance with the assessment of rail projects

Without prejudice to the derogations provided for by Article 9 of Directive [...] [Railway Interoperability Directive], the Agency shall, at the Commission’s request, examine, from the point of view of interoperability and safety, any project involving the design, construction, renewal or upgrading of the subsystem for which an application for Union financial support has been submitted.
  In the case of projects funded under the Trans European Network — Transport (TEN-T) programme, the Agency should closely cooperate with the TEN-T Executive Agency. [Am. 108]

Within a period to be agreed with the Commission according to the importance of the project and the resources available and which may not exceed two months, the Agency shall give an opinion on whether the project complies with the relevant railway interoperability and safety legislation.

Article 39

Assistance to Member States, candidate countries and stakeholders

1.   On its own initiative or at the request of the Commission, Member States, candidate countries or the networks referred to in Article 34, the Agency shall engage in training and other appropriate activities concerning the application and explanation of railway interoperability and safety legislation and related Agency’s products such as registers, implementation guides or recommendations.

2.   The nature and extent of the activities referred to in paragraph 1 shall be decided by the Board and included in the work programme.

Article 40

International relations

1.   In so far as is necessary to achieve the objectives set out in this Regulation and without prejudice to the respective competences of the Member States and the Union institutions, including the European External Action Service, the Agency may develop contacts and enter into administrative arrangements with supervisory authorities, international organisations and the administrations of third countries competent in matters covered by Agency activities in order to keep up with scientific and technical developments and to ensure promotion of the European Union railways legislation and standards.

2.   Those arrangements shall not create legal obligations in respect of the Union and its Member States nor shall they prevent Member States and their competent authorities from concluding bilateral or multilateral arrangements with those supervisory authorities, international organisations and the administrations of third countries. Those arrangements and cooperation shall be subject to prior discussion with the Commission and regular reporting to it.

3.   The Management Board shall adopt a strategy for relations with third countries or international organisations concerning matters for which the Agency is competent. This strategy shall be included in the annual and multi-annual work programme of the Agency, with a specification of associated resources.
  The strategy shall seek to ensure that the activities of the Agency facilitate reciprocal access for Union railway undertakings to the rail markets of third countries. [Am. 109]

Article 41

Coordination regarding spare parts

The Agency shall contribute to identifying potential railway spare parts to be standardised. To this end, the Agency may

  shall
  establish a working party in order to coordinate the stakeholders’ activities and may

  shall
  establish contacts with the European standardisation bodies. The Agency shall present the Commission with appropriate recommendations
  no later than two years after the entry into force of this Regulation
  . [Am. 110]

CHAPTER 9

ORGANISATION OF THE AGENCY

Article 42

Administrative and management structure

The Agency's administrative and management structure shall comprise:

| (a) | A Management Board, which shall exercise the functions set out in Article 47; |
| --- | --- |

(a)

A Management Board, which shall exercise the functions set out in Article 47;

| (b) | An Executive Board which shall exercise the functions set out in Article 49; |
| --- | --- |

(b)

An Executive Board which shall exercise the functions set out in Article 49;

| (c) | An Executive Director who shall exercise the responsibilities set out in Article 50; |
| --- | --- |

(c)

An Executive Director who shall exercise the responsibilities set out in Article 50;

| (d) | A Board of Appeal who shall exercise the responsibilities set out in Articles 54 to 56. |
| --- | --- |

(d)

A Board of Appeal who shall exercise the responsibilities set out in Articles 54 to 56.

Article 43

Composition of the Management Board

1.   The Management Board shall be composed of one representative from each Member State and four

  two
  representatives of the Commission, all with a right to vote. [Am. 111]

The Management Board shall also include six representatives, without the right to vote, representing at European level the following groups:

| (a) | railway undertakings; |
| --- | --- |

(a)

railway undertakings;

| (b) | infrastructure managers; |
| --- | --- |

(b)

infrastructure managers;

| (c) | the railway industry; |
| --- | --- |

(c)

the railway industry;

| (d) | trade unions; |
| --- | --- |

(d)

trade unions;

| (e) | passengers; |
| --- | --- |

(e)

passengers;

| (f) | freight customers. |
| --- | --- |

(f)

freight customers.

For each of these groups, the Commission shall appoint a representative and an alternate from a shortlist of four names submitted by their respective European organisations.

2.   Board members and their alternates shall be appointed in light of their knowledge of the agency's core business, taking into account relevant managerial, administrative and budgetary skills. All parties shall make efforts to limit turnover of their representatives in the Board, in order to ensure continuity of the Board's work. All parties shall aim to achieve a balanced representation between men and women on the Management Board.

3.   Member States and the Commission shall appoint their members of the Management Board and an alternate who will represent the member in his/her absence.

4.   The term of office of the members shall be four

  five
  years and may be renewed
  once
  . [Am. 112]

5.   When appropriate, the participation of representatives of third countries and the conditions thereof shall be established in the arrangements referred to in Article 68.

Article 44

Chairperson of the Management Board

1.   The Management Board shall elect, by a two-thirds majority of its members entitled to vote, a Chairperson from among the representatives of the Member States and a Deputy Chairperson from among its members.

The Deputy Chairperson shall replace the Chairperson in the event of the Chairperson being unable to attend to his/her duties.

2.   The term of office of the Chairperson and Deputy Chairperson shall be four

  five
  years and may be renewed
  once
  . If, however, their membership of the Management Board ends at any time during their term of office, their term of office shall automatically expire on that date also. [Am. 113]

2a.
     
  The Chairperson of the Management Board shall decide whether or not to accede to a request to exclude a member of the Board of Appeal, in accordance with Article 53(3a), and, if necessary, in accordance with Article 53(3b), shall appoint a temporary member to the Board of Appeal. [Am. 114]

Article 45

Meetings

1.   Meetings of the Management Board shall be convened by its Chairperson. The Executive Director of the Agency shall participate in the meetings
  except where the Management Board is to take a decision relating to Article 64
  . [Am. 115]

2.   The Management Board shall meet at least twice a year. It shall also meet on the initiative of the Chairperson, at the request of the Commission, at the request of the majority of its members or of one-third of the Member States’ representatives on the Board.

Article 46

Voting

Unless stated otherwise in this Regulation, the Management Board shall take its decisions by an absolute majority of its members entitled to vote. Each member entitled to vote shall have one vote.

Article 47

Functions of the Management Board

1.   In order to ensure that the Agency carries out its tasks, the Management Board shall:

| (a) | adopt the Annual Report on the Agency's activities for the previous year, send it, by 1 July, to the European Parliament, the Council, the Commission and the Court of Auditors and make it public; |
| --- | --- |

(a)

adopt the Annual Report on the Agency's activities for the previous year, send it, by 1 July, to the European Parliament, the Council, the Commission and the Court of Auditors and make it public;

| (b) | adopt each year, by a two-thirds majority of its members entitled to vote, after having received the opinion of the Commission and in accordance with Article 48, the annual work programme of the Agency for the coming year and a strategic multi-annual work programme; |
| --- | --- |

(b)

adopt each year, by a two-thirds majority of its members entitled to vote, after having received the opinion of the Commission and in accordance with Article 48, the annual work programme of the Agency for the coming year and a strategic multi-annual work programme;

| (c) | adopt, by a two-thirds majority of its members entitled to vote, the annual budget of the Agency and exercise other functions in relation to the Agency’s budget, in accordance with Chapter 10; |
| --- | --- |

(c)

adopt, by a two-thirds majority of its members entitled to vote, the annual budget of the Agency and exercise other functions in relation to the Agency’s budget, in accordance with Chapter 10;

| (d) | establish procedures for decision-making by the Executive Director; |
| --- | --- |

(d)

establish procedures for decision-making by the Executive Director;

| (e) | adopt a policy on visits pursuant to Article 10; |
| --- | --- |

(e)

adopt a policy on visits pursuant to Article 10;

| (f) | establish its rules of procedure; |
| --- | --- |

(f)

establish its rules of procedure;

| (g) | adopt and update the communication and dissemination plans referred to in Article 35; |
| --- | --- |

(g)

adopt and update the communication and dissemination plans referred to in Article 35;

| (h) | adopt procedures for performing the audits referred to in Articles 29 and 30; |
| --- | --- |

(h)

adopt procedures for performing the audits referred to in Articles 29 and 30;

| (i) | in accordance with paragraph 2, exercise, with respect to the staff of the Agency, the appointing authority powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contract of Employment (‘the appointing authority powers’); |
| --- | --- |

(i)

in accordance with paragraph 2, exercise, with respect to the staff of the Agency, the appointing authority powers conferred by the Staff Regulations on the Appointing Authority and by the Conditions of Employment of Other Servants on the Authority Empowered to Conclude Contract of Employment (‘the appointing authority powers’);

| (j) | adopt appropriate implementing rules to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with the procedure provided for in Article 110 of the Staff Regulations; |
| --- | --- |

(j)

adopt appropriate implementing rules to the Staff Regulations and the Conditions of Employment of Other Servants in accordance with the procedure provided for in Article 110 of the Staff Regulations;

| (k) | appoint the Executive Director and may extend his term of office or remove him from the office, by a two-thirds majority of its members entitled to vote, in accordance with Article 62; |
| --- | --- |

(k)

appoint the Executive Director and may extend his term of office or remove him from the office, by a two-thirds majority of its members entitled to vote, in accordance with Article 62;

| (l) | adopt an anti-fraud
  and transparency
  strategy, which is proportionate to the fraud risks having regard to cost-benefit of the measures to be implemented; [Am. 116] |
| --- | --- |

(l)

adopt an anti-fraud
  and transparency
  strategy, which is proportionate to the fraud risks having regard to cost-benefit of the measures to be implemented; [Am. 116]

| (m) | ensure adequate follow-up to the findings and recommendations stemming from investigations of the European Anti-fraud Office (OLAF) and the various internal or external audit reports and evaluations; |
| --- | --- |

(m)

ensure adequate follow-up to the findings and recommendations stemming from investigations of the European Anti-fraud Office (OLAF) and the various internal or external audit reports and evaluations;

| (n) | adopt rules for the prevention and management of conflicts of interest
  in the Agency as established in Article 68a and
  in respect of members of the Management Board and of the Board of Appeal. [Am. 117] |
| --- | --- |

(n)

adopt rules for the prevention and management of conflicts of interest
  in the Agency as established in Article 68a and
  in respect of members of the Management Board and of the Board of Appeal. [Am. 117]

2.   The Management Board shall adopt, in accordance with the procedure provided for in Article 110 of the Staff Regulations, a decision based on Article 2(1) of the Staff Regulations and on Article 6 of the Conditions of Employment of Other Servants delegating the relevant appointing authority powers to the Executive Director and defining the conditions under which this delegation of powers can be suspended. The Executive Director is authorised to sub-delegate these powers.
  Such sub-delegation of powers shall not affect his or her liability
  .
  The Executive Director shall inform the Management Board of such delegations and sub-delegations. [Am. 118]

In application of the previous subparagraph, where exceptional circumstances so require, the Management Board may, by way of a decision, suspend temporarily the delegation of appointing authority powers to the Executive Director and those sub-delegated by the latter and exercise them itself or delegate them to one of its members or to a staff member other than the Executive Director.
  The delegate shall inform the Management Board of such a delegation. [Am. 119]

2a.
     
  The Management Board shall waive the immunity of the Agency or of present or past members of its staff, in accordance with Article 64. [Am. 120]

Article 48

Annual and multi-annual work programmes

1.   The Board of the Agency shall adopt the work programme by 30 November each year, taking into account the opinion of the Commission, and forward it to the Member States, the European Parliament, the Council, the Commission and to the networks referred to in Article 34.

2.   The work programme shall be adopted without prejudice to the Union’s annual budgetary procedure. If, within 15 days of the date of adoption of the work programme, the Commission expresses its disagreement with the programme, the Management Board shall re-examine the programme and adopt it, as amended if necessary, within a period of two months, in second reading either by a two-thirds majority of its members entitled to vote, including by all Commission representatives, or by unanimity of the representatives of the Member States. [Am. 121]

3.   The Agency’s work programme shall identify the objectives of each activity. As a general rule, each activity and project shall be clearly linked with the resources required to carry it out, in accordance with the principles of activity-based budgeting and management and the early impact assessment procedure provided for in paragraph 2 of Article 7.

4.   The Management Board shall, if necessary, amend the adopted work programme when a new task is given to the Agency. Inclusion of such a new task shall be subject to an analysis of the human and budgetary resources implications and may be subject to a decision to postpone other tasks.

5.   The Management Board shall also adopt and update a strategic multi-annual work programme by 30 November each year. The opinion of the Commission shall be taken into account. The European Parliament and the networks referred to in Article 34 shall be consulted on the draft. The adopted multi-annual work programme shall be forwarded to the Member States, the European Parliament, the Council, the Commission and to the networks referred to in Article 34.

Article 49

Executive Board

1.   The Management Board shall be assisted by an Executive Board.

2.   The Executive Board shall prepare decisions to be adopted by the Management Board. Where necessary, because of urgency, it shall take certain provisional decisions on behalf of the Management Board, in particular on administrative and budgetary matters.

Together with the Management Board, it shall ensure adequate follow-up to the findings and recommendations stemming from investigations of OLAF and the various internal or external audit reports and evaluations.

Without prejudice to the responsibilities of the Executive Director, as set out in Article 30, it shall assist and advise him/her in the implementation of the decisions of the Management Board, with a view to reinforcing supervision of administrative and budgetary management.

3.   The Executive Board shall be composed of the Chairperson of the Management Board, one representative of the Commission and [four] other members of the Management Board. The Management Board shall appoint members of the Executive Board and its chairperson.

4.   The term of office of members of the Executive Board shall be the same as that of members of the Management Board.

5.   The Executive Board shall meet at least once every three months. The chairperson of the Executive Board shall convene additional meetings at the request of its members.

6.   The Management Board shall lay down the rules of procedures of the Executive Board.

Article 50

Duties of the Executive Director

1.   The Agency shall be managed by its Executive Director, who shall be completely independent in the performance of his/her duties. The Executive Director shall be accountable to the Management Board for his/her activities.

2.   Without prejudice to the powers of the Commission, the Management Board, or the Executive Board, the Executive Director shall neither seek nor take instructions from any government or from any other body.

3.   The Executive Director shall report to the European Parliament on the performance of his/her duties when invited. The Council may invite the Executive Director to report on the performance of his/her duties.

4.   The Executive Director shall be the legal representative of the Agency. He/she shall adopt decisions, recommendations, opinions and other formal acts of the Agency.

5.   The Executive Director shall be responsible for the administrative management of the Agency and for the implementation of the tasks assigned to it by this Regulation. In particular, the Executive Director shall be responsible for:

| (a) | the day-to-day administration of the Agency; |
| --- | --- |

(a)

the day-to-day administration of the Agency;

| (b) | implementing the decisions adopted by the Management Board; |
| --- | --- |

(b)

implementing the decisions adopted by the Management Board;

| (c) | preparing the annual work programme and strategic multi-annual work programme and, submit them to the Management Board after consultation of the Commission; |
| --- | --- |

(c)

preparing the annual work programme and strategic multi-annual work programme and, submit them to the Management Board after consultation of the Commission;

| (d) | implementing the annual work programme and the strategic multi-annual work programme and as far as possible, responding to requests for assistance from the Commission in relation to the tasks of the Agency in accordance with this Regulation; |
| --- | --- |

(d)

implementing the annual work programme and the strategic multi-annual work programme and as far as possible, responding to requests for assistance from the Commission in relation to the tasks of the Agency in accordance with this Regulation;

| (e) | reporting to the Management Board on the implementation of the strategic multi-annual work programme; |
| --- | --- |

(e)

reporting to the Management Board on the implementation of the strategic multi-annual work programme;

| (f) | taking the necessary steps, in particular the adoption of internal administrative instructions and the publication of orders, to ensure that the Agency operates in accordance with this Regulation; |
| --- | --- |

(f)

taking the necessary steps, in particular the adoption of internal administrative instructions and the publication of orders, to ensure that the Agency operates in accordance with this Regulation;

| (g) | establishing an effective monitoring system in order to compare the Agency's results with its operational objectives and establishing a regular assessment system corresponding to recognised professional standards; |
| --- | --- |

(g)

establishing an effective monitoring system in order to compare the Agency's results with its operational objectives and establishing a regular assessment system corresponding to recognised professional standards;

| (h) | preparing each year a draft general report on the basis of the monitoring and assessment systems referred to in point (g), and submitting it to the Management Board; |
| --- | --- |

(h)

preparing each year a draft general report on the basis of the monitoring and assessment systems referred to in point (g), and submitting it to the Management Board;

| (i) | preparing the Agency's draft statement of estimates of the revenue and expenditure of the Agency pursuant to Article 58 and implementing the budget pursuant to Article 59; |
| --- | --- |

(i)

preparing the Agency's draft statement of estimates of the revenue and expenditure of the Agency pursuant to Article 58 and implementing the budget pursuant to Article 59;

| (j) | preparing the annual report on the Agency's activities and presenting it to the Management Board for assessment; |
| --- | --- |

(j)

preparing the annual report on the Agency's activities and presenting it to the Management Board for assessment;

| (k) | preparing an action plan following-up on the conclusions of the retrospective evaluations and reporting on progress bi-annually to the Commission; |
| --- | --- |

(k)

preparing an action plan following-up on the conclusions of the retrospective evaluations and reporting on progress bi-annually to the Commission;

| (l) | protecting the financial interests of the Union by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties; |
| --- | --- |

(l)

protecting the financial interests of the Union by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties;

| (m) | preparing an anti-fraud strategy of the Agency and presenting it to the Management Board for approval; |
| --- | --- |

(m)

preparing an anti-fraud strategy of the Agency and presenting it to the Management Board for approval;

| (n) | preparing the Agency's draft financial regulation for adoption by the Management Board under Article 60, and its implementing rules. |
| --- | --- |

(n)

preparing the Agency's draft financial regulation for adoption by the Management Board under Article 60, and its implementing rules.

Article 51

Creation and composition of the Boards of Appeal

1.   The Agency shall establish one or more
  independent
  Boards of Appeal. [Am. 122]

2.   A Board of Appeal shall be composed of a Chairperson and two other members. They shall have alternates to represent them in their absence.

3.   The Management Board shall appoint the Chairperson, the other members and their alternates from a list of qualified candidates established by the Commission.

4.   Where the Board of Appeal considers that the nature of the appeal so requires, it may request the Management Board to appoint two additional members and their alternates from the list referred to in paragraph 3.

5.   On the proposal of the Agency, the Commission shall establish the rules of procedure of the Board of Appeal, after having consulted the Management Board and in accordance with the advisory procedure referred to in Article 75.

5a.
     
  The qualifications required for each member of the Board of Appeal, the power of each member at the preparatory decision-making stage and the voting conditions shall be determined by the Commission with the assistance of the committee referred to in Article 48(3) of Directive ... [Railway Interoperability Directive]. [Am. 123]

Article 52

Members of the Board of Appeal

1.   The term of office of the members and alternates of a Board of Appeal shall be four

  five
  years and may be renewed
  once
  . [Am. 124]

2.   The members of a Board of Appeal shall be independent and

  of all parties involved in an appeal. They
  may not perform any other duties within the Agency
  or the Commission
  . In making their decisions
  or delivering their opinions
  they shall not be bound by any instructions. [Am. 125]

3.   The members of a Board of Appeal may not be removed from office or from the list of qualified candidates during their term of office, unless there are serious grounds for such removal and the Commission, after obtaining the opinion of the Management Board takes a decision to that effect.

Article 53

Exclusion and objection

1.   The members of the Board of Appeal may

  shall
  not take part in any appeal proceedings if they have any personal interest in the proceedings, if they have previously been involved as representatives of one of the parties to the proceedings, or if they participated in the decision under appeal
  , including, in the case of appeals lodged pursuant to Article 54(1), in delivering an opinion pursuant to Article 54(4) in respect of the same authorisation or the same certificate
  . [Am. 126]

2.   Members of the Board of Appeal who consider that they should not take part in any appeal proceeding, for one of the reasons referred to in paragraph 1 or for any other reason, shall inform the Board of Appeal which decides on the exclusion accordingly

  of their decision not to take part
  . [Am. 127]

3a.
     
  A party may apply in writing to the chair of the Management Board for a member of the Board of Appeal to be excluded. The exclusion application shall be made on one of the grounds referred to in paragraph 1 or on the grounds of a risk of bias. The application shall be accompanied by relevant supporting documents. The request shall only be admissible if it is made before the start of proceedings before the Board of Appeal, or, where the information constituting the grounds for the exclusion request becomes known after the proceedings have started, within five days of the requesting party becoming aware of that information.

The Board of Appeal member concerned shall be notified of the request. Within five days of being notified of the exclusion request, the Board of Appeal member concerned shall state whether he or she agrees to be excluded. If he or she does not agree, the chair of the Management Board shall take a decision within seven working days of the response by the member concerned, or, where there is no response, after expiry of the deadline set for issuing a response. [Am. 128]

3b.
     
  The Board of Appeal shall deliver its opinion or take its decision without the participation of the member who has decided not to take part or who has been excluded in accordance with paragraphs 2 and 3. In order for the decision to be taken or the opinion delivered, the member concerned shall be replaced on the Board of Appeal by his or her substitute.

If the substitute is unable to take his or her seat on the board for whatever reason, the chair of the Management Board shall appoint a temporary member to the board from the list referred to in Article 51(3) to replace him or her in the case concerned. [Am. 129]

Article 54

Decisions subject to appeal

1.   An appeal may be brought before the Board of Appeal against decisions taken by the Agency pursuant to Articles 12, 16, 17 and 18
  or against recommendations issued pursuant to Articles 21 and 22 or against a failure by the Agency to respond within the prescribed time limits
  . [Am. 130]

2.   An appeal lodged pursuant to paragraph 1 shall not have a suspensory effect. The Agency may, however, suspend the application of the decision appealed against, if it considers that circumstances so permit
  , as long as the suspension of the decision does not affect railway safety
  . [Am. 131]

Article 55

Persons entitled to appeal, time limit

  limits
  and form

1.   Any natural or legal person may appeal against a decision addressed to that person by the Agency pursuant to Articles 12, 16, 17 and 18
  or against a failure to take a decision within the prescribed time limits
  .
  Such rights of appeal shall also apply to bodies representing the persons referred to in Article 34(2), as duly authorised in accordance with their statutes
  .

2.   The appeal, together with the statement of grounds thereof, shall be filed in writing at the Agency within two months of the notification of the measure to the person concerned, or, if the person is not notified of the measure, within two months of the day on which it came to their knowledge.

2a.
     
  Appeals against the absence of a decision shall be filed in writing at the Agency within two months of the expiry of the time limit defined in the relevant Article. [Am. 132]

Article 56

Examination and decisions on appeals

1.   When examining the appeal, The Board of Appeal shall act expeditiously

  decide within three months of the appeal being filed whether to grant or refuse that appeal
  .
  It shall request any additional information it may require within one month of the appeal being filed. That relevant information shall be supplied within a reasonable time period set by the Board of Appeal that shall not exceed one month
  . It shall, as often as necessary, invite the parties to the appeal proceedings to file, within specified time limits
  that shall not exceed one month
  , observations on its notifications or on communications from other parties to the appeal proceedings. Parties to the appeal proceedings shall be entitled to make oral presentations. [Am. 133]

2.   The Board of Appeal may exercise appropriate power which lies within the competence of the Agency or may remit the case to the competent body of the Agency. The latter shall be bound by the decision of the Board of Appeal.

Article 57

Actions before the Court of Justice

1.   Actions for the annulment of Agency decisions taken pursuant to Articles 12, 16, 17 and 18 may be brought before the Court of Justice of the European Union only after all appeal procedures within the Agency have been exhausted.

2.   The Agency shall take all necessary measures to comply with the judgment of the Court of Justice of the European Union.

CHAPTER 10

FINANCIAL PROVISIONS

Article 58

Budget

1.   Estimates of all the revenue and expenditure of the Agency shall be prepared for each financial year, corresponding to the calendar year, and shall be set out in the budget of the Agency. Revenue and expenditure shall be in balance.

2.   The revenue of the Agency shall consist
  , in particular,
  of: [Am. 134]

| (a) | a contribution from the Union, |
| --- | --- |

(a)

a contribution from the Union,

| (b) | any contribution from third countries participating in the work of the Agency, as provided for by Article 68, |
| --- | --- |

(b)

any contribution from third countries participating in the work of the Agency, as provided for by Article 68,

| (c) | the fees paid by applicants for, and holders of, certificates and authorisations issued by the Agency in accordance with Articles 12, 16, 17 and 18
  . The delegated act referred to in Article 73 shall set charges at different levels according to the areas of use of certificates and authorisations and type and extent of railway operations
  ; [Am. 135] |
| --- | --- |

(c)

the fees paid by applicants for, and holders of, certificates and authorisations issued by the Agency in accordance with Articles 12, 16, 17 and 18
  . The delegated act referred to in Article 73 shall set charges at different levels according to the areas of use of certificates and authorisations and type and extent of railway operations
  ; [Am. 135]

| (d) | charges for publications, training and any other services provided by the Agency; |
| --- | --- |

(d)

charges for publications, training and any other services provided by the Agency;

| (e) | any voluntary financial contribution from Member States, third countries or other entities, provided such a contribution does not compromise the independence and impartiality of the Agency. |
| --- | --- |

(e)

any voluntary financial contribution from Member States, third countries or other entities, provided such a contribution does not compromise the independence and impartiality of the Agency.

2a.
     
  Any task or obligation in addition to the tasks stemming from Union legislation and not entailing compensation as laid down in Article 58(2)(b), (c), (d) and (e) shall be subject to an assessment and to compensation from the budget of the Union. [Am. 136]

3.   The expenditure of the Agency shall include staff, administrative, infrastructure and operational expenses.

4.   Revenue and expenditure shall be in balance.

5.   Each year, the Management Board, on the basis of a draft drawn up by the Executive Director on the basis of activity-based budgeting, shall produce a statement of estimates of revenue and expenditure for the Agency for the following financial year. This statement of estimates, which shall include a draft establishment plan, shall be forwarded by the Management Board to the Commission by 31 January at the latest.

6.   The statement of estimates shall be forwarded by the Commission to the European Parliament and the Council (hereinafter referred to as the budgetary authority) together with the preliminary draft general budget of the Union.

7.   On the basis of the statement of estimates, the Commission shall enter in the preliminary draft general budget of the Union the estimates it considers necessary for the establishment plan and the amount of the subsidy to be charged to the general budget, which it shall place before the budgetary authority in accordance with Article 314 of the Treaty, together with a description of and justification for any difference between the Agency's statement of estimates and the subsidy to be charged to the general budget.

8.   The budgetary authority shall authorise the appropriations for the subsidy to the Agency. The budgetary authority shall adopt the establishment plan for the Agency.

9.   The budget shall be adopted by the Management Board, by a two-thirds majority of its members entitled to vote. The Budget of the Agency shall become final following final adoption of the general budget of the Union. Where appropriate, it shall be adjusted accordingly.

10.   The Management Board shall notify the budgetary authority as soon as possible of its intention to implement any project which may have significant financial implications for the funding of the budget, in particular any projects relating to property such as the rental or purchase of buildings. It shall inform the Commission thereof. Where a branch of the budgetary authority has notified its intention to deliver an opinion on the project, it shall forward its opinion to the Management Board within six weeks after the date of notification of the project.

Article 59

Implementation and control of the budget

1.   The Executive Director shall implement the budget of the Agency.

2.   By 1 March at the latest following each financial year, the Agency’s accounting officer shall communicate the provisional accounts to the Commission’s accounting officer together with a report on the budgetary and financial management for that financial year. The Commission’s accounting officer shall consolidate the provisional accounts of the institutions and decentralised bodies in accordance with Article 147 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (18) (the general Financial Regulation).

3.   By 31 March at the latest following each financial year, the Commission’s accounting officer shall forward the Agency’s provisional accounts to the Court of Auditors, together with a report on the budgetary and financial management for that financial year. The report on the budgetary and financial management for the financial year shall also be forwarded to the European Parliament and the Council.

The Court of Auditors shall examine these accounts in accordance with Article 287 of the Treaty. It shall publish a report on the Agency’s activities every year.

4.   
  Based, where necessary,
  on receipt of the Court of Auditors’ observations on the Agency’s provisional accounts, under Article 148 of the general Financial Regulation, the Executive Director shall draw up the Agency’s final accounts under his own responsibility and submit them
  , together with a statement of assurance,
  to the Management Board for an opinion

  approval
  . [Am. 137]

5.   The Management Board shall deliver an opinion on the Agency’s final accounts.

6.   The Executive Director shall, by 1 July at the latest following each financial year, forward the final accounts to the European Parliament, the Council, the Commission and the Court of Auditors, together with the Management Board’s opinion.

7.   The final accounts shall be published.

8.   The Executive Director shall send the Court of Auditors a reply to its observations by 30 September at the latest following each financial year. He shall also send this reply to the Management Board.

9.   The Executive Director shall submit to the European Parliament, at the latter’s request, all information necessary for the smooth application of the discharge procedure for the financial year in question, in accordance with Article 165(3) of the general Financial Regulation.

10.   The European Parliament, on a recommendation from the Council acting by a qualified majority, shall, before 30 April of year N + 2 give a discharge to the Executive Director in respect of the implementation of the budget for year N.

Article 60

Financial Regulation

The financial rules applicable to the Agency shall be adopted by the Management Board after the Commission has been consulted. They may not depart from Commission Regulation (EC, Euratom) No 2343/2002 (19) unless such a departure is specifically required for the Agency’s operation and the Commission has given its prior consent.

CHAPTER 11

STAFF

Article 61

General Provisions

1.   The Staff Regulations of the European Union and the Conditions of Employment of Other Servants of the European Union and the rules adopted by agreement between the institutions of the European Union for giving effect to those Staff Regulations shall apply to the staff of the Agency.

2.   In the interest of the service, the Agency shall recruit:

| (a) | staff who are eligible for a contract of indefinite duration, and |
| --- | --- |

(a)

staff who are eligible for a contract of indefinite duration, and

| (b) | staff who are not eligible for a contract of indefinite duration. |
| --- | --- |

(b)

staff who are not eligible for a contract of indefinite duration.

Appropriate implementing rules to this paragraph shall be adopted in accordance with the procedure provided for in Article 110 of the Staff Regulations.

3.   The Agency shall take appropriate administrative measures
  , inter alia through training and prevention strategies,
  to organise its services in order to avoid any conflict

  conflicts
  of interest
  , including relating to post-employment issues such as: ‘revolving doors’ and ‘insider information’
  . [Am. 138]

3a.
     
  The Agency and its staff shall carry out the tasks defined in this Regulation with the highest degree of professional integrity and the requisite technical competence in the specific field. They shall be free from all pressures and inducements, in particular financial inducements, that might influence their judgement or the results of their work, especially from persons or groups with an interest in the results of this work. The Agency shall have sufficient staff to ensure that the tasks defined in this Regulation are carried out properly.

3b.
     
  Staff shall have:

| (a) | a thorough technical and professional grounding covering all the Agency’s activities; |
| --- | --- |

(a)

a thorough technical and professional grounding covering all the Agency’s activities;

| (b) | a satisfactory knowledge of the requirements of the assessments that the Agency carries out and adequate authority to carry out those assessments; |
| --- | --- |

(b)

a satisfactory knowledge of the requirements of the assessments that the Agency carries out and adequate authority to carry out those assessments;

| (c) | appropriate knowledge and understanding of the requirements necessary to formulate the Agency’s decisions; |
| --- | --- |

(c)

appropriate knowledge and understanding of the requirements necessary to formulate the Agency’s decisions;

| (d) | the ability to review opinions delivered and decisions taken by the national safety authorities as well as national regulations. [Am. 139] |
| --- | --- |

(d)

the ability to review opinions delivered and decisions taken by the national safety authorities as well as national regulations. [Am. 139]

Article 62

Executive Director

1.   The Executive Director shall be engaged as a temporary agent of the agency under Article 2(a) of the Conditions of Employment of Other servants.

2.   The Executive Director shall be appointed by the Management Board, from a list of candidates proposed by the Commission, following an open and transparent selection procedure.

For the purpose of concluding the contract of the Executive Director, the Agency shall be represented by the Chair of the Management Board.

Before appointment, the candidate selected by the Management Board may be invited to make a statement before the competent committee of the European Parliament and to answer questions by its members.

3.   The term of office of the Executive Director shall be five years. By the end of this period, the Commission shall undertake an assessment which takes into account the evaluation of the performance of the Executive Director and the Agency's future tasks and challenges.

4.   The Management Board, acting on a proposal from the Commission which takes into account the assessment referred to in paragraph 3, may extend the term of office of the Executive Director once, for no more than five years.

5.   The Management Board shall inform the European Parliament about its intention to extend the Executive Director's term of office. Within the month before any such extension, the Executive Director may be invited to make a statement before the competent committee of the Parliament and answer questions put by its members.

6.   An Executive Director whose term of office has been extended may not participate in another selection procedure for the same post at the end of the overall period.

7.   The Executive Director may be removed from the office only upon a decision of the Management Board acting on a proposal from the Commission.

Article 63

Seconded national experts and other staff

The Agency may

  shall
  also make use of Seconded National Experts
  and, in particular, staff from national safety authorities,
  or other staff not employed by the Agency under the Staff Regulations and the Conditions of Employment of Other Servants.
  The Agency shall adopt and implement a policy to evaluate and manage potential conflicts of interest of seconded national experts including prohibiting them from attending working group meetings when their independence and impartiality could be undermined. [Am. 140]

The Management Board shall adopt a decision laying down rules on the secondment to the Agency of national experts.

CHAPTER 12

GENERAL PROVISIONS

Article 64

Privileges and immunities

The Protocol on the Privileges and Immunities of the European Union shall apply to the agency and its staff
  without prejudice to judicial and/or extra-judicial proceedings relating to the Agency’s remit
  . [Am. 141]

Article 65

Headquarters agreement and operating conditions

1.   The necessary arrangements concerning the accommodation to be provided for the Agency in the host Member State and the facilities to be made available by that Member State together with the specific rules applicable in the Agency’s host Member State to the Executive Director, members of the Management Board, Agency staff and members of their families shall be laid down in a headquarters agreement between the Agency and the host Member State concluded once the Management Board’s approval is obtained and no later than 2015.

2.   The host Member State shall provide the best possible conditions to ensure the proper functioning of the Agency, including multilingual, European-oriented schooling and appropriate transport connections.

Article 66

Liability

-1.
     
  The Agency shall take full responsibility, including accepting contractual and non-contractual liability, for the authorisations and certifications that it issues. [Am. 142]

1.   The contractual liability of the Agency shall be governed by the law applicable to the contract in question.

2.   The Court of Justice of the European Union shall have jurisdiction to give judgment pursuant to any arbitration clause contained in a contract concluded by the Agency.

3.   In the event of non-contractual liability, the Agency shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its departments or by its staff in the course of performance of their duties.

4.   The Court of Justice of the European Union shall have jurisdiction in disputes relating to compensation for damage as referred to in paragraph 3.

Article 67

Language arrangements

-1.
     
  Without prejudice to any agreement between the Agency and the applicant with regards to translation requirements, the documents provided by applicants and holders of certificates and authorisations, in accordance with Articles 12, 16, 17 and 18, to notify the Agency and national safety authorities of those certificates and authorisations, shall be translated into all the official Union languages of the countries in which the rolling stock is used and in which the railway company concerned operates. Each translation shall be the authentic text in the country concerned, including for procedures under Article 56. The authorisation and the certificate shall be issued in all the Union languages of the countries concerned. [Am. 143]

1.   
  Where Article 67(-1) does not apply,
  the provisions laid down in Regulation No 1 of 15 April 1958 determining the languages to be used in the European Economic Community (20) shall apply to the Agency. [Am. 144]

2.   The translation services required for the functioning of the Agency shall be provided by the Translation Centre for the Bodies of the European Union.

Article 68

Participation by third countries in the work of the Agency

1.   Without prejudice to Article 40, the Agency shall be open to participation by third countries, in particular by countries within the scope of the European Neighbourhood Policy, the Enlargement policy countries and EFTA countries which have concluded agreements with the Union under which the countries concerned have adopted and are applying Union legislation

  law
  , or its equivalent national measures, in the field covered by this Regulation.
  This paragraph shall apply, in particular, to countries within the scope of the European Neighbourhood Policy, Union enlargement policy countries and EFTA countries. [Am. 145]

2.   In accordance with the relevant provisions of the agreements referred to in paragraph 1, arrangements between the Agency and the third countries shall be made to set out detailed rules for participation by these countries in the work of the Agency, in particular the nature and extent of such participation. These arrangements shall include provisions on financial contributions and staff. They may provide for representation, without the right to vote, on the Management Board.

The Agency shall sign the arrangements after having received an agreement of the Commission and after consulting the Management Board.

Article 68a

Conflict of interest

1.
     
  The Executive Director, as well as officials seconded by Member States and the Commission on a temporary basis shall make a declaration of commitments and a declaration of interests indicating the absence of any direct or indirect interests, which might be considered prejudicial to their independence. These declarations shall be made in writing on their entry into service and shall be renewed in the event of a change in their personal circumstances. Members of the Administration board, the executive board and the board of appeal shall also make these declarations public together with their curricula vitae. The agency shall publish on its website a list of the members of the bodies described in Article 42 as well as external and in-house experts.

2.
     
  The Administrative Board shall implement a policy to manage and avoid conflicts of interest, which shall at least include:

| (a) | principles for managing and verification of the declarations of interest including rules for making them public taking into consideration Article 77; |
| --- | --- |

(a)

principles for managing and verification of the declarations of interest including rules for making them public taking into consideration Article 77;

| (b) | compulsory training requirements on conflict of interest for the staff of the Agency and seconded national experts; |
| --- | --- |

(b)

compulsory training requirements on conflict of interest for the staff of the Agency and seconded national experts;

| (c) | rules on gifts and invitations; |
| --- | --- |

(c)

rules on gifts and invitations;

| (d) | detailed rules for incompatibilities for staff and members of the Agency once they have ended their employment relation with the Agency; |
| --- | --- |

(d)

detailed rules for incompatibilities for staff and members of the Agency once they have ended their employment relation with the Agency;

| (e) | rules of transparency on Agency's decisions including the minutes of the Boards of the Agency which shall be made public taking into consideration sensitive, classified and commercial information; and |
| --- | --- |

(e)

rules of transparency on Agency's decisions including the minutes of the Boards of the Agency which shall be made public taking into consideration sensitive, classified and commercial information; and

| (f) | sanctions and mechanisms to safeguard the autonomy and independency of the Agency. |
| --- | --- |

(f)

sanctions and mechanisms to safeguard the autonomy and independency of the Agency.

The Agency shall bear in mind the need to maintain balance between the risks and the benefits, in particular as regards the objective of obtaining the best technical advice and expertise, and the management of conflicts of interest. The Executive Director shall include the information related to implementation of that policy when reporting to the European Parliament and the Council in accordance with this Regulation. [Am. 146]

Article 69

Cooperation with national authorities and bodies
  [Am. 147]

1.   The Agency may enter into agreements with relevant national authorities, in particular the National Safety Authorities, and other competent bodies, in relation to the implementation of Articles 12, 16, 17 and 18.
  Such agreements may involve one or more national safety authorities. [Am. 148]

2.   The agreements may include contracting of some of the

  delegating
  tasks
  and responsibilities
  of the Agency to the national authorities, such as checking and preparing files, verifying technical compatibility, performing visits and drafting technical studies. [Am. 149]

2a.
     
  Conversely, a national safety authority may subcontract to the Agency tasks other than those conferred on it in accordance with Article 20 of Directive ... [Railway Interoperability Directive] and Article 16(2) of Directive ... [Railway Safety Directive]. [Am. 150]

3.   The Agency shall ensure that the agreements include at least specified description of tasks and conditions for deliverables, the time-limits applying to their delivery and the level and schedule of payments.

4.   The agreements described in paragraphs 1, 2 and 3 are

  shall clearly specify the levels of responsibility of the Agency and the national safety authorities in respect of tasks carried out by each contractual party as stipulated in the agreements. This shall be
  without prejudice to the overall responsibility of the Agency for performing its tasks as provided for in Articles 12, 16, 17 and 18. [Am. 151]

Article 70

Transparency

Regulation (EC) No 1049/2001 of the European Parliament and of the Council (21) shall apply to documents held by the Agency.

The Management Board shall adopt practical measures for the implementation of Regulation (EC) No 1049/2001 by [...].

Decisions taken by the Agency pursuant to Article 8 of Regulation (EC) No 1049/2001 may form the subject of a complaint to the Ombudsman or of an action before the Court of Justice of the European Union, under Articles 228 and 263 of the Treaty respectively.

The processing of data of a personal nature by Agency shall be subject to the Regulation (EC) No 45/2001 of the European Parliament and of the Council (22).

Article 71

Security rules for protecting classified information

The Agency shall apply the security principles contained in the Commission’s security rules for protecting European Union Classified Information (EUCI) and sensitive non-classified information, as set out in the Annex to Commission Decision 2001/844/EC, ECSC, Euratom (23). This shall cover, inter alia, provision for exchanging, processing and storing such information.

Article 72

Combating fraud
  and monitoring performance [Am. 152]

1.   In order to facilitate combating fraud, corruption and other unlawful activities under Regulation (EC) No 1073/1999, within six months from the day of entry into force of this Regulation, the Agency shall accede to the Inter-institutional Agreement of 25 May 1999 concerning internal investigations by the European Anti-fraud Office (OLAF) and adopt the appropriate provisions applicable to all the employees of the Agency using the template set out in the Annex to that Agreement.

2.   The European Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds from the Agency.

2a.
     
  The European Court of Auditors shall monitor the performance and decision-making of the Agency through audit and inspections. [Am. 153]

3.   OLAF may carry out investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Regulation (EC) No 1073/1999 and Council Regulation (Euratom, EC) No 2185/96 (24) with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with a grant or a contract funded by the Agency.

4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, contracts, grant agreements and grant decisions of the Agency shall contain provisions expressly empowering the European Court of Auditors and OLAF to conduct such audits and investigations, according to their respective competences.

CHAPTER 13

FINAL PROVISIONS

Article 73

Delegated acts relating to Articles 12, 16, 17 and, 18
  and 41 [Am. 154]

1.   The Commission shall be empowered to adopt delegated acts in accordance with Article 74 concerning fees and charges in application of Articles 12, 16, 17 and 18.

2.   The measures referred to in paragraph 1 shall determine in particular the matters for which fees and charges pursuant to Articles 12, 16, 17 and 18 are due, the amount of the fees and charges and the way in which they are to be paid.

3.   Fees and charges shall be levied for:

| (a) | the issuing and renewal of authorisations for placing in service of trackside control-command and signalling subsystems, authorisations for placing on the market for vehicles and for types of vehicles, including possible indication of compatibility with the networks or lines; |
| --- | --- |

(a)

the issuing and renewal of authorisations for placing in service of trackside control-command and signalling subsystems, authorisations for placing on the market for vehicles and for types of vehicles, including possible indication of compatibility with the networks or lines;

| (b) | the issuing and renewal of safety certificates; |
| --- | --- |

(b)

the issuing and renewal of safety certificates;

| (c) | the provision of services; they shall reflect the actual cost of each individual provision; |
| --- | --- |

(c)

the provision of services; they shall reflect the actual cost of each individual provision;

| (d) | the processing of appeals. |
| --- | --- |

(d)

the processing of appeals.

All fees and charges shall be expressed, and payable, in euro.

4.   The amount of the fees and charges
  relating to the Agency
  shall be fixed at such a level as to ensure that the revenue in respect thereof is sufficient to cover the full cost of the services delivered. All expenditures of the Agency attributed to staff involved in activities referred to in paragraph 3, including the employer's pro-rata contribution to the pension scheme, shall be in particular reflected in this cost. Should a significant imbalance resulting from the provision of the services covered by fees and charges become recurrent, the revision of the level of the fees and charges shall become mandatory. [Am. 155]

4a.
     
  The Commission shall also be empowered to adopt delegated acts in accordance with Article 74 concerning standardisation of railway spare parts in application of Article 41. [Am. 156]

Article 74

Exercise of the delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The delegation of power
  to adopt delegated acts
  referred to in Article 73 shall be conferred on the Commission for an indeterminate

  a
  period of time

  five years
  from the date of entry into force of this Regulation.
  The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. Provided the report has been received, the delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. [Am. 157]

3.   The delegation of power referred to in Article 73 may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Article 73 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of [2 months] of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by [2 months] at the initiative of the European Parliament or the Council.

Article 75

Committee procedure

The Commission shall be assisted by the committee established by Article 21 of Council Directive 96/48/EC (25). That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

Where reference is made to this Article, Article 4 of Regulation (EU) No 182/2011 shall apply.

Article 76

Evaluation and review

1.   No later than five years after the entry into force of this Regulation and every five years thereafter, the Commission shall commission an evaluation to assess, in particular, the impact, effectiveness and efficiency of the Agency and its working practices.
  The evaluation shall take account of the views of the representatives of the railway sector, of the social partners and of consumer organisations.
  The evaluation shall address, in particular, any need to amend the mandate of the Agency, and the financial implications of any such amendment. [Am. 158]

2.   The Commission shall forward the evaluation report together with its conclusions on the report to the European Parliament, the Council and the Management Board. The findings of the evaluation shall be made public.

3.   On the occasion of every second evaluation, there shall also be an assessment of the results achieved by the Agency having regard to its objectives, mandate and tasks.

Article 77

Transitional provisions

1.   The Agency replaces and succeeds the European Railway Agency established by Regulation (EC) No 881/2004 as regards all ownership, agreements, legal obligations, employments contracts, financial commitments and liabilities.

2.   By way of derogation from Article 43, the Members of the Administrative Board appointed under Regulation (EC) No 881/2004 before the date of entry into force of this Regulation, shall remain in office until the expiry date of their term as Members of the Management Board.

By way of derogation from Article 49, the Executive Director which has been appointed in accordance with Regulation (EC) No 881/2004 shall remain in office until the expiry date of his term.

3.   By way of derogation from Article 61, all employment contracts in force on the date of entry into force of this Regulation, shall be honoured until their expiry date.

3a.
     
  The Agency shall undertake the certification and authorisation tasks pursuant to Articles 12, 16, 17 and 18 within one year following the entry into force of this Regulation. Until then, Member States shall continue to apply their national legislation. [Am. 159]

3b.
     
  For an additional period of three years after the one-year period laid down in Article 77(3a), applicants may apply either to the Agency or the national safety authority. During this period, national safety authorities may continue to issue certificates and authorisations by way of derogation from Articles 12, 16, 17 and 18, in accordance with Directives 2008/57/EC and 2004/49/EC. [Am. 160]

3c.
     
  In the cases referred to in Article 10(2a) of Directive ... [the Safety Directive] and Article 20 (9a) of Directive... [Railway Interoperability Directive] the national safety authorities may continue to issue certificates and authorisations after the period referred in paragraph 3b of this Article, under the conditions stipulated in those Articles. [Am. 161]

Article 78

Repeal

Regulation (EC) No 881/2004 is repealed.

Article 79

Entry into force

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

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification (Railway Safety Directive) (OJ L 164, 30.4.2004, p. 44).

4

(5)  Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community (OJ L 191, 18.7.2008, p. 1).

5

(6)  Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30).

6

(7)  Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the Trans-European transport network (OJ L 228, 9.9.1996, p. 1).

7

(8)  Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF) (OJ L 136, 31.5.1999, p. 1).

8

(9)  OJ L 136, 31.5.1999, p. 15.

9

(10)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

10

(11)  Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (OJ L 315, 3.12.2007, p. 51).

11

(12)  Commission Decision 98/500/EC of 20 May 1998 on the establishment of Sectoral Dialogue Committees promoting the dialogue between the social partners at European level (OJ L 225, 12.8.1998, p. 27).

12

(13)  Directive 2012/34/EU
  of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area
  (

  OJ L 343, 14.12.2012, p. 32.)

13

of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area

OJ L 343, 14.12.2012, p. 32.)

(14)  Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).

14

(15)  Commission Decision 2012/88/EU of 25 January 2012 on the technical specification for interoperability relating to the control-command and signalling subsystems of the trans-European rail system (OJ L 51, 23.2.2012, p. 1).

15

(16)  Regulation (EU) No 913/2010 of the European Parliament and of the Council of 22 September 2010 concerning a European rail network for competitive freight (OJ L 276, 20.10.2010, p. 22).

16

(17)  Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers’ rights and obligations (OJ L 315, 3.12.2007, p. 14).

17

(18)  Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1).

18

(19)  Commission Regulation (EC, Euratom) No 2343/2002 of 23 December 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities (OJ L 357, 31.12.2002, p. 72).

19

(20)  OJ 17, 6.10.1958, p. 385.

20

(21)  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 (OJ L 145, 31.5.2001, p. 43).

21

(22)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1),

22

(23)  Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal rules of procedure (OJ L 317, 3.12.2001, p. 1).

23

(24)  Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15.11.1996, p. 2).

24

(25)  Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system (OJ L 235, 17.9.1996, p. 6).

25

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/565 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/565

---

P7_TA(2014)0152

Normalisation of the accounts of railway undertakings ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings (COM(2013)0026 — C7-0026/2013 — 2013/0013(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/57)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0026), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0026),

| — | having regard to Article 294(2) and Articles 91 and 109 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0026/2013), |
| --- | --- |

—

having regard to Article 294(2) and Articles 91 and 109 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0026/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 11 June 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 11 June 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 8 October 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 8 October 2013 (2),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism (A7-0472/2013), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism (A7-0472/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 122.

(2)  OJ C 356, 5.12.2013, p. 92.

---

P7_TC1-COD(2013)0013

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council repealing Regulation (EEC) No 1192/69 of the Council on common rules for the normalisation of the accounts of railway undertakings

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 91 and 109 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

| (1) | Regulation (EEC) No 1192/69 of the Council (4) allows Member States to compensate 36 enumerated railway undertakings for the payment of obligations which undertakings of other transport modes do not have to support. Correct application of the rules for normalisation results in Member States being exempted from State aid notification obligations. |
| --- | --- |

(1)

Regulation (EEC) No 1192/69 of the Council (4) allows Member States to compensate 36 enumerated railway undertakings for the payment of obligations which undertakings of other transport modes do not have to support. Correct application of the rules for normalisation results in Member States being exempted from State aid notification obligations.

| (2) | A series of legislative measures has been adopted at European level, opening up the rail freight and international rail passenger markets to competition and establishing, by way of Directive 2012/34/EU of the European Parliament and of the Council (5), certain fundamental principles which include that railway undertakings shall be managed according to principles that apply to commercial companies, that entities responsible for the allocation of capacity and charging for rail infrastructure shall be separate from entities which operate rail services and that there shall be a separation of accounts, that any railway undertaking licensed in accordance with EU criteria should have access to railway infrastructure on fair, non-discriminatory terms, and that infrastructure managers may benefit from State financing.
  The time limit for transposition of Directive 2012/34/EU into national law is 16 June 2015. [Am. 1] |
| --- | --- |

(2)

A series of legislative measures has been adopted at European level, opening up the rail freight and international rail passenger markets to competition and establishing, by way of Directive 2012/34/EU of the European Parliament and of the Council (5), certain fundamental principles which include that railway undertakings shall be managed according to principles that apply to commercial companies, that entities responsible for the allocation of capacity and charging for rail infrastructure shall be separate from entities which operate rail services and that there shall be a separation of accounts, that any railway undertaking licensed in accordance with EU criteria should have access to railway infrastructure on fair, non-discriminatory terms, and that infrastructure managers may benefit from State financing.
  The time limit for transposition of Directive 2012/34/EU into national law is 16 June 2015. [Am. 1]

| (3) | Regulation (EEC) No 1192/69 is inconsistent and incompatible with legislative measures currently in force. In particular, in the context of a liberalised market where railway undertakings compete directly with the enumerated railway undertakings, it is no longer appropriate to discriminate between these two groups of different undertakings. |
| --- | --- |

(3)

Regulation (EEC) No 1192/69 is inconsistent and incompatible with legislative measures currently in force. In particular, in the context of a liberalised market where railway undertakings compete directly with the enumerated railway undertakings, it is no longer appropriate to discriminate between these two groups of different undertakings.

| (4) | As a consequence, it is appropriate to repeal Regulation (EEC) No 1192/69 to eliminate inconsistencies in the EU legal order and this will contribute to simplification by eliminating a legal act which is now obsolete, |
| --- | --- |

(4)

As a consequence, it is appropriate to repeal Regulation (EEC) No 1192/69 to eliminate inconsistencies in the EU legal order and this will contribute to simplification by eliminating a legal act which is now obsolete,

HAVE ADOPTED THIS REGULATION:

Article 1

Regulation (EEC) No 1192/69 is repealed.

Article 2

This Regulation shall enter into force on the day following that of

  two years after
  its publication in the Official Journal of the European Union. [Am. 2]

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 327, 12.11.2013, p. 122.

1

(2)  OJ C 356, 5.12.2013, p. 92.

2

(3)  Position of the European Parliament of 26 February 2014.

3

(4)  Regulation (EEC) No 1192/69 of the Council of 26 June 1969 on common rules for the normalisation of the accounts of railway undertakings (OJ L 156, 28.6.1969, p. 8).

4

(5)  Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (recast) (

  OJ L 343, 14.12.2012, p. 32).

5

OJ L 343, 14.12.2012, p. 32).

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/567 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/567

---

P7_TA(2014)0153

Occurrence reporting in civil aviation ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and Commission Regulation (EC) No 1330/2007 (COM(2012)0776 — C7-0418/2012 — 2012/0361(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/58)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0776), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0776),

| — | having regard to Article 294(2) and Article 100(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0418/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 100(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0418/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 17 April 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 17 April 2013 (1),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to the undertaking given by the Council representative by letter of 2 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 2 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Transport and Tourism (A7-0317/2013), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism (A7-0317/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 198, 10.7.2013, p. 73.

---

P7_TC1-COD(2012)0361

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council, and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 376/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/568 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/568

---

P7_TA(2014)0154

Deployment of the eCall in-vehicle system ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system and amending Directive 2007/46/EC (COM(2013)0316 — C7-0174/2013 — 2013/0165(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/59)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0316), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0316),

| — | having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0174/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0174/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 19 September 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 19 September 2013 (1),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Civil Liberties, Justice and Home Affairs, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0106/2014), |
| --- | --- |

—

having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Civil Liberties, Justice and Home Affairs, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0106/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 341, 21.11.2013, p. 47.

---

P7_TC1-COD(2013)0165

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council concerning type-approval requirements for the deployment of the eCall in-vehicle system based on the 112 service and amending Directive 2007/46/EC [Am. 1]

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,

Having regard to the proposal of the European Commission,

After transmission of the draft legislative act to the national Parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of the European Data Protection Supervisor,

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | A comprehensive Union type-approval system for motor vehicles has been established by Directive 2007/46/EC of the European Parliament and of the Council (3). |
| --- | --- |

(1)

A comprehensive Union type-approval system for motor vehicles has been established by Directive 2007/46/EC of the European Parliament and of the Council (3).

| (2) | The technical requirements for the type-approval of motor vehicles with regard to numerous safety and environmental elements have been harmonised at Union level in order to ensure a high level of road safety throughout the Union. |
| --- | --- |

(2)

The technical requirements for the type-approval of motor vehicles with regard to numerous safety and environmental elements have been harmonised at Union level in order to ensure a high level of road safety throughout the Union.

| (2a) | The deployment of an eCall service available in all vehicles and in all Member States has been one of the high Union priorities in the area of road safety since 2003. In order to achieve that objective, a series of initiatives have been launched, as part of a voluntary deployment approach, but have not achieved sufficient progress to date. [Am. 2] |
| --- | --- |

(2a)

The deployment of an eCall service available in all vehicles and in all Member States has been one of the high Union priorities in the area of road safety since 2003. In order to achieve that objective, a series of initiatives have been launched, as part of a voluntary deployment approach, but have not achieved sufficient progress to date. [Am. 2]

| (3) | In order to further improve road safety, the
  Commission
  Communication
  of 21 August 2009 entitled
  : ‘eCall: Time for Deployment’
   (4)
  proposes new measures to accelerate the deployment of

  deploy
  an in-vehicle emergency call service in the Union. One of the suggested measures is to make mandatory the fitting of
  112-based
  eCall in-vehicle systems in all new vehicles starting with M1 and N1 vehicle categories as defined in Annex II to Directive 2007/46/EC. [Am. 3] |
| --- | --- |

(3)

In order to further improve road safety, the
  Commission
  Communication
  of 21 August 2009 entitled
  : ‘eCall: Time for Deployment’
   (4)
  proposes new measures to accelerate the deployment of

  deploy
  an in-vehicle emergency call service in the Union. One of the suggested measures is to make mandatory the fitting of
  112-based
  eCall in-vehicle systems in all new vehicles starting with M1 and N1 vehicle categories as defined in Annex II to Directive 2007/46/EC. [Am. 3]

| (4) | On 3 July 2012, the European Parliament approved the Report on eCall: a new 112 service for citizens urging the Commission to submit a proposal within the framework of Directive 2007/46/EC in order to ensure the mandatory deployment of a public, 112-based eCall system by 2015. |
| --- | --- |

(4)

On 3 July 2012, the European Parliament approved the Report on eCall: a new 112 service for citizens urging the Commission to submit a proposal within the framework of Directive 2007/46/EC in order to ensure the mandatory deployment of a public, 112-based eCall system by 2015.

| (4a) | It is still necessary to improve the operation of the 112 service throughout the Union, so that it provides assistance swiftly and effectively in emergencies. [Am. 4] |
| --- | --- |

(4a)

It is still necessary to improve the operation of the 112 service throughout the Union, so that it provides assistance swiftly and effectively in emergencies. [Am. 4]

| (5) | The Union eCall system is expected to reduce the number of fatalities in the Union as well as the severity of injuries caused by road accidents
  , thanks to the early alerting of the emergency services
  . The mandatory introduction of the
  112-based
  eCall in-vehicle system
  , together with the necessary and coordinated infrastructure upgrade in electronic communication networks for conveying eCalls and Public Safety Answering Points (PSAPs) for receiving eCalls,
  would make the service available to all citizens and thus contribute to reduce human suffering and

  the reduction of fatalities and severe injuries, of costs relating to
  healthcare
  , of congestion caused by accidents
  and
  of
  other costs. [Am. 5] |
| --- | --- |

(5)

The Union eCall system is expected to reduce the number of fatalities in the Union as well as the severity of injuries caused by road accidents
  , thanks to the early alerting of the emergency services
  . The mandatory introduction of the
  112-based
  eCall in-vehicle system
  , together with the necessary and coordinated infrastructure upgrade in electronic communication networks for conveying eCalls and Public Safety Answering Points (PSAPs) for receiving eCalls,
  would make the service available to all citizens and thus contribute to reduce human suffering and

  the reduction of fatalities and severe injuries, of costs relating to
  healthcare
  , of congestion caused by accidents
  and
  of
  other costs. [Am. 5]

| (5a) | The eCall system will represent an important structure composed of multiple actors dealing with the safety of lives. Therefore it is essential that the liability aspect is covered by this Regulation in order to enable users to have full confidence and the eCall system to run smoothly. [Am. 6] |
| --- | --- |

(5a)

The eCall system will represent an important structure composed of multiple actors dealing with the safety of lives. Therefore it is essential that the liability aspect is covered by this Regulation in order to enable users to have full confidence and the eCall system to run smoothly. [Am. 6]

| (6) | The provision of accurate and reliable positioning information
  in emergencies
  is an essential element of the effective operation of the
  112-based
  eCall in-vehicle system. Therefore, it is appropriate to require its compatibility with the services provided by satellite navigation programmes, including

  in particular
  the systems established under the Galileo and EGNOS programmes
  as
  set out in Regulation (EC) No 683/2008

  (EU) No 1285/2013
  of the European Parliament and of the Councilof 9 July 2008 on the further implementation of the European satellite navigation programmes (EGNOS and Galileo)
   (5). [Am. 7] |
| --- | --- |

(6)

The provision of accurate and reliable positioning information
  in emergencies
  is an essential element of the effective operation of the
  112-based
  eCall in-vehicle system. Therefore, it is appropriate to require its compatibility with the services provided by satellite navigation programmes, including

  in particular
  the systems established under the Galileo and EGNOS programmes
  as
  set out in Regulation (EC) No 683/2008

  (EU) No 1285/2013
  of the European Parliament and of the Councilof 9 July 2008 on the further implementation of the European satellite navigation programmes (EGNOS and Galileo)
   (5). [Am. 7]

| (7) | The mandatory equipping of vehicles with the
  112-based
  eCall in-vehicle system should initially apply only to new
  types of
  passenger cars and light commercial vehicles (categories M1 and N1) for which an appropriate triggering mechanism already exists.
  The possibility of extending the application of the 112-based eCall in-vehicle system requirement in the near future to include other vehicle categories, such as heavy goods vehicles (HGVs), buses and coaches, powered two-wheelers (PTW) and agricultural tractors, should be further assessed by the Commission with a view to presenting, if appropriate, a legislative proposal. [Am. 8] |
| --- | --- |

(7)

The mandatory equipping of vehicles with the
  112-based
  eCall in-vehicle system should initially apply only to new
  types of
  passenger cars and light commercial vehicles (categories M1 and N1) for which an appropriate triggering mechanism already exists.
  The possibility of extending the application of the 112-based eCall in-vehicle system requirement in the near future to include other vehicle categories, such as heavy goods vehicles (HGVs), buses and coaches, powered two-wheelers (PTW) and agricultural tractors, should be further assessed by the Commission with a view to presenting, if appropriate, a legislative proposal. [Am. 8]

| (7a) | The equipping of vehicles of existing types to be manufactured after 1 October 2015 with the 112-based eCall in-vehicle system should be promoted in order to increase penetration. In respect of types of vehicles type-approved before 1 October 2015, an eCall system may be retrofitted on a voluntary basis. [Am. 9] |
| --- | --- |

(7a)

The equipping of vehicles of existing types to be manufactured after 1 October 2015 with the 112-based eCall in-vehicle system should be promoted in order to increase penetration. In respect of types of vehicles type-approved before 1 October 2015, an eCall system may be retrofitted on a voluntary basis. [Am. 9]

| (7b) | The public interoperable Union-wide eCall service based on the single European emergency call number 112 (‘emergency number 112’) and private eCall services (third party service supported eCall systems) can coexist provided that the measures necessary to ensure continuity in the provision of the service to the consumer are adopted. In order to ensure continuity of the public 112-based eCall service in all Member States throughout the lifetime of the vehicle and to guarantee that the public 112-based eCall service is always automatically available, all vehicles should be equipped with the public 112-based eCall service, regardless of whether or not a vehicle buyer opts for a private eCall service. [Am. 10] |
| --- | --- |

(7b)

The public interoperable Union-wide eCall service based on the single European emergency call number 112 (‘emergency number 112’) and private eCall services (third party service supported eCall systems) can coexist provided that the measures necessary to ensure continuity in the provision of the service to the consumer are adopted. In order to ensure continuity of the public 112-based eCall service in all Member States throughout the lifetime of the vehicle and to guarantee that the public 112-based eCall service is always automatically available, all vehicles should be equipped with the public 112-based eCall service, regardless of whether or not a vehicle buyer opts for a private eCall service. [Am. 10]

| (7c) | Consumers should be provided with a realistic overview of the 112-based eCall in-vehicle system and of the private eCall system, if the vehicle is equipped with one, as well as comprehensive and reliable information regarding any additional functionalities or services linked to the private emergency service, in-vehicle emergency or assistance-call applications on offer, and regarding the level of service to be expected with the purchase of third party services and the associated cost. The 112-based eCall is a public service of general interest and should therefore be accessible free of charge to all consumers. [Am. 11] |
| --- | --- |

(7c)

Consumers should be provided with a realistic overview of the 112-based eCall in-vehicle system and of the private eCall system, if the vehicle is equipped with one, as well as comprehensive and reliable information regarding any additional functionalities or services linked to the private emergency service, in-vehicle emergency or assistance-call applications on offer, and regarding the level of service to be expected with the purchase of third party services and the associated cost. The 112-based eCall is a public service of general interest and should therefore be accessible free of charge to all consumers. [Am. 11]

| (8) | The mandatory equipping of vehicles with the
  112-based
  eCall in-vehicle system should be without prejudice to the right of all stakeholders such as car manufacturers and independent operators to offer additional emergency and/or added value services, in parallel with or building on the 112-based eCall in-vehicle system. However, these

  any
  additional services should be designed in such a way that they do not increase driver distraction
  or affect the functioning of the 112-based eCall in-vehicle system and the efficient work of emergency call centres.


  The 112-based eCall in-vehicle system and the system providing private or added-value services should be designed in such a way that no exchange of personal data between them is possible. Where provided, those services should comply with the applicable safety, security and data protection legislation and should always remain optional for consumers
  . [Am. 12] |
| --- | --- |

(8)

The mandatory equipping of vehicles with the
  112-based
  eCall in-vehicle system should be without prejudice to the right of all stakeholders such as car manufacturers and independent operators to offer additional emergency and/or added value services, in parallel with or building on the 112-based eCall in-vehicle system. However, these

  any
  additional services should be designed in such a way that they do not increase driver distraction
  or affect the functioning of the 112-based eCall in-vehicle system and the efficient work of emergency call centres.


  The 112-based eCall in-vehicle system and the system providing private or added-value services should be designed in such a way that no exchange of personal data between them is possible. Where provided, those services should comply with the applicable safety, security and data protection legislation and should always remain optional for consumers
  . [Am. 12]

| (9) | In order to ensure open choice for customers and fair competition, as well as encourage innovation and boost the competitiveness of the Union’s information technology industry on the global market, the
  112-based
  eCall in-vehicle system should be accessible free of charge and without discrimination to all independent operators and based on an interoperable, and open-access
  , secured and standardised
  platform for possible future in-vehicle applications or services.
  As this requires technical and legal back-up, the Commission should assess without delay, on the basis of consultations with all stakeholders involved, including vehicle manufacturers and independent operators, all possibilities to promote and ensure such an open-access platform and, if appropriate, put forward a legislative proposal to that effect. Further clarifications should be provided on the conditions under which third parties providing added value services can have access to data stored in the 112-based in-vehicle system. Furthermore, the 112-based eCall in-vehicle system should be accessible free of charge and without discrimination to all independent operators for repair and maintenance purposes. [Am. 13] |
| --- | --- |

(9)

In order to ensure open choice for customers and fair competition, as well as encourage innovation and boost the competitiveness of the Union’s information technology industry on the global market, the
  112-based
  eCall in-vehicle system should be accessible free of charge and without discrimination to all independent operators and based on an interoperable, and open-access
  , secured and standardised
  platform for possible future in-vehicle applications or services.
  As this requires technical and legal back-up, the Commission should assess without delay, on the basis of consultations with all stakeholders involved, including vehicle manufacturers and independent operators, all possibilities to promote and ensure such an open-access platform and, if appropriate, put forward a legislative proposal to that effect. Further clarifications should be provided on the conditions under which third parties providing added value services can have access to data stored in the 112-based in-vehicle system. Furthermore, the 112-based eCall in-vehicle system should be accessible free of charge and without discrimination to all independent operators for repair and maintenance purposes. [Am. 13]

| (9a) | The introduction of any additional in-vehicle application or service should not delay the entry into force and application of this Regulation. [Am. 14] |
| --- | --- |

(9a)

The introduction of any additional in-vehicle application or service should not delay the entry into force and application of this Regulation. [Am. 14]

| (10) | In order to maintain the integrity of the type-approval system, only those
  112-based
  eCall in-vehicle systems which can be fully tested should be accepted for the purposes of this Regulation. |
| --- | --- |

(10)

In order to maintain the integrity of the type-approval system, only those
  112-based
  eCall in-vehicle systems which can be fully tested should be accepted for the purposes of this Regulation.

| (10a) | The 112-based eCall in-vehicle system, as an emergency system, requires the highest possible level of reliability. The accuracy of the minimum set of data and of the voice transmission and quality should be ensured, and a uniform testing regime should be developed to ensure the longevity and durability of the 112-based eCall in-vehicle system. Periodic technical inspections should therefore be carried out regularly in accordance with Directive 2014/45/EU of the European Parliament and of the Council

   (6)

  . Detailed provisions for the testing should be included in the relevant Annex thereof. [Am. 15] |
| --- | --- |

(10a)

The 112-based eCall in-vehicle system, as an emergency system, requires the highest possible level of reliability. The accuracy of the minimum set of data and of the voice transmission and quality should be ensured, and a uniform testing regime should be developed to ensure the longevity and durability of the 112-based eCall in-vehicle system. Periodic technical inspections should therefore be carried out regularly in accordance with Directive 2014/45/EU of the European Parliament and of the Council

   (6)

  . Detailed provisions for the testing should be included in the relevant Annex thereof. [Am. 15]

| (11) | Small series vehicles are excluded under Directive 2007/46/EC from the requirements on the protection of occupants in the case of frontal impact and side impact. Therefore, those small series vehicles should be excluded from the obligation to comply with the eCall requirements
  set out in this Regulation
  . [Am. 16] |
| --- | --- |

(11)

Small series vehicles are excluded under Directive 2007/46/EC from the requirements on the protection of occupants in the case of frontal impact and side impact. Therefore, those small series vehicles should be excluded from the obligation to comply with the eCall requirements
  set out in this Regulation
  . [Am. 16]

| (12) | Special purpose vehicles should be subject to compliance with the eCall requirements set out in this Regulation, unless type-approval authorities consider, on a case by case basis, that the vehicle cannot meet those requirements due to its special purpose.
  [Am. 17] |
| --- | --- |

(12)

Special purpose vehicles should be subject to compliance with the eCall requirements set out in this Regulation, unless type-approval authorities consider, on a case by case basis, that the vehicle cannot meet those requirements due to its special purpose.
  [Am. 17]

| (13) | According to the recommendations made by the Article 29 Data Protection Working Party and contained in the ‘Working document on data protection and privacy implications in eCall initiative’, adopted on 26 September 2006, any processing of personal data through the eCall in-vehicle system should comply with the personal data protection rules provided for in Directive 95/46/EC of the European Parliament and of the Council (7), of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data and in Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)
   (8),
  and Articles 7 and 8 of the Charter of Fundamental Rights of the European Union govern the processing of personal data carried out in the context of this Regulation. Any processing of data through the 112-based eCall in-vehicle system should therefore be carried out in accordance with those Directives and under the supervision of the Member States' competent authorities, in particular the independent public authorities designated by the Member States pursuant to those Directives,
  in particular to guarantee that vehicles equipped with
  112-based
  eCall in-vehicle systems, in their normal operational status related to 112 eCall, are not traceable and are not subject to any constant tracking and that the minimum set of data sent by the
  112-based
  eCall in-vehicle system includes
  only
  the minimum information required for the appropriate handling of emergency calls
  by PSAPs, and that no personal data is stored after that
  .
  Given the consent of the data subject or a contract between both parties, other conditions may apply in case another emergency call system is installed in the vehicle in addition to the 112-based eCall in-vehicle system, but it should nevertheless comply with those Directives
  . [Am. 18] |
| --- | --- |

(13)

According to the recommendations made by the Article 29 Data Protection Working Party and contained in the ‘Working document on data protection and privacy implications in eCall initiative’, adopted on 26 September 2006, any processing of personal data through the eCall in-vehicle system should comply with the personal data protection rules provided for in Directive 95/46/EC of the European Parliament and of the Council (7), of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data and in Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications)
   (8),
  and Articles 7 and 8 of the Charter of Fundamental Rights of the European Union govern the processing of personal data carried out in the context of this Regulation. Any processing of data through the 112-based eCall in-vehicle system should therefore be carried out in accordance with those Directives and under the supervision of the Member States' competent authorities, in particular the independent public authorities designated by the Member States pursuant to those Directives,
  in particular to guarantee that vehicles equipped with
  112-based
  eCall in-vehicle systems, in their normal operational status related to 112 eCall, are not traceable and are not subject to any constant tracking and that the minimum set of data sent by the
  112-based
  eCall in-vehicle system includes
  only
  the minimum information required for the appropriate handling of emergency calls
  by PSAPs, and that no personal data is stored after that
  .
  Given the consent of the data subject or a contract between both parties, other conditions may apply in case another emergency call system is installed in the vehicle in addition to the 112-based eCall in-vehicle system, but it should nevertheless comply with those Directives
  . [Am. 18]

| (13a) | This Regulation takes into account the recommendations made by the Article 29 Working Party established by Directive 95/46/EC in its ‘Working document on data protection and privacy implications in eCall initiative’ of 26 September 2006

   (9)
  . [Ams. 19 and 90] |
| --- | --- |

(13a)

This Regulation takes into account the recommendations made by the Article 29 Working Party established by Directive 95/46/EC in its ‘Working document on data protection and privacy implications in eCall initiative’ of 26 September 2006

   (9)
  . [Ams. 19 and 90]

| (13b) | When complying with technical requirements, vehicle manufacturers should integrate technical forms of data protection into in-vehicle systems and should comply with the principle of ‘privacy by design’
  . [Am. 20] |
| --- | --- |

(13b)

When complying with technical requirements, vehicle manufacturers should integrate technical forms of data protection into in-vehicle systems and should comply with the principle of ‘privacy by design’
  . [Am. 20]

| (14) | The European Standardisation Organisations, ETSI and CEN, have developed common standards for the deployment of a pan-European eCall service, which should apply for the purposes of this Regulation, as this will facilitate the technological evolution of the in-vehicle eCall service, ensure the interoperability and continuity of the service throughout the Union, and reduce the costs of implementation for the Union as a whole. |
| --- | --- |

(14)

The European Standardisation Organisations, ETSI and CEN, have developed common standards for the deployment of a pan-European eCall service, which should apply for the purposes of this Regulation, as this will facilitate the technological evolution of the in-vehicle eCall service, ensure the interoperability and continuity of the service throughout the Union, and reduce the costs of implementation for the Union as a whole.

| (15) | In order to ensure the application of common technical requirements regarding the
  112-based
  eCall in-vehicle system, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the detailed rules on the application of the relevant standards, on testing, on personal data and privacy protection and on exemptions for certain vehicles or classes of vehicles of categories M1 and N1. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level
  , consulting in particular the European Data Protection Supervisor, the Article 29 Working Party and consumer protection organisations
  . The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 21] |
| --- | --- |

(15)

In order to ensure the application of common technical requirements regarding the
  112-based
  eCall in-vehicle system, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the detailed rules on the application of the relevant standards, on testing, on personal data and privacy protection and on exemptions for certain vehicles or classes of vehicles of categories M1 and N1. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level
  , consulting in particular the European Data Protection Supervisor, the Article 29 Working Party and consumer protection organisations
  . The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 21]

| (16) | Vehicle manufacturers should be allowed sufficient time to adapt to the technical requirements of this Regulation
  and the delegated acts adopted pursuant to this Regulation in order to be able to carry out the necessary studies and tests under various conditions, as required, and thus ensure that the 112-based eCall in-vehicle system is fully reliable
  . [Am. 22] |
| --- | --- |

(16)

Vehicle manufacturers should be allowed sufficient time to adapt to the technical requirements of this Regulation
  and the delegated acts adopted pursuant to this Regulation in order to be able to carry out the necessary studies and tests under various conditions, as required, and thus ensure that the 112-based eCall in-vehicle system is fully reliable
  . [Am. 22]

| (17) | This Regulation is a new separate Regulation in the context of the EC type-approval procedure provided for in Directive 2007/46/EC and, therefore, Annexes I, III, IV, VI and IX to that Directive should be amended accordingly. |
| --- | --- |

(17)

This Regulation is a new separate Regulation in the context of the EC type-approval procedure provided for in Directive 2007/46/EC and, therefore, Annexes I, III, IV, VI and IX to that Directive should be amended accordingly.

| (18) | Since the objective of this Regulation, namely the achievement of the internal market through the introduction of common technical requirements for new type approved vehicles equipped with the
  112-based
  eCall in-vehicle system, cannot be sufficiently achieved by the Member States but can rather, by reason of its scale, be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective, |
| --- | --- |

(18)

Since the objective of this Regulation, namely the achievement of the internal market through the introduction of common technical requirements for new type approved vehicles equipped with the
  112-based
  eCall in-vehicle system, cannot be sufficiently achieved by the Member States but can rather, by reason of its scale, be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective,

HAVE ADOPTED THIS REGULATION:

Article 1

Subject matter

This Regulation establishes the technical requirements for the EC type-approval of vehicles regarding the
  112-based
  eCall in-vehicle system.

Article 2

Scope

This Regulation shall apply to vehicles of categories M1 and N1 as defined in points 1.1.1. and 1.2.1. of Annex II to Directive 2007/46/EC.

This Regulation shall not apply to small series vehicles. [Am. 23]

Article 3

Definitions

For the purpose of this Regulation and in addition to the definitions laid down in Article 3 of Directive 2007/46/EC and in Article 2 of Commission Delegated Regulation (EU) No 305/2013

   (10)
  , the following definitions shall apply: [Am. 24]

| (1) | ‘
  112-based
  e-Call in-vehicle system’ means a

  an emergency
  system
  , comprising in-vehicle equipment and the means to trigger, manage and enact the eCall transmission, that is
  activated either automatically via in-vehicle sensors or manually, which carries,

  emits signals
  by means of
  a public
  mobile wireless communications networks,
  to enable
  a standardised minimum set of data
  to be transmitted
  and establishes a 112-based audio channel between the occupants of the vehicle and a

  the appropriate
  public safety answering point
  to be established
  ; [Am. 25. This amendment applies throughout the text] |
| --- | --- |

(1)

‘
  112-based
  e-Call in-vehicle system’ means a

  an emergency
  system
  , comprising in-vehicle equipment and the means to trigger, manage and enact the eCall transmission, that is
  activated either automatically via in-vehicle sensors or manually, which carries,

  emits signals
  by means of
  a public
  mobile wireless communications networks,
  to enable
  a standardised minimum set of data
  to be transmitted
  and establishes a 112-based audio channel between the occupants of the vehicle and a

  the appropriate
  public safety answering point
  to be established
  ; [Am. 25. This amendment applies throughout the text]

| (2) | ‘in-vehicle system’ means the in-vehicle equipment together with the means to trigger, manage and effect the eCall transmission via a public mobile wireless communications network providing a link between the vehicle and a means of enacting the eCall service via a public mobile wireless communications network.
  [Ams. 26 and 80] |
| --- | --- |

(2)

‘in-vehicle system’ means the in-vehicle equipment together with the means to trigger, manage and effect the eCall transmission via a public mobile wireless communications network providing a link between the vehicle and a means of enacting the eCall service via a public mobile wireless communications network.
  [Ams. 26 and 80]

| (2a) | ‘eCall’ means an in-vehicle emergency call to the emergency number 112, made via the 112-based eCall in-vehicle system; [Am. 27] |
| --- | --- |

(2a)

‘eCall’ means an in-vehicle emergency call to the emergency number 112, made via the 112-based eCall in-vehicle system; [Am. 27]

| (2b) | ‘public safety answering point’ or ‘PSAP’ means a physical location where emergency calls are first received under the responsibility of a public authority or a private organisation recognised by the Member State concerned; [Am. 28] |
| --- | --- |

(2b)

‘public safety answering point’ or ‘PSAP’ means a physical location where emergency calls are first received under the responsibility of a public authority or a private organisation recognised by the Member State concerned; [Am. 28]

| (2c) | ‘minimum set of data’ or ‘MSD’ means the information defined by the standard ‘Road transport and traffic telematics — eSafety — eCall minimum set of data (MSD)’ (EN 15722) which is sent to the eCall PSAP; [Am. 29] |
| --- | --- |

(2c)

‘minimum set of data’ or ‘MSD’ means the information defined by the standard ‘Road transport and traffic telematics — eSafety — eCall minimum set of data (MSD)’ (EN 15722) which is sent to the eCall PSAP; [Am. 29]

| (2d) | ‘in-vehicle equipment’ means equipment permanently installed within the vehicle that provides or has access to the in-vehicle data required for the minimum set of data (MSD) to perform the eCall transaction via a public mobile wireless communications network; [Am. 30] |
| --- | --- |

(2d)

‘in-vehicle equipment’ means equipment permanently installed within the vehicle that provides or has access to the in-vehicle data required for the minimum set of data (MSD) to perform the eCall transaction via a public mobile wireless communications network; [Am. 30]

| (2e) | ‘public mobile wireless communications network’ means mobile wireless communications network available to the public in accordance with Directives 2002/21/EC

   (11)

  and 2002/22/EC

   (12)

  of the European Parliament and of the Council. [Am. 31] |
| --- | --- |

(2e)

‘public mobile wireless communications network’ means mobile wireless communications network available to the public in accordance with Directives 2002/21/EC

   (11)

  and 2002/22/EC

   (12)

  of the European Parliament and of the Council. [Am. 31]

Article 4

General obligations of the Manufacturers

Manufacturers shall demonstrate that all new types of vehicles referred to in Article 2 are equipped with an
  embedded 112-based
  eCall in-vehicle system, in accordance with this Regulation and the delegated acts adopted pursuant to this Regulation. [Am. 32]

Article 5

Specific obligations of manufacturers

1.   Manufacturers shall ensure that all their new types of vehicle are manufactured and approved in accordance with the requirements set out in this Regulation and the delegated acts adopted pursuant to this Regulation.

2.   Manufacturers shall demonstrate that all their new
  vehicle
  types of vehicle are constructed in such a way as to ensure that, in the event of a severe accident
  , detected by activation of one or more sensors and/or processors within the vehicle,
  which occurs in the territory of the Union, an eCall to the single European emergency number 112 is triggered automatically. [Am. 33]

Manufacturers shall demonstrate that new vehicles

  vehicle types
  are constructed
  in such a way
  as to ensure that an eCall to the single European emergency number 112 can also be triggered manually. [Am. 34]

2a.
     
  Paragraph 2 is without prejudice to the right of the vehicle owner to use another emergency call system installed in the vehicle and providing a similar service, in addition to the 112-based eCall in-vehicle system. In that case, that other emergency call system shall be compliant with the standard EN 16102 ‘Intelligent transport systems — eCall — Operating requirements for third party support’, and manufacturers shall ensure that there is only one system active at a time and that the 112-based eCall in-vehicle system is triggered automatically in the event that the other emergency call system does not function. [Am. 35]

3.   Manufacturers shall ensure that the receivers in the
  112-based eCall
  in-vehicle systems are compatible with the positioning services provided by satellite navigation systems including

  , in particular
  the Galileo and the EGNOS systems. [Am. 36]

4.   Only those
  embedded 112-based
  eCall in-vehicle systems which can be tested shall be accepted for the purposes of type-approval. [Am. 37]

5.   
  112-based
  eCall in-vehicle systems shall comply with the requirements of Directive 1999/5/EC of the European Parliament and of the Council (13) and UNECE Regulation No 10 (14).

5a.
     
  Manufacturers shall demonstrate that, in the event of a critical system failure which would result in an inability to execute an eCall detected during or following the self-test, a warning will be given to the occupants of the vehicle. [Am. 38]

6.   The
  112-based
  eCall in-vehicle system shall be accessible to all independent operators free of charge and without discrimination at least for repair and maintenance purposes. [Am. 39]

7.   The Commission shall be empowered to adopt delegated acts in accordance with Article 9 establishing the detailed technical requirements and tests for the type-approval of
  112-based
  eCall in-vehicle systems and amending Directive 2007/46/EC accordingly. [Am. 40]

The technical requirements and tests referred to in the first subparagraph shall be
  adopted after consultation of relevant stakeholders and shall be
  based on the requirements set out in paragraphs
  2, 2a,
  3, 4 and 6 and on the
  available

  following standards
  relating to eCall and UNECE Regulations,
  where applicable
  , including
  : [Am. 41]

| (a) | EN 16072 ‘Intelligent transport system-ESafety-PanEuropean eCall-Operating requirements’; |
| --- | --- |

(a)

EN 16072 ‘Intelligent transport system-ESafety-PanEuropean eCall-Operating requirements’;

| (b) | EN 16062 ‘Intelligent transport systems-ESafety-ECall high level application requirements (HLAP)’; |
| --- | --- |

(b)

EN 16062 ‘Intelligent transport systems-ESafety-ECall high level application requirements (HLAP)’;

| (c) | EN 16454 ‘Intelligent transport systems — eSafety — eCall end to end conformance testing’, as regards the
  112-based
  eCall in-vehicle system conformance to the pan-European eCall; |
| --- | --- |

(c)

EN 16454 ‘Intelligent transport systems — eSafety — eCall end to end conformance testing’, as regards the
  112-based
  eCall in-vehicle system conformance to the pan-European eCall;

| (ca) | EN 15722 ‘Intelligent transport systems — eSafety — eCall minimum set of data (MSD)’. [Am. 42] |
| --- | --- |

(ca)

EN 15722 ‘Intelligent transport systems — eSafety — eCall minimum set of data (MSD)’. [Am. 42]

| (d) | any additional European standards or UNECE Regulations relating to eCall systems.
  [Am. 43] |
| --- | --- |

(d)

any additional European standards or UNECE Regulations relating to eCall systems.
  [Am. 43]

Article 6

Rules on privacy and data protection

-1a.
     
  This Regulation is without prejudice to Directives 95/46/EC and 2002/58/EC. Any processing of personal data through the 112-based eCall in-vehicle system shall comply with the personal data protection rules provided for in those Directives. [Am. 44]

1.   In accordance with Directive 95/46/EC and Directive 2002/58/EC,Manufacturers shall ensure that vehicles equipped with
  112-based
  eCall in-vehicle system are not traceable and are not subject to any constant tracking in their normal

  pre-emergency
  operational status related to the eCall. [Am. 45]

Privacy enhancing technologies shall be embedded in the
  112-based
  eCall in-vehicle system in order to provide eCall users with the desired level of privacy protection, as well as the necessary safeguards to prevent surveillance and misuse.

2.   The minimum set of data

  MSD
  sent by the
  112-based
  eCall in-vehicle system shall include only

  as a maximum consist of
  the minimum information
  required by the standard referred to in point 2c of Article 3. The MSD shall not be processed for longer than necessary for the purpose for which they have been processed, and shall not be stored for longer than is
  required for the appropriate handling of emergency calls.
  The MSD shall be stored in such a way as to make possible its full deletion. [Am. 46]

3.   Manufacturers shall ensure that eCall users are provided with clear and comprehensive information about
  the existence of a free public eCall system, based on the emergency number 112, and
  the processing of data carried out through the
  112-based
  eCall in-vehicle system, in particular about: [Am. 47]

| (a) | the reference to the legal basis for the processing; |
| --- | --- |

(a)

the reference to the legal basis for the processing;

| (b) | the fact that the
  112-based
  eCall in-vehicle system is activated by default; |
| --- | --- |

(b)

the fact that the
  112-based
  eCall in-vehicle system is activated by default;

| (c) | the modalities of data processing that the
  112-based
  eCall in-vehicle system performs; |
| --- | --- |

(c)

the modalities of data processing that the
  112-based
  eCall in-vehicle system performs;

| (d) | the
  specific
  purpose of the eCall processing
  , which shall be limited to the emergency situations referred to in the first subparagraph of Article 5(2)
  ; [Am. 48] |
| --- | --- |

(d)

the
  specific
  purpose of the eCall processing
  , which shall be limited to the emergency situations referred to in the first subparagraph of Article 5(2)
  ; [Am. 48]

| (e) | the types of data collected and processed and the recipients of that data; |
| --- | --- |

(e)

the types of data collected and processed and the recipients of that data;

| (f) | the time limit for the retention of data in the
  112-based eCall
  in-vehicle system; [Am. 49] |
| --- | --- |

(f)

the time limit for the retention of data in the
  112-based eCall
  in-vehicle system; [Am. 49]

| (g) | the fact that there is no constant tracking of the vehicle
  beyond the collection of the minimum amount of data necessary for the 112-based eCall in-vehicle system to determine and transmit the location and the direction of travel of the vehicle when reporting an incident, as well as the fact that any tracking data are only stored on the device for as long as strictly necessary for that purpose
  ; [Am. 50] |
| --- | --- |

(g)

the fact that there is no constant tracking of the vehicle
  beyond the collection of the minimum amount of data necessary for the 112-based eCall in-vehicle system to determine and transmit the location and the direction of travel of the vehicle when reporting an incident, as well as the fact that any tracking data are only stored on the device for as long as strictly necessary for that purpose
  ; [Am. 50]

| (h) | the modalities for exercising data subjects' rights; |
| --- | --- |

(h)

the modalities for exercising data subjects' rights;

| (ha) | the fact that data gathered by the PSAPs through the 112-based eCall in-vehicle system must not be transferred to third parties without active prior consent from the data subject; [Am. 51] |
| --- | --- |

(ha)

the fact that data gathered by the PSAPs through the 112-based eCall in-vehicle system must not be transferred to third parties without active prior consent from the data subject; [Am. 51]

| (i) | any necessary additional information regarding the

  traceability, tracking and
  processing of personal data in relation to the provision of a private eCall service and/or other added value services
  , which shall be subject to explicit consent by the user and in compliance with Directive 95/46/EC. Particular account shall be taken of the fact that differences may exist between the data processing carried out through the 112-based eCall in-vehicle system and the private eCall systems or other added value services
  . [Am. 52] |
| --- | --- |

(i)

any necessary additional information regarding the

  traceability, tracking and
  processing of personal data in relation to the provision of a private eCall service and/or other added value services
  , which shall be subject to explicit consent by the user and in compliance with Directive 95/46/EC. Particular account shall be taken of the fact that differences may exist between the data processing carried out through the 112-based eCall in-vehicle system and the private eCall systems or other added value services
  . [Am. 52]

3a.
     
  Manufacturers shall provide the information referred to in paragraph 3 as part of the technical documentation handed over together with vehicle. [Am. 53]

3b.
     
  In order to avoid confusion as to the purposes pursued and the added value of the processing, the information referred to in paragraph 3 shall be provided to the user separately for the 112-based eCall in-vehicle system and other eCall Systems prior to the use of the system. [Am. 54]

3c.
     
  Manufacturers shall ensure that the 112-based eCall in-vehicle system and another installed emergency call system and a system providing added-value services are designed in such a way that no exchange of personal data between them is possible. The non-use of another system or an added-value service or the refusal of the data subject to give consent to the processing of his or her personal data for a private service shall not create any adverse effects on the use of the 112-based eCall in-vehicle system and/or the eCall user. [Am. 55]

4.   The Commission shall be empowered to adopt delegated acts in accordance with Article 9 which shall define

  , defining
  further the requirement of the absence of traceability and tracking and the privacy enhancing technologies referred to in paragraph 1
  with respect to eCall, in particular the security measures that providers of eCall services are to adopt in order to ensure lawful data processing and prevent unauthorised access, disclosure, alteration or loss of personal data processed,
  as well as the modalities of the private

  personal
  data processing and of the user information referred to in paragraph 3. [Am. 56]

Article 7

Obligations of the Member States

With effect from 1 October 2015 ... (*1), national authorities shall only grant EC type-approval in respect of the
  112-based
  eCall in-vehicle system to new types of vehicles which comply with this Regulation and the delegated acts adopted pursuant to this Regulation. [Am. 57]

Article 7a

Periodic technical inspections

The requirements for periodic technical inspections concerning the 112-based eCall in-vehicle system shall be regulated by Directive 2014/45/EU. [Am. 58]

Article 8

Exemptions

1.   The Commission may exempt certain vehicles or classes of vehicles of categories M1 and N1 from the obligation to install
  a 112-based
  eCall in-vehicle systems

  system
  set out in Article 4, if following a cost/benefit analysis
  and a technical analysis
  , carried out or mandated by the Commission, and taking into account all relevant safety aspects, the application of those systems

  the installation of the 112-based eCall in-vehicle system
  proves not to be appropriate to the vehicle or

  indispensable for further improving road safety, due to the fact that the
  class of vehicles concerned
  is designed primarily for off-road use or does not have an appropriate triggering mechanism. Those exemptions shall be limited in number
  . [Am. 59]

2.   The Commission shall be empowered to adopt delegated acts in accordance with Article 9 setting out the exemptions referred to in paragraph 1 of this Article. Those exemptions shall cover vehicles such as special purpose vehicles and vehicles without airbags and be limited in number.
  [Am. 60]

Article 9

Exercise of the delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts referred to in Article 5(7), Article 6(4) and in Article 8(2) shall be conferred on the Commission for an indeterminate period of time from [...][Publications Office, please insert the exact date of entry into force]

  a period of five years from ...

   (*2)

  . The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year
  period
  . The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period
  . [Am. 61]

3.   The delegation of power referred to in Article 5(7), Article 6(4) and Article 8(2) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Article 5(7), Article 6(4) and Article 8(2), shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two

  three
  months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council. [Am. 62]

Article 10

Penalties for non-compliance

1.   Member States shall lay down the rules on penalties applicable to non-compliance by manufacturers with the provisions of this Regulation and
  the corresponding delegated acts and
  shall take all measures to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive
  , in particular where Article 6 of this Regulation is not complied with
  . Members

  Member
  States shall notify those provisions to the Commission, and shall notify it without delay of any subsequent amendment affecting them. [Am. 63]

2.   The type of non-compliance which is subject to a penalty shall include at least the following:

| (a) | making a false declaration during an approval procedure or a procedure leading to a recall; |
| --- | --- |

(a)

making a false declaration during an approval procedure or a procedure leading to a recall;

| (b) | falsifying test results for type-approval; |
| --- | --- |

(b)

falsifying test results for type-approval;

| (c) | withholding data or technical specifications which could lead to recall or withdrawal of type-approval; |
| --- | --- |

(c)

withholding data or technical specifications which could lead to recall or withdrawal of type-approval;

| (ca) | breaching provisions laid down in Article 6. [Am. 64] |
| --- | --- |

(ca)

breaching provisions laid down in Article 6. [Am. 64]

Article 10a

Reporting and review

1.
     
  The Commission shall report to the European Parliament and to the Council regarding the readiness of the telecommunications and PSAP infrastructure required for eCall in Member States. If it is clear from that report that the eCall infrastructure will not be operational before the date referred to in the third paragraph of Article 12, the Commission shall take appropriate action.

2.
     
  By 1 October 2018, the Commission shall prepare an evaluation report to be presented to the European Parliament and to the Council on the achievements of the 112-based eCall in-vehicle system, including its penetration rate. The Commission shall investigate whether the scope of the Regulation should be extended to other categories of vehicles, such as powered two-wheelers, heavy goods vehicles, busses and coaches, and agricultural tractors. If appropriate, the Commission shall present a legislative proposal to that effect.

3.
     
  As soon as possible and in any event not later than by...

   (*3)

  , the Commission shall report to the European Parliament and to the Council, following a broad consultation with all stakeholders, including vehicle manufacturers and independent operators, and an impact assessment, on the technical requirements for an interoperable, standardised, secure and open-access platform. The Commission shall accompany that report, if appropriate, with a legislative proposal to that effect. The 112-based eCall in-vehicle system shall be based on the standards for that platform as soon as they become available. [Am. 65]

Article 11

Amendments to Directive 2007/46/EC

Annexes I, III, IV, VI and IX to Directive 2007/46/EC are amended in accordance with the Annex to this Regulation.

Article 12

Entry into force

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

Article 5(7), Article 6(4), Article 8(2) and Articles 9 and 10a shall apply from ...

   (*4)
  . [Am. 66]

It

  Articles other than those referred to in the second paragraph of this Article
  shall apply from 1 October 2015. [Am. 67]

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 341, 21.11.2013, p. 47.

1

(2)  Position of the European Parliament of 26 February 2014.

2

(3)  Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive) (OJ L 263, 9.10.2007, p. 1).

3

(4)  COM (2009) 434 final.

4

COM (2009) 434 final.

(5)  
  OJ L 196, 24.7.2008, p. 1.

  Regulation (EU) No 1285/2013 of the European Parliament and of the Council of 11 December 2013 on the implementation and exploitation of European satellite navigation systems and repealing Council Regulation (EC) No 876/2002 and Regulation (EC) No 683/2008 of the European Parliament and of the Council (OJ L 347, 20.12.2013, p. 1).

5

OJ L 196, 24.7.2008, p. 1.

Regulation (EU) No 1285/2013 of the European Parliament and of the Council of 11 December 2013 on the implementation and exploitation of European satellite navigation systems and repealing Council Regulation (EC) No 876/2002 and Regulation (EC) No 683/2008 of the European Parliament and of the Council (OJ L 347, 20.12.2013, p. 1).

(6)  
  Directive 2014/45/EU of the European Parliament and of the Council of 3 April 2014 on periodic roadworthiness tests for motor vehicles and their trailers and repealing Directive 2009/40/EC (OJ L 127, 29.4.2014, p. 51).

6

Directive 2014/45/EU of the European Parliament and of the Council of 3 April 2014 on periodic roadworthiness tests for motor vehicles and their trailers and repealing Directive 2009/40/EC (OJ L 127, 29.4.2014, p. 51).

(7)  
  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (

  OJ L 281, 23.11.1995, p. 31).

7

Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (

(8)  
  Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (

  OJ L 201, 31.7.2002, p. 37).

8

Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (

(9)  
  1609/06/EN -WP 125.

9

1609/06/EN -WP 125.

(10)  
  OJ L 91, 03.04.2013, p. 1.

10

OJ L 91, 03.04.2013, p. 1.

(11)  
  Directive 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive) (OJ L 108, 24.4.2002, p. 33).

11

Directive 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services (Framework Directive) (OJ L 108, 24.4.2002, p. 33).

(12)  
  Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive) (OJ L 108, 24.4.2002, p. 51).

12

Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services (Universal Service Directive) (OJ L 108, 24.4.2002, p. 51).

(13)  Directive 1999/5/EC of the European Parliament and of the Council of 9 March 1999 on radio equipment and telecommunications terminal equipment and the mutual recognition of their conformity (OJ L 91, 7.4.1999, p. 10).

13

(14)  Regulation No 10 of the Economic Commission for Europe of the United Nations (UN/ECE) — Uniform provisions concerning the approval of vehicles with regard to electromagnetic compatibility (OJ L 254, 20.9.2012, p. 1).

14

(*1)  
  Date referred to in the third paragraph of Article 12.

*1

Date referred to in the third paragraph of Article 12.

(*2)  
  Date of entry into force of this Regulation.

*2

Date of entry into force of this Regulation.

(*3)  
  One year after the entry into force of this Regulation.

*3

One year after the entry into force of this Regulation.

(*4)  
  Date of entry into force of this Regulation.

*4

Date of entry into force of this Regulation.

ANNEX

Amendments to Directive 2007/46/EC

Directive 2007/46/EC is amended as follows:

| (1) | In Annex I, the following points are added:






  ‘12.8 | eCall system |
| --- | --- | --- |

(1)

In Annex I, the following points are added:

‘12.8

eCall system

| 12.8.1 | description or drawings’; |
| --- | --- |

12.8.1

description or drawings’;

| (2) | In Annex III, In Part I, section A, the following points are added:






  ‘12.8 | eCall system |
| --- | --- | --- |

(2)

In Annex III, In Part I, section A, the following points are added:

‘12.8

eCall system

| 12.8.1 | Presence: yes/no (1)’; |
| --- | --- |

12.8.1

Presence: yes/no (1)’;

| (3) | Part 1 of Annex IV is amended as follows:






  (a) | The following item is added to the table:

















  Item | Subject | Regulatory act | Applicability |
| --- | --- | --- | --- | --- | --- |
| M1 | M2 | M3 | N1 | N2 | N3 | O1 | O2 | O3 | O4 |
| 71. | eCall system | Regulation (EU) No..... | X | | | X | | | | | | |

(3)

Part 1 of Annex IV is amended as follows:

(a)

The following item is added to the table:

Item

Subject

Regulatory act

Applicability

M1

M2

M3

N1

N2

N3

O1

O2

O3

O4

71.

eCall system

Regulation (EU) No.....

X

X

| (b) | Appendix 1 is amended as follows:






  (i) | the following item is added to table 1:









  Item | Subject | Regulatory act | Specific issues | Applicability and specific requirements |
| --- | --- | --- | --- | --- | --- | --- |
| 71. | eCall system | Regulation (EU) No..... | | N/A |

(b)

Appendix 1 is amended as follows:

(i)

the following item is added to table 1:

Item

Subject

Regulatory act

Specific issues

Applicability and specific requirements

71.

eCall system

Regulation (EU) No.....

N/A

| (ii) | the following item is added to table 2:









  Item | Subject | Regulatory act | Specific issues | Applicability and specific requirements |
| --- | --- | --- | --- | --- | --- |
| 71. | eCall system | Regulation (EU) No..... | | N/A |

(ii)

the following item is added to table 2:

Item

Subject

Regulatory act

Specific issues

Applicability and specific requirements

71.

eCall system

Regulation (EU) No.....

N/A

| (4) | In the Appendix to Model A in Annex VI, the following item is added to the table:









  Item | Subject | Regulatory act reference(1) | As amended by | Applicable to versions |
| --- | --- | --- | --- | --- | --- |
| 71. | eCall system | Regulation (EU) No..... | | |

(4)

In the Appendix to Model A in Annex VI, the following item is added to the table:

Item

Subject

Regulatory act reference(1)

As amended by

Applicable to versions

71.

eCall system

Regulation (EU) No.....

| (5) | Annex IX is amended as follows:






  (a) | In Part I, Model B is amended as follows:






  (i) | Side 2 ‘vehicle category M1’ is amended as follows:






  — | point 52 is replaced by the following:







  ‘52. | eCall presence yes/no’, |
| --- | --- | --- | --- | --- | --- |

(5)

Annex IX is amended as follows:

(a)

In Part I, Model B is amended as follows:

(i)

Side 2 ‘vehicle category M1’ is amended as follows:

—

point 52 is replaced by the following:

‘52.

eCall presence yes/no’,

| — | the following point is added:







  ‘53. | Remarks (11): ................’; |
| --- | --- | --- |

—

the following point is added:

‘53.

Remarks (11): ................’;

| (ii) | side 2 ‘vehicle category N1’ is amended as follows:






  — | point 52 is replaced by the following:







  ‘52. | eCall presence yes/no’, |
| --- | --- | --- | --- |

(ii)

side 2 ‘vehicle category N1’ is amended as follows:

—

point 52 is replaced by the following:

‘52.

eCall presence yes/no’,

| — | the following point is added:







  ‘53. | Remarks (11): ................’; |
| --- | --- | --- |

—

the following point is added:

‘53.

Remarks (11): ................’;

| (b) | in Part II, model C2 is amended as follows:






  (i) | side 2 ‘vehicle category M1’ is amended as follows:






  — | point 52 is replaced by the following:







  ‘52. | eCall presence yes/no’, |
| --- | --- | --- | --- | --- |

(b)

in Part II, model C2 is amended as follows:

(i)

side 2 ‘vehicle category M1’ is amended as follows:

—

point 52 is replaced by the following:

‘52.

eCall presence yes/no’,

| — | the following point is added:







  ‘53. | Remarks (11): ................’; |
| --- | --- | --- |

—

the following point is added:

‘53.

Remarks (11): ................’;

| (ii) | side 2 ‘vehicle category N1’ is amended as follows:






  — | point 52 is replaced by the following:







  ‘52. | eCall presence yes/no’, |
| --- | --- | --- | --- |

(ii)

side 2 ‘vehicle category N1’ is amended as follows:

—

point 52 is replaced by the following:

‘52.

eCall presence yes/no’,

| — | the following point is added:







  ‘53. | Remarks (11): ................’. |
| --- | --- | --- |

—

the following point is added:

‘53.

Remarks (11): ................’.

| (6) | In Appendix 1 to Annex XI, the following item 71. is added to the table:













  Item | Subject | Regulatory act reference | M1 ≤


  2 500 (1) kg | M1 >


  2 500 (1) kg | M2 | M3 |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 71. | eCall system | Regulation (EU) No..... | A | A | N/A | N/A |

(6)

(6)

In Appendix 1 to Annex XI, the following item 71. is added to the table:

In Appendix 1 to Annex XI, the following item 71. is added to the table:

Item

Item

Subject

Subject

Regulatory act reference

Regulatory act reference

M1 ≤

M1

2 500 (1) kg

2 500 (1

M1 >

M1

2 500 (1) kg

2 500 (1

M2

M2

M3

M3

71.

71.

eCall system

eCall system

Regulation (EU) No.....

Regulation (EU) No.....

A

A

A

A

N/A

N/A

N/A

N/A

[Am. 68]

[Am. 68]

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/581 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/581

---

P7_TA(2014)0155

Insurance mediation ***I

Amendments adopted by the European Parliament on 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the insurance mediation (recast) (COM(2012)0360 — C7-0180/2012 — 2012/0175(COD)) (1)

(Ordinary legislative procedure — recast)

(2017/C 285/60)

[Amendment No 1, unless otherwise indicated]

AMENDMENTS BY THE EUROPEAN PARLIAMENT (*1)

to the Commission proposal

---

(1)  The matter was referred back to the committee responsible for reconsideration pursuant to Rule 57(2), second subparagraph (A7-0085/2014).

(*1)  Amendments: new or amended text is highlighted in bold italics; deletions are indicated by the symbol ▌.

---

DIRECTIVE 2014/.../EU

OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on insurance mediation

(recast)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 53(1) and Article 62 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

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

Acting in accordance with the ordinary legislative procedure,

Whereas:

| (1) | Amendments are to be made to Directive 2002/92/EC of the European Parliament and the Council (1).
  Thus it is proposed that the
  Directive ▌be recast. |
| --- | --- |

(1)

Amendments are to be made to Directive 2002/92/EC of the European Parliament and the Council (1).
  Thus it is proposed that the
  Directive ▌be recast.

| (2) | Since the main objective and subject-matter of this proposal is to harmonise national provisions concerning the mentioned areas, the proposal should be based on Article 53(1) and Article 62 TFEU. The form of a Directive is appropriate in order to enable the implementing provisions in the areas covered by this Directive, when necessary, to be adjusted to any existing specificities of the particular market and legal system in each Member State. This Directive should also aim at coordinating national rules concerning the access to the activity of insurance and reinsurance mediation, ▐ and is therefore based on Article 53(1) TFEU. In addition, since this is a sector offering services across the Union, this Directive is also based on Article 62 TFEU. |
| --- | --- |

(2)

Since the main objective and subject-matter of this proposal is to harmonise national provisions concerning the mentioned areas, the proposal should be based on Article 53(1) and Article 62 TFEU. The form of a Directive is appropriate in order to enable the implementing provisions in the areas covered by this Directive, when necessary, to be adjusted to any existing specificities of the particular market and legal system in each Member State. This Directive should also aim at coordinating national rules concerning the access to the activity of insurance and reinsurance mediation, ▐ and is therefore based on Article 53(1) TFEU. In addition, since this is a sector offering services across the Union, this Directive is also based on Article 62 TFEU.

| (3) | Insurance and reinsurance intermediaries play a central role in the distribution of insurance and reinsurance products in the Union. |
| --- | --- |

(3)

Insurance and reinsurance intermediaries play a central role in the distribution of insurance and reinsurance products in the Union.

| (4) | Various types of persons or institutions, such as agents, brokers and ‘bancassurance’ operators, insurance undertakings, travel agents and car rental companies can distribute insurance products.▐ |
| --- | --- |

(4)

Various types of persons or institutions, such as agents, brokers and ‘bancassurance’ operators, insurance undertakings, travel agents and car rental companies can distribute insurance products.▐

| (4a) | In order to guarantee that the same level of protection applies and that the consumer can benefit from comparable standards it is essential that this Directive promotes a level playing field and competition on equal terms between intermediaries whether they are tied to an insurance undertaking or not. Consumers benefit if insurance products are mediated through a variety of channels and intermediaries with different forms of cooperation with insurance undertakings, provided that those channels and intermediaries have to apply the same rules on consumer protection. It is important that those aspects are taken into account by the Member States in the implementation of this Directive. |
| --- | --- |

(4a)

In order to guarantee that the same level of protection applies and that the consumer can benefit from comparable standards it is essential that this Directive promotes a level playing field and competition on equal terms between intermediaries whether they are tied to an insurance undertaking or not. Consumers benefit if insurance products are mediated through a variety of channels and intermediaries with different forms of cooperation with insurance undertakings, provided that those channels and intermediaries have to apply the same rules on consumer protection. It is important that those aspects are taken into account by the Member States in the implementation of this Directive.

| (5) | The application of Directive 2002/92/EC has shown that a number of provisions require further precision with a view to facilitating the exercise of insurance and reinsurance mediation and that the protection of consumers requires an extension of the scope of that Directive to all sales of insurance products
  as a main professional activity
  , whether by insurance intermediaries or insurance undertakings. In respect of their sales, after-sales and claims processes insurance undertakings which sell directly insurance products, should be brought into the scope of the new Directive on a similar basis as insurance agents and brokers. |
| --- | --- |

(5)

The application of Directive 2002/92/EC has shown that a number of provisions require further precision with a view to facilitating the exercise of insurance and reinsurance mediation and that the protection of consumers requires an extension of the scope of that Directive to all sales of insurance products
  as a main professional activity
  , whether by insurance intermediaries or insurance undertakings. In respect of their sales, after-sales and claims processes insurance undertakings which sell directly insurance products, should be brought into the scope of the new Directive on a similar basis as insurance agents and brokers.

| ▐ | |
| --- | --- |

▐

| (8) | There are still substantial differences between national provisions which create barriers to the taking-up and pursuit of the activities of insurance and reinsurance intermediaries in the internal market
  . There is a need to further strengthen the internal market and create a true European internal market for life and non-life insurance products and services
  . |
| --- | --- |

(8)

There are still substantial differences between national provisions which create barriers to the taking-up and pursuit of the activities of insurance and reinsurance intermediaries in the internal market
  . There is a need to further strengthen the internal market and create a true European internal market for life and non-life insurance products and services
  .

| (9) | Current and recent financial turbulence has underlined the importance of ensuring effective consumer protection across all financial sectors. It is appropriate therefore to strengthen the confidence of customers and to make regulatory treatment of the distribution of insurance products more uniform in order to ensure an adequate level of customer protection across the Union.
  The level of consumer protection should be raised in relation to Directive 2002/92/EC in order to reduce the need for varying national measures. It is important to take into consideration the specific nature of insurance contracts in comparison to investment products regulated under Directive 2014/.../EU of the European Parliament and of the Council [MiFID]

   (2)

  . The distribution of insurance contracts, including so called insurance investment products should therefore be regulated under this Directive and be aligned with Directive 2014/.../EU [MiFID]. The minimum standards need to be raised with regard to distribution rules and the creation of a level playing field applicable to all packaged insurance investment products.
  Measures to protect customers should be
  higher for ‘non professional’ than for ‘
  professional
  ’ customers
  . |
| --- | --- |

(9)

Current and recent financial turbulence has underlined the importance of ensuring effective consumer protection across all financial sectors. It is appropriate therefore to strengthen the confidence of customers and to make regulatory treatment of the distribution of insurance products more uniform in order to ensure an adequate level of customer protection across the Union.
  The level of consumer protection should be raised in relation to Directive 2002/92/EC in order to reduce the need for varying national measures. It is important to take into consideration the specific nature of insurance contracts in comparison to investment products regulated under Directive 2014/.../EU of the European Parliament and of the Council [MiFID]

   (2)

  . The distribution of insurance contracts, including so called insurance investment products should therefore be regulated under this Directive and be aligned with Directive 2014/.../EU [MiFID]. The minimum standards need to be raised with regard to distribution rules and the creation of a level playing field applicable to all packaged insurance investment products.
  Measures to protect customers should be
  higher for ‘non professional’ than for ‘
  professional
  ’ customers
  .

| (10) | This Directive should apply to persons whose activity consists of providing insurance or reinsurance mediation services to third parties for remuneration, which may be pecuniary or take some other form of agreed economic benefit tied to performance. |
| --- | --- |

(10)

This Directive should apply to persons whose activity consists of providing insurance or reinsurance mediation services to third parties for remuneration, which may be pecuniary or take some other form of agreed economic benefit tied to performance.

| (11) | This Directive should apply to persons whose activity consists of the provision of information on one or more contracts of insurance or reinsurance in response to criteria selected by the customer whether via a website or other means, or the provision of a ranking of insurance or reinsurance products or a discount on the price of a contract, when the customer is able to directly conclude an insurance contract at the end of the process; it should not apply to mere introducing activities consisting of the provision of data and information on potential policyholders to insurance or reinsurance intermediaries or undertakings or of information about insurance or reinsurance products or an insurance or reinsurance intermediary or undertaking to potential policyholders. |
| --- | --- |

(11)

This Directive should apply to persons whose activity consists of the provision of information on one or more contracts of insurance or reinsurance in response to criteria selected by the customer whether via a website or other means, or the provision of a ranking of insurance or reinsurance products or a discount on the price of a contract, when the customer is able to directly conclude an insurance contract at the end of the process; it should not apply to mere introducing activities consisting of the provision of data and information on potential policyholders to insurance or reinsurance intermediaries or undertakings or of information about insurance or reinsurance products or an insurance or reinsurance intermediary or undertaking to potential policyholders.

| (12) | This Directive should not apply to persons with another professional activity, such as tax experts or accountants, who provide advice on insurance cover on an incidental basis in the course of that other professional activity, neither should it apply to the mere provision of information of a general nature on insurance products, provided that the purpose of that activity is not to help the customer conclude or fulfil an insurance or reinsurance contract.
  It should not apply to the professional management of claims on behalf of an insurance or reinsurance undertaking, nor to the loss adjusting and expert appraisal of claims
  . |
| --- | --- |

(12)

This Directive should not apply to persons with another professional activity, such as tax experts or accountants, who provide advice on insurance cover on an incidental basis in the course of that other professional activity, neither should it apply to the mere provision of information of a general nature on insurance products, provided that the purpose of that activity is not to help the customer conclude or fulfil an insurance or reinsurance contract.
  It should not apply to the professional management of claims on behalf of an insurance or reinsurance undertaking, nor to the loss adjusting and expert appraisal of claims
  .

| (13) | This Directive should not apply to persons practising insurance mediation as an ancillary activity under certain restrictions regarding the policy, in particular the knowledge required to sell it, the risks covered and the amount of premium. |
| --- | --- |

(13)

This Directive should not apply to persons practising insurance mediation as an ancillary activity under certain restrictions regarding the policy, in particular the knowledge required to sell it, the risks covered and the amount of premium.

| (14) | This Directive defines ‘tied insurance intermediary’ to take account of the characteristics of certain Member States' markets and to establish conditions applicable to such intermediaries. |
| --- | --- |

(14)

This Directive defines ‘tied insurance intermediary’ to take account of the characteristics of certain Member States' markets and to establish conditions applicable to such intermediaries.

| (15) | Insurance and reinsurance intermediaries who are natural persons should be registered with the competent authority of the Member State where they have their residence; those which are legal persons should be registered with the competent authority of the Member State where they have their registered office (or, if under their national law they have no registered office, their head office), provided that they meet strict professional requirements in relation to their ability, good repute, professional indemnity cover and financial capacity. Insurance intermediaries already registered in Member States shall not be required to register again under this Directive. |
| --- | --- |

(15)

Insurance and reinsurance intermediaries who are natural persons should be registered with the competent authority of the Member State where they have their residence; those which are legal persons should be registered with the competent authority of the Member State where they have their registered office (or, if under their national law they have no registered office, their head office), provided that they meet strict professional requirements in relation to their ability, good repute, professional indemnity cover and financial capacity. Insurance intermediaries already registered in Member States shall not be required to register again under this Directive.

| (16) | Insurance and reinsurance intermediaries should be able to avail themselves of the freedom of establishment and the freedom to provide services which are enshrined in the TFEU. Accordingly, registration with or a declaration to their home Member State should allow insurance and reinsurance intermediaries to operate in other Member States in accordance with the principles of freedom of establishment and freedom to provide services, provided that an appropriate notification procedure has been followed between the competent authorities. |
| --- | --- |

(16)

Insurance and reinsurance intermediaries should be able to avail themselves of the freedom of establishment and the freedom to provide services which are enshrined in the TFEU. Accordingly, registration with or a declaration to their home Member State should allow insurance and reinsurance intermediaries to operate in other Member States in accordance with the principles of freedom of establishment and freedom to provide services, provided that an appropriate notification procedure has been followed between the competent authorities.

| ▌ | |
| --- | --- |

▌

| (18) | In order to enhance transparency and facilitate cross-border trade, the European Insurance and Occupational Pensions Authority (‘EIOPA’), established by Regulation (EU) No 1094/2010 of the European Parliament and of Council
   (3) should establish, publish and keep up to date a single electronic database containing a record of each insurance and reinsurance intermediary which has notified an intention to exercise its freedom of establishment or to provide services. Member States should provide relevant information to EIOPA promptly to enable it to do this. This database should show a hyperlink to each relevant competent authority in each Member State. Each competent authority of each Member State should show on its website a hyperlink to this database. |
| --- | --- |

(18)

In order to enhance transparency and facilitate cross-border trade, the European Insurance and Occupational Pensions Authority (‘EIOPA’), established by Regulation (EU) No 1094/2010 of the European Parliament and of Council
   (3) should establish, publish and keep up to date a single electronic database containing a record of each insurance and reinsurance intermediary which has notified an intention to exercise its freedom of establishment or to provide services. Member States should provide relevant information to EIOPA promptly to enable it to do this. This database should show a hyperlink to each relevant competent authority in each Member State. Each competent authority of each Member State should show on its website a hyperlink to this database.

| (19) | The relative rights and responsibilities of home and host Member States in respect of the supervision of insurance and reinsurance intermediaries registered by them or carrying on insurance or reinsurance mediation activities within their territory in exercise of the rights of freedom of establishment or freedom to provide services, should be clearly established. |
| --- | --- |

(19)

The relative rights and responsibilities of home and host Member States in respect of the supervision of insurance and reinsurance intermediaries registered by them or carrying on insurance or reinsurance mediation activities within their territory in exercise of the rights of freedom of establishment or freedom to provide services, should be clearly established.

| ▐ | |
| --- | --- |

▐

| (21) | The inability of insurance intermediaries to operate freely throughout the Union hinders the proper functioning of the single market in insurance.
  This Directive is an important step towards an increased level of consumer protection and market integration within the internal market. |
| --- | --- |

(21)

The inability of insurance intermediaries to operate freely throughout the Union hinders the proper functioning of the single market in insurance.
  This Directive is an important step towards an increased level of consumer protection and market integration within the internal market.

| (21a) | An insurance or reinsurance intermediary carries on insurance mediation activities under the terms of freedom to provide services if he or she performs insurance or reinsurance mediation activities for a policy-holder or potential policy-holder resident or established in a Member State other than the Member State of origin of the intermediary, and each risk to be insured is located in a Member State other than the Member State of origin of the intermediary. An insurance or reinsurance intermediary carries on insurance or reinsurance mediation activities under the terms of freedom of establishment if it maintains a permanent presence in a Member State other than its Member State of origin. |
| --- | --- |

(21a)

An insurance or reinsurance intermediary carries on insurance mediation activities under the terms of freedom to provide services if he or she performs insurance or reinsurance mediation activities for a policy-holder or potential policy-holder resident or established in a Member State other than the Member State of origin of the intermediary, and each risk to be insured is located in a Member State other than the Member State of origin of the intermediary. An insurance or reinsurance intermediary carries on insurance or reinsurance mediation activities under the terms of freedom of establishment if it maintains a permanent presence in a Member State other than its Member State of origin.

| (22) | It is important to guarantee a high level of professionalism and competence among insurance and reinsurance intermediaries and the employees of direct insurers who are involved in activities preparatory to, during and after the sales of insurance policies. Therefore, the professional knowledge of an intermediary
  and
  of the employees of direct insurers needs to match the level of complexity of these activities. Continuing education should be ensured.
  Issues of form, substance and required documentary evidence should be regulated by the Member States. Professional training organisations linked to the sector or belonging to an association should receive certification in that context
  . |
| --- | --- |

(22)

It is important to guarantee a high level of professionalism and competence among insurance and reinsurance intermediaries and the employees of direct insurers who are involved in activities preparatory to, during and after the sales of insurance policies. Therefore, the professional knowledge of an intermediary
  and
  of the employees of direct insurers needs to match the level of complexity of these activities. Continuing education should be ensured.
  Issues of form, substance and required documentary evidence should be regulated by the Member States. Professional training organisations linked to the sector or belonging to an association should receive certification in that context
  .

| (22a) | For employees of an intermediary who advise on or sell insurance investment products to retail customers, Member States should ensure that they possess an appropriate level of knowledge and competence in relation to the products offered. This is particularly important given the increased complexity and the continuous innovation in the design of insurance investment products. Buying an insurance investment product implies a risk and investors should be able to rely on the information and quality of assessments provided. It is furthermore necessary that employees are given adequate time and resources to be able to provide all relevant information to clients about the products that they provide. |
| --- | --- |

(22a)

For employees of an intermediary who advise on or sell insurance investment products to retail customers, Member States should ensure that they possess an appropriate level of knowledge and competence in relation to the products offered. This is particularly important given the increased complexity and the continuous innovation in the design of insurance investment products. Buying an insurance investment product implies a risk and investors should be able to rely on the information and quality of assessments provided. It is furthermore necessary that employees are given adequate time and resources to be able to provide all relevant information to clients about the products that they provide.

| (23) | The coordination of national provisions on professional requirements and registration of persons taking up and pursuing the activity of insurance or reinsurance mediation can contribute both to the completion of the single market for financial services and to the enhancement of customer protection in this field. |
| --- | --- |

(23)

The coordination of national provisions on professional requirements and registration of persons taking up and pursuing the activity of insurance or reinsurance mediation can contribute both to the completion of the single market for financial services and to the enhancement of customer protection in this field.

| (24) | In order to enhance cross border trade, principles regulating mutual recognition of intermediaries' knowledge and abilities should be introduced. |
| --- | --- |

(24)

In order to enhance cross border trade, principles regulating mutual recognition of intermediaries' knowledge and abilities should be introduced.

| (25) | A national qualification accredited to level 3 or above under the European Qualification Framework established under the Recommendation of the European Parliament and Council of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning should be accepted by a host member state as demonstrating that an insurance or reinsurance intermediary meets the requirements of knowledge and ability which are a condition of registration in accordance with this Directive. This framework helps Member States, education institutions, employers and individuals compare qualifications across the Union's diverse education and training systems. This tool is essential for developing a employment market throughout the Union. This framework is not designed to replace national qualifications systems but to supplement the actions of the Member States by facilitating cooperation between them. |
| --- | --- |

(25)

A national qualification accredited to level 3 or above under the European Qualification Framework established under the Recommendation of the European Parliament and Council of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning should be accepted by a host member state as demonstrating that an insurance or reinsurance intermediary meets the requirements of knowledge and ability which are a condition of registration in accordance with this Directive. This framework helps Member States, education institutions, employers and individuals compare qualifications across the Union's diverse education and training systems. This tool is essential for developing a employment market throughout the Union. This framework is not designed to replace national qualifications systems but to supplement the actions of the Member States by facilitating cooperation between them.

| (26) | Despite the existing single passport systems for insurers and intermediaries, the European insurance market remains very fragmented. In order to facilitate cross-border business and enhance transparency for consumers, Member States shall ensure publication of the general good rules applicable in their territories, and a single electronic register and information on all Member States' general good rules applicable to insurance and reinsurance mediation should be made publicly available. |
| --- | --- |

(26)

Despite the existing single passport systems for insurers and intermediaries, the European insurance market remains very fragmented. In order to facilitate cross-border business and enhance transparency for consumers, Member States shall ensure publication of the general good rules applicable in their territories, and a single electronic register and information on all Member States' general good rules applicable to insurance and reinsurance mediation should be made publicly available.

| (27) | Cooperation and exchange of information between the competent authorities are essential in order to protect customers and ensure the soundness of insurance and reinsurance business in the single market. |
| --- | --- |

(27)

Cooperation and exchange of information between the competent authorities are essential in order to protect customers and ensure the soundness of insurance and reinsurance business in the single market.

| (28) | There is a need for appropriate and effective out-of-court complaint and redress procedures in the Member States in order to settle disputes between insurance intermediaries or undertakings and customers, using, where appropriate, existing procedures. Effective out-of-court complaint and redress procedures should be available to deal with disputes concerning rights and obligations ▐ under this Directive between insurance undertakings or persons selling or offering insurance products and customers.
  In the case of alternative dispute resolution (ADR), the provisions of Directive 2013/11/EU of the European Parliament and of the Council

   (4)

  should be binding also for the purposes of this Directive.
  In order to enhance the effectiveness of out-of-court resolution of disputes procedures dealing with complaints submitted by customers, this Directive should provide that insurance undertakings or persons selling or offering insurance products have to participate in dispute resolution procedures,
  and the decisions
  which
  upon explicit request may be
  binding
  for the intermediary and the customer
  , instituted against themselves by customers and concerning rights and obligations established under this Directive. Such out-of-court resolution of disputes procedures would aim to achieve a quicker and less expensive settlement of disputes between insurance undertakings or persons selling or offering insurance products and customers and lightening of the burden on the court system. ▐
  Without prejudice to the right of customers to bring their action before the courts, Member States should ensure that ADR entities dealing with disputes referred to under this Directive cooperate in resolving cross-border disputes. Member States should encourage ADR entities dealing with such disputes to become part of the Financial Services Complaints Network (FIN-NET). |
| --- | --- |

(28)

There is a need for appropriate and effective out-of-court complaint and redress procedures in the Member States in order to settle disputes between insurance intermediaries or undertakings and customers, using, where appropriate, existing procedures. Effective out-of-court complaint and redress procedures should be available to deal with disputes concerning rights and obligations ▐ under this Directive between insurance undertakings or persons selling or offering insurance products and customers.
  In the case of alternative dispute resolution (ADR), the provisions of Directive 2013/11/EU of the European Parliament and of the Council

   (4)

  should be binding also for the purposes of this Directive.
  In order to enhance the effectiveness of out-of-court resolution of disputes procedures dealing with complaints submitted by customers, this Directive should provide that insurance undertakings or persons selling or offering insurance products have to participate in dispute resolution procedures,
  and the decisions
  which
  upon explicit request may be
  binding
  for the intermediary and the customer
  , instituted against themselves by customers and concerning rights and obligations established under this Directive. Such out-of-court resolution of disputes procedures would aim to achieve a quicker and less expensive settlement of disputes between insurance undertakings or persons selling or offering insurance products and customers and lightening of the burden on the court system. ▐

Without prejudice to the right of customers to bring their action before the courts, Member States should ensure that ADR entities dealing with disputes referred to under this Directive cooperate in resolving cross-border disputes. Member States should encourage ADR entities dealing with such disputes to become part of the Financial Services Complaints Network (FIN-NET).

| (29) | The expanding range of activities that many insurance intermediaries and undertakings carry on simultaneously has increased potential for conflicts of interest between those different activities and the interests of their customer. It is therefore necessary that Member States ▐ provide ▐ rules to ensure
  the interest
  of the customer
  are addressed
  . |
| --- | --- |

(29)

The expanding range of activities that many insurance intermediaries and undertakings carry on simultaneously has increased potential for conflicts of interest between those different activities and the interests of their customer. It is therefore necessary that Member States ▐ provide ▐ rules to ensure
  the interest
  of the customer
  are addressed
  .

| (30) | Consumers should be provided in advance with clear information about the status of the persons who sell the insurance product.
  It would be worth considering introducing
  a mandatory status disclosure for European insurance intermediaries and insurance undertakings. This information should be given to the consumer at the pre-contractual stage. Its role is to show the relationship between the insurance undertaking and the intermediary, where applicable. |
| --- | --- |

(30)

Consumers should be provided in advance with clear information about the status of the persons who sell the insurance product.
  It would be worth considering introducing
  a mandatory status disclosure for European insurance intermediaries and insurance undertakings. This information should be given to the consumer at the pre-contractual stage. Its role is to show the relationship between the insurance undertaking and the intermediary, where applicable.

| (31) | In order to mitigate conflicts of interest between the seller and the buyer of an insurance product, it is necessary to ensure sufficient disclosure of remuneration of insurance distributors. ▐ The intermediary and the employee of the insurance intermediary or the insurance undertaking should be obliged to inform the customer
  , on request,
  about
  the nature and source of its remuneration
  in advance of the sale
  and, free of charge
  . |
| --- | --- |

(31)

In order to mitigate conflicts of interest between the seller and the buyer of an insurance product, it is necessary to ensure sufficient disclosure of remuneration of insurance distributors. ▐ The intermediary and the employee of the insurance intermediary or the insurance undertaking should be obliged to inform the customer
  , on request,
  about
  the nature and source of its remuneration
  in advance of the sale
  and, free of charge
  .

| (32) | In order to provide a customer with comparable information on the insurance mediation services provided regardless of whether the customer purchases through an intermediary, or directly from an insurance undertaking, and to avoid the distortion of competition by encouraging insurance undertakings to sell direct to customers rather than via intermediaries in order to avoid information requirements, insurance undertakings should also be required to provide information about remuneration to customers with whom they deal directly in the provision of insurance mediation services about the remuneration they receive for the sale of insurance products. |
| --- | --- |

(32)

In order to provide a customer with comparable information on the insurance mediation services provided regardless of whether the customer purchases through an intermediary, or directly from an insurance undertaking, and to avoid the distortion of competition by encouraging insurance undertakings to sell direct to customers rather than via intermediaries in order to avoid information requirements, insurance undertakings should also be required to provide information about remuneration to customers with whom they deal directly in the provision of insurance mediation services about the remuneration they receive for the sale of insurance products.

| (32a) | Where the cost of fees and inducements cannot be ascertained prior to the provision of the advice, then the manner of calculation must be disclosed in a comprehensive, accurate and understandable manner in the key services documents with the total aggregate cost and its impact on returns of the advice being disclosed to the client as soon as practically possible thereafter. Where investment advice is provided on an ongoing basis, disclosure as to the cost of investment advice, including inducements, must be provided on a periodic basis and at least annually. The periodic report shall disclose all inducements paid or received in the preceding period. |
| --- | --- |

(32a)

Where the cost of fees and inducements cannot be ascertained prior to the provision of the advice, then the manner of calculation must be disclosed in a comprehensive, accurate and understandable manner in the key services documents with the total aggregate cost and its impact on returns of the advice being disclosed to the client as soon as practically possible thereafter. Where investment advice is provided on an ongoing basis, disclosure as to the cost of investment advice, including inducements, must be provided on a periodic basis and at least annually. The periodic report shall disclose all inducements paid or received in the preceding period.

| (32b) | Any person selling insurance products, who is not the product manufacturer, should provide the retail investor in a separate key service document with details of their costs and services in accordance with this Directive and Directive 2014/.../EU [MiFID] as well as additional relevant information needed for the retail investor to assess the appropriateness of the of the insurance product for their needs which cannot be provided by the investment product manufacturer. |
| --- | --- |

(32b)

Any person selling insurance products, who is not the product manufacturer, should provide the retail investor in a separate key service document with details of their costs and services in accordance with this Directive and Directive 2014/.../EU [MiFID] as well as additional relevant information needed for the retail investor to assess the appropriateness of the of the insurance product for their needs which cannot be provided by the investment product manufacturer.

| (32c) | There is a benefit to consumers if insurance products are sold through various channels and intermediaries with different forms of cooperation with insurance undertakings provided they have to apply the same rules on consumer protection and transparency. |
| --- | --- |

(32c)

There is a benefit to consumers if insurance products are sold through various channels and intermediaries with different forms of cooperation with insurance undertakings provided they have to apply the same rules on consumer protection and transparency.

| (33) | As the current proposal aims to enhance consumer protection, some of its provisions are only applicable in ‘business to consumer’ (B2C) relationships, especially those which regulate conduct of business rules of insurance intermediaries or of other sellers of insurance products. |
| --- | --- |

(33)

As the current proposal aims to enhance consumer protection, some of its provisions are only applicable in ‘business to consumer’ (B2C) relationships, especially those which regulate conduct of business rules of insurance intermediaries or of other sellers of insurance products.

| ▐ | |
| --- | --- |

▐

| (34a) | Member States should require that remuneration policies of insurance intermediaries and insurance undertakings in relation to their employees or representatives do not impair the ability to act in the best interests of customers. For employees who advise on or sell insurance investment products to customers, Member States should require that insurance intermediaries and insurance undertakings ensure that their remuneration by the firm does not affect employees' impartiality in making a suitable recommendation or appropriate sale or presenting information in a form that is fair, clear and not misleading. Remuneration in such situations should not be solely dependent on sales targets or the profit to the firm from a specific product. |
| --- | --- |

(34a)

Member States should require that remuneration policies of insurance intermediaries and insurance undertakings in relation to their employees or representatives do not impair the ability to act in the best interests of customers. For employees who advise on or sell insurance investment products to customers, Member States should require that insurance intermediaries and insurance undertakings ensure that their remuneration by the firm does not affect employees' impartiality in making a suitable recommendation or appropriate sale or presenting information in a form that is fair, clear and not misleading. Remuneration in such situations should not be solely dependent on sales targets or the profit to the firm from a specific product.

| (35) | It is
  important
  for the customer to know whether he/she is dealing with an intermediary who is advising the customer on products from a broad range of insurance undertakings or on products provided by a specific number of insurance undertakings. |
| --- | --- |

(35)

It is
  important
  for the customer to know whether he/she is dealing with an intermediary who is advising the customer on products from a broad range of insurance undertakings or on products provided by a specific number of insurance undertakings.

| (36) | Due to the increasing dependence of consumers on personal recommendations, it is appropriate to include a definition of advice.
  The quality of advice is crucial and any advice should reflect the personal characteristics of the customer.
  Before advice is provided, the insurance intermediary or undertaking should assess the customer's needs,
  expectations
  and its financial situation. If the intermediary declares that it is giving advice on products from a broad range of insurance undertakings, it should carry out a fair and
  wide-ranging analysis of a
  sufficiently
  large number of insurance
  products available on the market. In addition, all insurance intermediaries and insurance undertakings should explain the reasons underpinning their advice
  and recommend suitable insurance products according to the customer's preferences, needs, financial situation and personal circumstances
  . |
| --- | --- |

(36)

Due to the increasing dependence of consumers on personal recommendations, it is appropriate to include a definition of advice.
  The quality of advice is crucial and any advice should reflect the personal characteristics of the customer.
  Before advice is provided, the insurance intermediary or undertaking should assess the customer's needs,
  expectations
  and its financial situation. If the intermediary declares that it is giving advice on products from a broad range of insurance undertakings, it should carry out a fair and
  wide-ranging analysis of a
  sufficiently
  large number of insurance
  products available on the market. In addition, all insurance intermediaries and insurance undertakings should explain the reasons underpinning their advice
  and recommend suitable insurance products according to the customer's preferences, needs, financial situation and personal circumstances
  .

| (37) | Prior to the conclusion of a contract, including in the case of non-advised sales, the customer should be given the relevant information about the insurance product to allow the customer to make an informed decision. The insurance intermediary should explain to the customer the key features of the insurance products it sells
  and therefore its staff should be given appropriate resources and time to do so
  . |
| --- | --- |

(37)

Prior to the conclusion of a contract, including in the case of non-advised sales, the customer should be given the relevant information about the insurance product to allow the customer to make an informed decision. The insurance intermediary should explain to the customer the key features of the insurance products it sells
  and therefore its staff should be given appropriate resources and time to do so
  .

| (38) | Uniform rules should be laid down in order to
  facilitate the
  choice
  of
  the medium in which
  mandatory
  information is provided to the customer allowing for use of electronic communications where it is appropriate having regard to the circumstances of the transaction. However, the customer should be given the option to receive it on paper. In the interest of consumer access to information, all pre-contractual information
  should
  be
  accessible
  free of charge. |
| --- | --- |

(38)

Uniform rules should be laid down in order to
  facilitate the
  choice
  of
  the medium in which
  mandatory
  information is provided to the customer allowing for use of electronic communications where it is appropriate having regard to the circumstances of the transaction. However, the customer should be given the option to receive it on paper. In the interest of consumer access to information, all pre-contractual information
  should
  be
  accessible
  free of charge.

| (39) | There is less of a need to require that such information be disclosed when the customer is seeking reinsurance or insurance cover for commercial and industrial risks, or is a professional customer▐. |
| --- | --- |

(39)

There is less of a need to require that such information be disclosed when the customer is seeking reinsurance or insurance cover for commercial and industrial risks, or is a professional customer▐.

| (40) | This Directive should specify the minimum obligations which insurance undertakings and insurance intermediaries should have in providing information to customers. A Member State should be able to in this area maintain or adopt more stringent provisions which may be imposed on insurance intermediaries and insurance undertakings independently of the provisions of their home Member State where they are pursuing insurance mediation activities on its territory provided that any such more stringent provisions comply with Union law, including Directive 2000/31/EC of the European Parliament and of the Council (5). A Member State which proposes to apply and applies provisions regulating insurance intermediaries and the sale of insurance products in addition to those set out in this Directive should ensure that the administrative burden stemming from these provisions
  remains limited
  . |
| --- | --- |

(40)

This Directive should specify the minimum obligations which insurance undertakings and insurance intermediaries should have in providing information to customers. A Member State should be able to in this area maintain or adopt more stringent provisions which may be imposed on insurance intermediaries and insurance undertakings independently of the provisions of their home Member State where they are pursuing insurance mediation activities on its territory provided that any such more stringent provisions comply with Union law, including Directive 2000/31/EC of the European Parliament and of the Council (5). A Member State which proposes to apply and applies provisions regulating insurance intermediaries and the sale of insurance products in addition to those set out in this Directive should ensure that the administrative burden stemming from these provisions
  remains limited
  .

| (41) | Cross-selling practices are a common
  and appropriate
  strategy for retail financial service providers throughout the Union. ▐ |
| --- | --- |

(41)

Cross-selling practices are a common
  and appropriate
  strategy for retail financial service providers throughout the Union. ▐

| (41a) | When insurance is offered together with another service or product as part of a package or as a condition for the same agreement or package, it is subject to Directive 2005/29/EC of the European Parliament and of the Council

   (6)

  . This Directive also provides a set of safeguards for customers purchasing insurance as part of a package. Member States may require national competent authorities to adopt or maintain additional measures to address cross selling practices that are detrimental to consumers. |
| --- | --- |

(41a)

When insurance is offered together with another service or product as part of a package or as a condition for the same agreement or package, it is subject to Directive 2005/29/EC of the European Parliament and of the Council

   (6)

  . This Directive also provides a set of safeguards for customers purchasing insurance as part of a package. Member States may require national competent authorities to adopt or maintain additional measures to address cross selling practices that are detrimental to consumers.

| (42) | Contracts of insurance that involve investments are often made available to customers as potential alternatives or substitutes to investment products subject to Directive
  2014/.../EU
  [MiFID]. To deliver consistent investor protection and avoid the risk of regulatory arbitrage, it is important that retail investment products (insurance investment products as defined in the Regulation on key information documents for investment products) are subject to the same conduct of business standards: these include provision of appropriate information, requirements for advice to be suitable and restrictions on inducements, as well as requirements to manage conflicts of interest
  further
  restrictions on ▐ remuneration. The European Supervisory Authority (European Securities and Markets Authority) (‘ESMA’), established by Regulation (EU) No 1095/2010 of the European Parliament and of the Council
   (7) and EIOPA should work together to achieve as much consistency as possible in the conduct of business standards for retail investment products that are subject to either Directive
  2014/.../EU
  [MiFID] or to this Directive through guidelines.
  The specificities of non-life insurance products should, however, be taken into account in those guidelines. Also, in line with the analogous principle in Directive 2014/.../EU [MIFID], an analogous regime for insurance undertakings, when implementing this Directive at national level, and in the joint committee's guidelines should be considered.
  For insurance investment products,
  there should be enhanced conduct of business standards that replace
  the standards of this Directive which are applicable to
  general
  insurance contracts ▐. Accordingly, persons carrying out insurance mediation in relation to insurance investment products should comply with the ▐ enhanced standards applicable to
  such
  products. |
| --- | --- |

(42)

Contracts of insurance that involve investments are often made available to customers as potential alternatives or substitutes to investment products subject to Directive
  2014/.../EU
  [MiFID]. To deliver consistent investor protection and avoid the risk of regulatory arbitrage, it is important that retail investment products (insurance investment products as defined in the Regulation on key information documents for investment products) are subject to the same conduct of business standards: these include provision of appropriate information, requirements for advice to be suitable and restrictions on inducements, as well as requirements to manage conflicts of interest
  further
  restrictions on ▐ remuneration. The European Supervisory Authority (European Securities and Markets Authority) (‘ESMA’), established by Regulation (EU) No 1095/2010 of the European Parliament and of the Council
   (7) and EIOPA should work together to achieve as much consistency as possible in the conduct of business standards for retail investment products that are subject to either Directive
  2014/.../EU
  [MiFID] or to this Directive through guidelines.
  The specificities of non-life insurance products should, however, be taken into account in those guidelines. Also, in line with the analogous principle in Directive 2014/.../EU [MIFID], an analogous regime for insurance undertakings, when implementing this Directive at national level, and in the joint committee's guidelines should be considered.
  For insurance investment products,
  there should be enhanced conduct of business standards that replace
  the standards of this Directive which are applicable to
  general
  insurance contracts ▐. Accordingly, persons carrying out insurance mediation in relation to insurance investment products should comply with the ▐ enhanced standards applicable to
  such
  products.

| (42a) | The European Parliament will seek to ensure the alignment of this Directive with Directive 2014/.../EU [MIFID II] during its negotiations with the Council. [Am. 5] |
| --- | --- |

(42a)

The European Parliament will seek to ensure the alignment of this Directive with Directive 2014/.../EU [MIFID II] during its negotiations with the Council. [Am. 5]

| (42b) | This Directive lays down rules concerning the taking-up and pursuit of the activities of insurance and reinsurance mediation by natural and legal persons which are established in a Member State or which wish to be established there. Provisions of other Union instruments which depart from or supplement those rules should not apply to the activities of insurance and reinsurance mediation. |
| --- | --- |

(42b)

This Directive lays down rules concerning the taking-up and pursuit of the activities of insurance and reinsurance mediation by natural and legal persons which are established in a Member State or which wish to be established there. Provisions of other Union instruments which depart from or supplement those rules should not apply to the activities of insurance and reinsurance mediation.

| (43) | In order to ensure compliance with the provisions of this Directive by insurance undertakings and persons who pursue insurance mediation, and to ensure that they are subject to similar treatment across the Union, Member States should be required to provide for administrative penalties and other measures which are effective, proportionate and dissuasive. A review of existing powers and their practical application has been carried out with the aim of promoting convergence of penalties and other measures in the Commission Communication of 8 December 2010 on reinforcing penalty regimes in the financial sector. Therefore, administrative penalties and other measures laid down by Member States should satisfy certain essential requirements in relation to addressees, criteria to be taken into account when applying a penalty or other measure, publication
  and
  key ▐ powers ▐ to impose penalties. |
| --- | --- |

(43)

In order to ensure compliance with the provisions of this Directive by insurance undertakings and persons who pursue insurance mediation, and to ensure that they are subject to similar treatment across the Union, Member States should be required to provide for administrative penalties and other measures which are effective, proportionate and dissuasive. A review of existing powers and their practical application has been carried out with the aim of promoting convergence of penalties and other measures in the Commission Communication of 8 December 2010 on reinforcing penalty regimes in the financial sector. Therefore, administrative penalties and other measures laid down by Member States should satisfy certain essential requirements in relation to addressees, criteria to be taken into account when applying a penalty or other measure, publication
  and
  key ▐ powers ▐ to impose penalties.

| (44) | In particular, the competent authorities should be empowered to impose pecuniary penalties which are sufficiently high to offset the benefits that can be expected and to be dissuasive even for larger institutions and their managers. |
| --- | --- |

(44)

In particular, the competent authorities should be empowered to impose pecuniary penalties which are sufficiently high to offset the benefits that can be expected and to be dissuasive even for larger institutions and their managers.

| (45) | In order to ensure a consistent application of penalties across Member States, when determining the type of administrative penalties or other measures and the level of administrative pecuniary penalties, Member States should be required to ensure that the competent authorities take into account all relevant circumstances.
  Member States are however not obliged to provide for administrative penalties when national law provides for penalties within the criminal justice system. |
| --- | --- |

(45)

In order to ensure a consistent application of penalties across Member States, when determining the type of administrative penalties or other measures and the level of administrative pecuniary penalties, Member States should be required to ensure that the competent authorities take into account all relevant circumstances.
  Member States are however not obliged to provide for administrative penalties when national law provides for penalties within the criminal justice system.

| (46) | In order to strengthen the dissuasive effect on the public at large and to inform about breaches of rules which may be detrimental to customer protection, penalties and measures imposed should be published, except in certain well-defined circumstances. In order to ensure compliance with the principle of proportionality, penalties and other measures imposed should be published on an anonymous basis where publication would cause a disproportionate damage to the parties involved. |
| --- | --- |

(46)

In order to strengthen the dissuasive effect on the public at large and to inform about breaches of rules which may be detrimental to customer protection, penalties and measures imposed should be published, except in certain well-defined circumstances. In order to ensure compliance with the principle of proportionality, penalties and other measures imposed should be published on an anonymous basis where publication would cause a disproportionate damage to the parties involved.

| (47) | In order to detect potential breaches, the competent authorities should have the necessary investigatory powers, and should establish effective mechanisms to encourage reporting of potential or actual breaches
  which provide appropriate protection for those who denounce such breaches
  .
  However this Directive does not imply that Member States have to give administrative authorities the power to conduct criminal investigations. |
| --- | --- |

(47)

In order to detect potential breaches, the competent authorities should have the necessary investigatory powers, and should establish effective mechanisms to encourage reporting of potential or actual breaches
  which provide appropriate protection for those who denounce such breaches
  .
  However this Directive does not imply that Member States have to give administrative authorities the power to conduct criminal investigations.

| (48) | This Directive should refer to both administrative penalties and other measures irrespective of their qualification as a penalty or other a measure under national law. |
| --- | --- |

(48)

This Directive should refer to both administrative penalties and other measures irrespective of their qualification as a penalty or other a measure under national law.

| (49) | This Directive should be without prejudice to any provisions in the laws of Member States in respect of criminal offences. |
| --- | --- |

(49)

This Directive should be without prejudice to any provisions in the laws of Member States in respect of criminal offences.

| (49a) | Whistleblowers bring new information to the attention of competent authorities which assists them in detecting and penalising cases of insider dealing and market manipulation. However, whistleblowing may be deterred for fear of retaliation, or for lack of adequate procedures for reporting breaches. This Directive should therefore ensure that adequate arrangements are in place to encourage whistleblowers to alert competent authorities to possible breaches of this Directive and to protect them from retaliation. Member States should also ensure that whistleblowing schemes they implement include mechanisms that provide appropriate protection of a reported person, particularly with regard the right to the protection of personal data and procedures to ensure the rights of the defence of the reported person and the right to be heard before the adoption of a decision concerning that person as well as the right to seek effective remedy before a court against a decision concerning that person. |
| --- | --- |

(49a)

Whistleblowers bring new information to the attention of competent authorities which assists them in detecting and penalising cases of insider dealing and market manipulation. However, whistleblowing may be deterred for fear of retaliation, or for lack of adequate procedures for reporting breaches. This Directive should therefore ensure that adequate arrangements are in place to encourage whistleblowers to alert competent authorities to possible breaches of this Directive and to protect them from retaliation. Member States should also ensure that whistleblowing schemes they implement include mechanisms that provide appropriate protection of a reported person, particularly with regard the right to the protection of personal data and procedures to ensure the rights of the defence of the reported person and the right to be heard before the adoption of a decision concerning that person as well as the right to seek effective remedy before a court against a decision concerning that person.

| (50) | In order to attain the objectives set out in this Directive, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of ▐ management of conflicts of interest, conduct of business obligations in relation to insurance packaged retail investment products and procedures and forms for submitting information in relation to penalties. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council |
| --- | --- |

(50)

In order to attain the objectives set out in this Directive, the power to adopt acts in accordance with Article 290 of the Treaty should be delegated to the Commission in respect of ▐ management of conflicts of interest, conduct of business obligations in relation to insurance packaged retail investment products and procedures and forms for submitting information in relation to penalties. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council

| (51) | Technical standards in financial services should ensure consistent harmonisation and adequate protection of consumers across the Union. As
  EIOPA is
  a body with highly specialised expertise
  , but limited capacities, it could be entrusted solely
  with the elaboration of draft
  proposals
  which do not
  necessitate
  policy choices, for submission to the
  European Parliament and to the
  Commission. |
| --- | --- |

(51)

Technical standards in financial services should ensure consistent harmonisation and adequate protection of consumers across the Union. As
  EIOPA is
  a body with highly specialised expertise
  , but limited capacities, it could be entrusted solely
  with the elaboration of draft
  proposals
  which do not
  necessitate
  policy choices, for submission to the
  European Parliament and to the
  Commission.

| (52) | By means of delegated acts pursuant to Articles 290 and 291 of the TFEU and in accordance with Articles 10 to 15 of Regulation (EU) No 1094/2010 [...], the Commission should adopt delegated acts as set out in
  this Directive
  regarding management of conflicts of interest, regarding conduct of business obligations in relation to insurance packaged retail investment products as well as implementing technical standards and regarding procedures and forms for submitting information in relation to penalties. These delegated acts and implementing technical standards should be developed in draft by EIOPA. |
| --- | --- |

(52)

By means of delegated acts pursuant to Articles 290 and 291 of the TFEU and in accordance with Articles 10 to 15 of Regulation (EU) No 1094/2010 [...], the Commission should adopt delegated acts as set out in
  this Directive
  regarding management of conflicts of interest, regarding conduct of business obligations in relation to insurance packaged retail investment products as well as implementing technical standards and regarding procedures and forms for submitting information in relation to penalties. These delegated acts and implementing technical standards should be developed in draft by EIOPA.

| (53) | Directive 95/46/EC of the European Parliament and of the Council [...] (8) and Regulation (EC) No 45/2001 of the European Parliament and of the Council[...] (9) shall govern the processing of personal data carried out by EIOPA within the framework of this Regulation, under the supervision of the European Data Protection Supervisor. |
| --- | --- |

(53)

Directive 95/46/EC of the European Parliament and of the Council [...] (8) and Regulation (EC) No 45/2001 of the European Parliament and of the Council[...] (9) shall govern the processing of personal data carried out by EIOPA within the framework of this Regulation, under the supervision of the European Data Protection Supervisor.

| (54) | This Directive respects the fundamental rights and observes the principles recognised in the Charter of Fundamental Rights of the European Union, as enshrined in the Treaty. |
| --- | --- |

(54)

This Directive respects the fundamental rights and observes the principles recognised in the Charter of Fundamental Rights of the European Union, as enshrined in the Treaty.

| (55) | In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011 (10), Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified. |
| --- | --- |

(55)

In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011 (10), Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments. With regard to this Directive, the legislator considers the transmission of such documents to be justified.

| (55a) | The supervisory authorities of the Member States should have at their disposal all means necessary to ensure the orderly pursuit of business by insurance intermediaries and reinsurance undertakings throughout the Union, whether pursued in accordance with the right of establishment or the freedom to provide services. In order to ensure the effectiveness of the supervision all actions taken by the supervisory authorities should be proportionate to the nature, scale and complexity of the risks inherent in the business of an insurance or reinsurance undertaking, regardless of the importance of the undertaking concerned for the overall financial stability of the market. |
| --- | --- |

(55a)

The supervisory authorities of the Member States should have at their disposal all means necessary to ensure the orderly pursuit of business by insurance intermediaries and reinsurance undertakings throughout the Union, whether pursued in accordance with the right of establishment or the freedom to provide services. In order to ensure the effectiveness of the supervision all actions taken by the supervisory authorities should be proportionate to the nature, scale and complexity of the risks inherent in the business of an insurance or reinsurance undertaking, regardless of the importance of the undertaking concerned for the overall financial stability of the market.

| (55b) | This Directive should not be too burdensome for small and medium-sized insurance undertakings. One of the tools by which to achieve that objective is the proper application of the proportionality principle. That principle should apply both to the requirements imposed on the insurance and reinsurance undertakings and to the exercise of supervisory powers. |
| --- | --- |

(55b)

This Directive should not be too burdensome for small and medium-sized insurance undertakings. One of the tools by which to achieve that objective is the proper application of the proportionality principle. That principle should apply both to the requirements imposed on the insurance and reinsurance undertakings and to the exercise of supervisory powers.

| (56) | A review of this Directive should be carried out
  three
  years after the date on which this Directive enters into force in order to take account of market developments as well as developments in other areas of Union law or Member States experiences in implementation of Union law, in particular with regard to products covered by Directive 2003/41/EC of the European Parliament and of the Council
   (11). |
| --- | --- |

(56)

A review of this Directive should be carried out
  three
  years after the date on which this Directive enters into force in order to take account of market developments as well as developments in other areas of Union law or Member States experiences in implementation of Union law, in particular with regard to products covered by Directive 2003/41/EC of the European Parliament and of the Council
   (11).

| (57) | Directive 2002/92/EC should accordingly be repealed. |
| --- | --- |

(57)

Directive 2002/92/EC should accordingly be repealed.

| (58) | The obligation to transpose this Directive into national law should be confined to those provisions which represent an amendment of the substance of Directive 2002/92/EC. The obligation to transpose the provisions which are unchanged arises under Directive 2002/92/EC. |
| --- | --- |

(58)

The obligation to transpose this Directive into national law should be confined to those provisions which represent an amendment of the substance of Directive 2002/92/EC. The obligation to transpose the provisions which are unchanged arises under Directive 2002/92/EC.

| (59) | This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of Directive 2002/92/EC, |
| --- | --- |

(59)

This Directive should be without prejudice to the obligations of the Member States relating to the time-limits for transposition into national law of Directive 2002/92/EC,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

SCOPE AND DEFINITIONS

Article 1

Scope

1.   This Directive lays down rules concerning the taking-up and pursuit of the activities of insurance and reinsurance mediation, ▐ by natural and legal persons which are established in a Member State or which wish to be established there.

2.   This Directive shall not apply to persons providing mediation services for insurance contracts if all the following conditions are met:

| (a) | the insurance contract only requires knowledge of the insurance cover that is provided; |
| --- | --- |

(a)

the insurance contract only requires knowledge of the insurance cover that is provided;

| (b) | the insurance contract is not a life assurance contract; |
| --- | --- |

(b)

the insurance contract is not a life assurance contract;

| (c) | the insurance contract does not cover any liability risks; |
| --- | --- |

(c)

the insurance contract does not cover any liability risks;

| (d) | the principal professional activity of the person is other than insurance mediation. |
| --- | --- |

(d)

the principal professional activity of the person is other than insurance mediation.

| (e) | the insurance is complementary to
  the supply of goods
  by any provider, where such insurance covers the risk of breakdown, loss of or damage to the goods supplied by that provider; |
| --- | --- |

(e)

the insurance is complementary to
  the supply of goods
  by any provider, where such insurance covers the risk of breakdown, loss of or damage to the goods supplied by that provider;

| (f) | the amount of the annual premium for the insurance contract, when pro-rated to produce an annual amount, does not exceed EUR 600. |
| --- | --- |

(f)

the amount of the annual premium for the insurance contract, when pro-rated to produce an annual amount, does not exceed EUR 600.

3.   This Directive shall not apply to insurance and reinsurance mediation services provided in relation to risks and commitments located outside the Union.

This Directive shall not affect a Member State's law in respect of insurance and reinsurance mediation business pursued by insurance and reinsurance undertakings or intermediaries established in a third country and operating on its territory under the principle of freedom to provide services, provided that equal treatment is guaranteed to all persons carrying out or authorised to carry out insurance and reinsurance mediation activities on that market.

This Directive shall not regulate insurance or reinsurance mediation activities carried out in third countries.

Member States shall inform the Commission of any general difficulties which their insurance intermediaries encounter in establishing themselves or carrying out insurance mediation activities in any third country.

3a.
     
  This Directive shall ensure that the same level of protection applies and that the consumer can benefit from comparable standards. This Directive shall promote a level playing field and competition on equal terms between intermediaries whether or not they are tied to an insurance undertaking. There is a benefit to consumers if insurance products are mediated through various channels and intermediaries with different forms of cooperation with insurance undertakings provided that they have to apply the similar rules on consumer protection. This shall be taken into account by the Member States in the implementation of this Directive.

Article 2

Definitions

1.
     For the purposes of this Directive:

| (1) | ‘insurance undertaking’ means
  an insurance undertaking as defined in Article 13(1) of Directive 2009/138/EC of the European Parliament and of the Council

   (12); |
| --- | --- |

(1)

‘insurance undertaking’ means
  an insurance undertaking as defined in Article 13(1) of Directive 2009/138/EC of the European Parliament and of the Council

   (12);

| (2) | ‘reinsurance undertaking’ means a
  reinsurance
  undertaking 
  as defined in Article 13(4)
  of Directive
  2009
  /
  138/EC
  ; |
| --- | --- |

(2)

‘reinsurance undertaking’ means a
  reinsurance
  undertaking 
  as defined in Article 13(4)
  of Directive
  2009
  /
  138/EC
  ;

| (3) | ‘insurance mediation’ means the activities of advising on, proposing, or carrying out other work preparatory to the conclusion of insurance, concluding such contracts or assisting in the administration and performance of such contracts
  . The activities of advising on, proposing or concluding contracts of insurance
  shall be considered to be insurance mediation also if carried on by an
  employee of an
  insurance undertaking
  in direct contact with the insured,
  without the intervention of an insurance intermediary.

  Provision of information concerning one or more insurance contracts in accordance with criteria selected by customers through a website or other media and the compilation of an insurance product ranking list, including price and product comparison, or the discounting of premiums, when at the end of the process the customer is able directly to conclude an insurance contract using a website or other media shall be considered to be insurance mediation.


  Neither of the following activities shall be considered to be insurance mediation for the purposes of this Directive:






  (a) | the provision of information on an incidental basis to a customer in the context of another professional activity, if the provider does not take any additional steps to assist the customer in concluding or performing an insurance contract; |
| --- | --- | --- |

(3)

‘insurance mediation’ means the activities of advising on, proposing, or carrying out other work preparatory to the conclusion of insurance, concluding such contracts or assisting in the administration and performance of such contracts
  . The activities of advising on, proposing or concluding contracts of insurance
  shall be considered to be insurance mediation also if carried on by an
  employee of an
  insurance undertaking
  in direct contact with the insured,
  without the intervention of an insurance intermediary.

Neither of the following activities shall be considered to be insurance mediation for the purposes of this Directive:

(a)

the provision of information on an incidental basis to a customer in the context of another professional activity, if the provider does not take any additional steps to assist the customer in concluding or performing an insurance contract;

| (b) | the mere provision of data and information on potential policyholders to insurance intermediaries or insurance undertakings or of information about insurance products or an insurance intermediary or insurance undertaking to potential policyholders. |
| --- | --- |

(b)

the mere provision of data and information on potential policyholders to insurance intermediaries or insurance undertakings or of information about insurance products or an insurance intermediary or insurance undertaking to potential policyholders.

| (4) | ‘insurance-based
  investment product’ means
  an insurance product which offers a maturity or surrender value and where that maturity or surrender value is wholly or partially exposed, directly or indirectly, to market fluctuations, not including:










  (a) | non-life insurance products as listed in Annex I of Directive 2009/138/EC (Classes of Non-life Insurance); |
| --- | --- | --- |

(4)

‘insurance-based
  investment product’ means
  an insurance product which offers a maturity or surrender value and where that maturity or surrender value is wholly or partially exposed, directly or indirectly, to market fluctuations, not including:

(a)

non-life insurance products as listed in Annex I of Directive 2009/138/EC (Classes of Non-life Insurance);

| (b) | life insurance contracts where the benefits under the contract are payable only on death or in respect of incapacity due to injury, sickness or disability; |
| --- | --- |

(b)

life insurance contracts where the benefits under the contract are payable only on death or in respect of incapacity due to injury, sickness or disability;

| (c) | pension products which, under national law, are recognised as having the primary purpose of providing the investor with an income in retirement, and which entitles the investor to certain benefits; |
| --- | --- |

(c)

pension products which, under national law, are recognised as having the primary purpose of providing the investor with an income in retirement, and which entitles the investor to certain benefits;

| (d) | occupational pension schemes that are officially recognised and that fall within the scope of Directive 2003/41/EC or Directive 2009/138/EC; |
| --- | --- |

(d)

occupational pension schemes that are officially recognised and that fall within the scope of Directive 2003/41/EC or Directive 2009/138/EC;

| (e) | individual pension products for which a financial contribution from the employer is required by national law and where the employer or the employee has no choice as to the pension product or provider; |
| --- | --- |

(e)

individual pension products for which a financial contribution from the employer is required by national law and where the employer or the employee has no choice as to the pension product or provider;

| (5) | ‘insurance intermediary’ means a natural or legal person, other than an insurance undertaking
  or its employees
  , who, for remuneration, takes up or pursues reinsurance mediation; |
| --- | --- |

(5)

‘insurance intermediary’ means a natural or legal person, other than an insurance undertaking
  or its employees
  , who, for remuneration, takes up or pursues reinsurance mediation;

| (6) | ‘reinsurance mediation’ means the activities of advising on, proposing, or carrying out other work preparatory to the conclusion of contracts of
  insurance or
  reinsurance, of concluding such contracts or assisting in the administration and performance of such contracts, in particular in the event of a claim, including when carried on by a reinsurance undertaking without the intervention of a reinsurance intermediary;
  None of the following activities shall be considered to be reinsurance mediation for the purposes of this Directive:






  (a) | the provision of information on an incidental basis in the context of another professional activity provided that the purpose of that activity is not to assist the customer in concluding or performing a reinsurance contract; |
| --- | --- | --- |

(6)

‘reinsurance mediation’ means the activities of advising on, proposing, or carrying out other work preparatory to the conclusion of contracts of
  insurance or
  reinsurance, of concluding such contracts or assisting in the administration and performance of such contracts, in particular in the event of a claim, including when carried on by a reinsurance undertaking without the intervention of a reinsurance intermediary;

None of the following activities shall be considered to be reinsurance mediation for the purposes of this Directive:

(a)

the provision of information on an incidental basis in the context of another professional activity provided that the purpose of that activity is not to assist the customer in concluding or performing a reinsurance contract;

| (aa) | the management of claims of a reinsurance undertaking on a professional basis, and loss adjusting and expert appraisal of claims; |
| --- | --- |

(aa)

the management of claims of a reinsurance undertaking on a professional basis, and loss adjusting and expert appraisal of claims;

| (b) | the mere provision of data and information on potential policyholders to reinsurance intermediaries or reinsurance undertakings or of information about reinsurance products or a reinsurance intermediary or reinsurance undertaking to potential policyholders. |
| --- | --- |

(b)

the mere provision of data and information on potential policyholders to reinsurance intermediaries or reinsurance undertakings or of information about reinsurance products or a reinsurance intermediary or reinsurance undertaking to potential policyholders.

| (7) | ‘reinsurance intermediary’ means any natural or legal person, other than a reinsurance undertaking
  or its employees,
  who, for remuneration, takes up or pursues reinsurance mediation; |
| --- | --- |

(7)

‘reinsurance intermediary’ means any natural or legal person, other than a reinsurance undertaking
  or its employees,
  who, for remuneration, takes up or pursues reinsurance mediation;

| (8) | ‘tied insurance intermediary’ means any person who carries on the activity of insurance mediation for and on behalf of one or
  , in the case of insurance products not in competition, several
  insurance undertakings or insurance intermediaries,
  but does not collect premiums or amounts intended for the customer
  and who acts under the full responsibility of those insurance undertakings or insurance intermediaries, provided that the insurance intermediaries under whose responsibility the person acts do not themselves act under the responsibility of another insurance undertaking or intermediary;

  Any person who carries out the activity of insurance mediation in addition to a principal professional activity shall also be considered to be a tied insurance intermediary acting under the responsibility of one or several insurance undertakings for the products which concern them respectively if the insurance is complementary to the goods supplied or to the services provided within the framework of that principal professional activity; |
| --- | --- |

(8)

‘tied insurance intermediary’ means any person who carries on the activity of insurance mediation for and on behalf of one or
  , in the case of insurance products not in competition, several
  insurance undertakings or insurance intermediaries,
  but does not collect premiums or amounts intended for the customer
  and who acts under the full responsibility of those insurance undertakings or insurance intermediaries, provided that the insurance intermediaries under whose responsibility the person acts do not themselves act under the responsibility of another insurance undertaking or intermediary;

| (9) | ‘advice’ means the provision of a
  personal
  recommendation to a customer, either upon their request or at the initiative of the insurance undertaking or the insurance intermediary; |
| --- | --- |

(9)

‘advice’ means the provision of a
  personal
  recommendation to a customer, either upon their request or at the initiative of the insurance undertaking or the insurance intermediary;

| (10) | ‘contingent commission’ means ▐ remuneration in the form of a commission ▐ based on the achievement of
  pre-agreed
  targets
  or thresholds
  relating to the
  volume of
  business placed by the intermediary with
  the
  insurer; |
| --- | --- |

(10)

‘contingent commission’ means ▐ remuneration in the form of a commission ▐ based on the achievement of
  pre-agreed
  targets
  or thresholds
  relating to the
  volume of
  business placed by the intermediary with
  the
  insurer;

| (11) | ‘large risks’
  means large risks
  as defined
  in Article 13(27)
  of Directive
  2009/138/EC
  ; |
| --- | --- |

(11)

‘large risks’
  means large risks
  as defined
  in Article 13(27)
  of Directive
  2009/138/EC
  ;

| (12) | ‘home Member State’ means:






  (a) | where the intermediary is a natural person, the Member State in which his residence is situated; |
| --- | --- | --- |

(12)

‘home Member State’ means:

(a)

where the intermediary is a natural person, the Member State in which his residence is situated;

| (b) | where the intermediary is a legal person, the Member State in which its registered office is situated or, if under its national law it has no registered office, the Member State in which its head office is situated; |
| --- | --- |

(b)

where the intermediary is a legal person, the Member State in which its registered office is situated or, if under its national law it has no registered office, the Member State in which its head office is situated;

| (13) | ‘host Member State’ means the Member State in which an insurance or reinsurance intermediary has a permanent presence or establishment or provides services and which is not its home Member State; |
| --- | --- |

(13)

‘host Member State’ means the Member State in which an insurance or reinsurance intermediary has a permanent presence or establishment or provides services and which is not its home Member State;

| (14) | ‘durable medium’ means a durable medium as defined in Article 2(m) of Directive 2009/65/EC of the European Parliament and of the Council
   (13); |
| --- | --- |

(14)

‘durable medium’ means a durable medium as defined in Article 2(m) of Directive 2009/65/EC of the European Parliament and of the Council
   (13);

| ▐ | |
| --- | --- |

▐

| (16) | ‘close links’ means a situation referred to in
  Article 13(7)
  of Directive
  2009/138/EC
  ; |
| --- | --- |

(16)

‘close links’ means a situation referred to in
  Article 13(7)
  of Directive
  2009/138/EC
  ;

| (17) | ‘primary place of business’ means the location from where the main business is managed; |
| --- | --- |

(17)

‘primary place of business’ means the location from where the main business is managed;

| (18) | ‘remuneration’ means any commission, fee, charge or other payment, including an economic benefit
  or a benefit-in-kind
  of any kind,
  and any other incentives
  offered or given in connection with insurance mediation activities; |
| --- | --- |

(18)

‘remuneration’ means any commission, fee, charge or other payment, including an economic benefit
  or a benefit-in-kind
  of any kind,
  and any other incentives
  offered or given in connection with insurance mediation activities;

| (19) | ‘tying practice’ means the offering
  or the selling of an insurance product in a
  package
  with other distinct ancillary products or services where the
  insurance product is not made available to the consumer separately; |
| --- | --- |

(19)

‘tying practice’ means the offering
  or the selling of an insurance product in a
  package
  with other distinct ancillary products or services where the
  insurance product is not made available to the consumer separately;

| (20) | ‘bundling practice’ means the offering
  or the selling of an insurance product
  in a package
  with other distinct ancillary products or services where the insurance
  product is also made available to the consumer separately but not necessarily on the same terms or conditions as when offered bundled with the ancillary services; |
| --- | --- |

(20)

‘bundling practice’ means the offering
  or the selling of an insurance product
  in a package
  with other distinct ancillary products or services where the insurance
  product is also made available to the consumer separately but not necessarily on the same terms or conditions as when offered bundled with the ancillary services;

| (20a) | ‘product’ means an insurance contract covering one or more risks
  ; |
| --- | --- |

(20a)

‘product’ means an insurance contract covering one or more risks
  ;

| (20b) | ‘retail’ means non-professional. |
| --- | --- |

(20b)

‘retail’ means non-professional.

2.
     
  In order to guarantee that the same level of protection applies and that the consumer can benefit from comparable standards it is essential that this Directive promotes a level playing field and competition on equal terms between intermediaries whether they tied to an insurance undertaking or not. The Member States shall take into account the importance of promoting a level playing field and competition on equal terms in the implementation of this Directive.

CHAPTER II

REGISTRATION REQUIREMENTS

Article 3

Registration

1.   Except as provided in Article 4, insurance and reinsurance intermediaries shall be registered with a competent authority
  as referred to in Article 10(2)
  , in their home Member State. Insurance
  and reinsurance
  undertakings registered in Member States under Council Directive 73/239/EEC (14), Directive 2002/83/EC of the European Parliament and of the Council
   (15) and Directive 2005/68/EC of the European Parliament and of the Council
   (16) and their employees shall not be required to register again under this Directive.

Without prejudice to the first subparagraph, Member States may stipulate that insurance and reinsurance undertakings and other bodies may cooperate with the competent authorities in registering insurance and reinsurance intermediaries and in the application of the requirements of Article 8 to such intermediaries. In particular, in the case of tied insurance intermediaries, they may be registered by an insurance undertaking by an association of insurance undertakings, or by an insurance or reinsurance intermediary under the supervision of a competent authority.

Member States may stipulate that, where an insurance or reinsurance intermediary acts under the responsibility of an insurance or reinsurance undertaking or intermediary, the
  insurance
  intermediary
  shall not be required to provide the competent authority with the information in Article 3(7)(a) and (b) and the insurance
  entity
  responsible
  shall
  ensure that the insurance intermediary meets the conditions for registration and other provisions
  set out in
  this Directive
  . Member States may also stipulate that the person or entity which takes responsibility for the intermediary shall register that intermediary.

Member States need not apply the requirement referred to in the first and second subparagraphs to all the natural persons who work in an insurance or reinsurance undertaking or a registered insurance or reinsurance intermediary and who pursue the activity of insurance or reinsurance mediation.

Member States shall ensure the registration of legal persons and shall also specify in the register the names of the natural persons within the management who are responsible for the mediation business.

2.   Member States may establish more than one register for insurance and reinsurance intermediaries provided that they lay down the criteria according to which intermediaries are to be registered.

Member States shall establish an online registration system consisting of one single registration form available on an internet website, which should be easily accessible for insurance intermediaries and undertakings, and allowing the form to be completed directly online.

3.   Member States shall see to it that a single information point is established allowing quick and easy access to information from these various registers, which shall be compiled electronically and kept constantly updated. This information point shall also provide the identification details of the competent authorities of each Member State referred to in paragraph 1, first subparagraph. The register shall indicate further the country or countries in which the intermediary conducts business under the rules on the freedom of establishment or on the freedom to provide services.

4.   EIOPA shall establish, publish on its website and keep up-to-date a single electronic register containing records of insurance and reinsurance intermediaries which have notified their intention to carry on cross-border business in accordance with Chapter IV. Member States shall provide relevant information to EIOPA promptly to enable it to do this. This register shall show a hyperlink to each relevant competent authority in each Member State. That register shall contain links to, and be accessible from, each of the Member States' competent authorities' websites.
  EIOPA shall have right of access to the data stored there. EIOPA and the competent authorities shall have the right to modify this data. Data subjects whose personal details can be stored and exchanged shall be entitled to access and have the right to be appropriately informed.

EIOPA shall establish a website with hyperlinks to each single information point established by Member States under Article 3(3).

Member States shall ensure that registration of insurance intermediaries, including tied ones, and reinsurance intermediaries is made subject to the fulfilment of the professional requirements laid down in Article 8.

Member States shall also ensure that insurance intermediaries, including tied ones, and reinsurance intermediaries who cease to fulfil these requirements are
  immediately
  removed from the register. The validity of the registration shall be subject to a regular review by the competent authority. If necessary, the home Member State shall inform the host Member State of such removal.

5.   Member States shall ensure that the competent authorities do not register an insurance or reinsurance intermediary unless that the intermediary meets the requirements laid down in Article 8
  , or that another intermediary or undertaking will take responsibility for ensuring that the intermediary meets these requirements in accordance with subparagraph 3 of Article 3(1)
  .

5a.
     
  Registered insurance and reinsurance intermediaries shall be allowed to take up and pursue the activity of insurance and reinsurance mediation in the Union by means of both freedom of establishment and freedom to provide services.

An insurance intermediary is operating under Freedom to provide services if it intends to supply a policyholder, who is established in a Member State different from the one where the insurance intermediary is established, with an insurance contract relating to a risk situated in a Member States different from the Member State where the insurance intermediary is established.

The competent authorities may provide the insurance and reinsurance intermediaries with a document enabling any interested party by consultation of any of the registers referred to in paragraph 2 to verify that they are duly registered.

That document shall at least provide the information specified in Article 16(a) (
  i) and (iii)
  and (b)(
  i) and (iii)
  , and, in the case of a legal person, the name(s) of the natural person(s) referred to in the fourth subparagraph of paragraph 1 of this Article.

The Member State shall require the return of the document to the competent authority which issued it when the insurance or reinsurance intermediary concerned ceases to be registered.

6.   Member States shall provide that applications by intermediaries for inclusion in the register shall be treated within
  two
  months of the submission of a complete application, and that the applicant shall be notified promptly of the decision.

Member States shall ensure that the competent authorities have in place appropriate measures enabling them to monitor whether insurance and reinsurance intermediaries continue to meet the registration requirements of this Directive at all times.

7.   Member States shall ensure that their competent authorities request
  evidence of
  the following
  as a condition of registration
  from insurance and reinsurance intermediaries
  other than for tied intermediaries and intermediaries where another insurance entity takes responsibility for ensuring that the intermediary meets these requirements in accordance with subparagraph 3 of Article 3(1).

| (a) | to provide information to their competent authorities of the identities of shareholders or members, whether natural or legal persons, that have a holding in the intermediary that exceeds 10 % and the amounts of those holdings; |
| --- | --- |

(a)

to provide information to their competent authorities of the identities of shareholders or members, whether natural or legal persons, that have a holding in the intermediary that exceeds 10 % and the amounts of those holdings;

| (b) | to provide information to their competent authorities of the identities of persons who have close links with the insurance or reinsurance intermediary; |
| --- | --- |

(b)

to provide information to their competent authorities of the identities of persons who have close links with the insurance or reinsurance intermediary;

| (c) | to demonstrate in a satisfactory manner that the holdings or close links do not prevent the effective exercise of the supervisory functions of the competent authority. |
| --- | --- |

(c)

to demonstrate in a satisfactory manner that the holdings or close links do not prevent the effective exercise of the supervisory functions of the competent authority.

Member States shall ensure that their competent authorities require that insurance and reinsurance intermediaries to whom Article 3(7) applies inform them without undue delay where information provided under Article 3(7)(a) and (b) changes.

8.   Member States shall ensure that the competent authorities refuse registration if the laws, regulations or administrative provisions of a third country governing one or more natural or legal persons with which the insurance or reinsurance intermediary has close links, or difficulties involved in the enforcement of those laws, regulations or administrative provisions, prevent the effective exercise of their supervisory functions.

8a.
     
  Member States may provide that those persons who exercised a mediation activity before 1 January 2014, who were entered in a register and who had a level of training and experience similar to that required by this Directive, shall be automatically entered in the register to be created, once the requirements set down in Article 4(3) and (4) are complied with.

CHAPTER III

SIMPLIFIED REGISTRATION PROCEDURE — DECLARATION OF ACTIVITIES

Article 4

Declaration procedure for providing ancillary insurance mediation; professional management of claims or loss assessment services

1.   The registration requirements in Article 3 shall not apply to an insurance intermediary which conducts insurance mediation on an ancillary basis, provided that its activities meet all the following conditions:

| (a) | the principal professional activity of the insurance intermediary is other than insurance mediation; |
| --- | --- |

(a)

the principal professional activity of the insurance intermediary is other than insurance mediation;

| (b) | the insurance intermediary only mediates certain insurance products that are complementary to a product or service and clearly identifies them in the declaration; |
| --- | --- |

(b)

the insurance intermediary only mediates certain insurance products that are complementary to a product or service and clearly identifies them in the declaration;

| (c) | the insurance products concerned do not cover life assurance or liability risks, unless that cover
  complements the product or service which the intermediary provides as his principal professional activity; |
| --- | --- |

(c)

the insurance products concerned do not cover life assurance or liability risks, unless that cover
  complements the product or service which the intermediary provides as his principal professional activity;

| (ca) | the intermediary works under the responsibility of a registered intermediary. |
| --- | --- |

(ca)

the intermediary works under the responsibility of a registered intermediary.

3.   Any insurance intermediary who is subject to paragraphs 1 and 2 of this Article shall submit to the competent authority of its home Member State a declaration whereby it informs the competent authority of its identity, address and professional activities.

4.   Intermediaries who are subject to paragraphs 1 and 2 of this Article shall be subject to the provisions of Chapters I, III, IV, V, VIII, IX and Articles 15 and 16 of this Directive.

4a.
     
  Member States may apply the registration requirements in Article 3 to insurance intermediaries within the scope of Article 4, if they consider it necessary to do so in the interests of consumer protection.

CHAPTER IV

FREEDOM TO PROVIDE SERVICES AND FREEDOM OF ESTABLISHMENT

Article 5

Exercise of the freedom to provide services

1.   Any insurance or reinsurance intermediary who intends to carry on business within the territory of another Member State for the first time under the freedom to provide services shall communicate the following information to the competent authority of his home Member State .

| (a) | the name, address and any registration number of the intermediary; |
| --- | --- |

(a)

the name, address and any registration number of the intermediary;

| (b) | the Member State or States in which the intermediary intends to operate; |
| --- | --- |

(b)

the Member State or States in which the intermediary intends to operate;

| (c) | the category of intermediary and, if applicable, the name of any insurance or reinsurance undertaking represented; |
| --- | --- |

(c)

the category of intermediary and, if applicable, the name of any insurance or reinsurance undertaking represented;

| (d) | the relevant classes of insurance, if applicable; |
| --- | --- |

(d)

the relevant classes of insurance, if applicable;

| (e) | demonstration of professional knowledge and ability. |
| --- | --- |

(e)

demonstration of professional knowledge and ability.

2.   The competent authority of the home Member State shall, within one month of receiving the information referred to in paragraph 1, forward it to the competent authority of the host Member State, which shall acknowledge the receipt without delay. The home Member State shall inform the insurance or reinsurance intermediary in writing that the information has been received by the host Member State and that the insurance or reinsurance undertaking can commence its business in the host Member State.

When receiving the information referred to in paragraph 1, the host Member State shall accept previous experience in insurance or reinsurance mediation activity, as demonstrated by proof of registration or declaration in the home Member State, as evidence of the required knowledge and ability.

3.   The proof of the previous registration or declaration shall be established by evidence of registration issued or declaration received by the competent authority or body of the home Member State of the applicant, which the latter shall submit in support of his application presented to the host Member State.

4.   In the event of a change in any of the particulars communicated in accordance with paragraph 1, the insurance or reinsurance intermediary 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 that change by the competent authority of the home Member State as soon as is practicable and no later than one month from the date of receipt of the information by the competent authority of the home Member State.

4a.
     
  A registered insurance or reinsurance intermediary carries on an insurance mediation activity under the ‘freedom of services’ if:

| (a) | it carries on insurance or reinsurance mediation with or for a policyholder who resides or is established in a Member State different from the home Member State of the intermediary; |
| --- | --- |

(a)

it carries on insurance or reinsurance mediation with or for a policyholder who resides or is established in a Member State different from the home Member State of the intermediary;

| (b) | any risk to be insured is situated in a Member State different from the home Member State of the intermediary; |
| --- | --- |

(b)

any risk to be insured is situated in a Member State different from the home Member State of the intermediary;

| (c) | it complies with paragraphs 1 and 4. |
| --- | --- |

(c)

it complies with paragraphs 1 and 4.

Article 6

Exercise of the freedom of establishment

1.   Member States shall require any insurance or reinsurance intermediary who intends to exercise his freedom of establishment to establish a branch within the territory of another Member State first to notify the competent authority of his home Member State and to provide it with the following information:

| (a) | the name, address and registration number, where applicable, of the intermediary; |
| --- | --- |

(a)

the name, address and registration number, where applicable, of the intermediary;

| (b) | the Member State within the territory of which he plans to establish a branch or permanent presence; |
| --- | --- |

(b)

the Member State within the territory of which he plans to establish a branch or permanent presence;

| (c) | the category of intermediary and, if applicable, the name of any insurance or reinsurance undertaking represented; |
| --- | --- |

(c)

the category of intermediary and, if applicable, the name of any insurance or reinsurance undertaking represented;

| (d) | the relevant classes of insurance, if applicable; |
| --- | --- |

(d)

the relevant classes of insurance, if applicable;

| (e) | a programme of operations setting out, the insurance or reinsurance mediation activities to be carried on and the organisational structure of the establishment; also indicating the identity of agents where the intermediary intends to use them; |
| --- | --- |

(e)

a programme of operations setting out, the insurance or reinsurance mediation activities to be carried on and the organisational structure of the establishment; also indicating the identity of agents where the intermediary intends to use them;

| (f) | the address in the host Member State from which documents may be obtained; |
| --- | --- |

(f)

the address in the host Member State from which documents may be obtained;

| (g) | the name of any person responsible for the management of the establishment or permanent presence. |
| --- | --- |

(g)

the name of any person responsible for the management of the establishment or permanent presence.

1a.
     
  An insurance intermediary is operating under freedom of establishment if it carries on business in a host Member State for an indefinite period via a permanent presence in that Member State.

2.   Unless the competent authority of the home Member State has grounds for considering the organisational structure or the financial situation of the insurance or reinsurance intermediary to be inadequate, taking into account the mediation activities envisaged, it shall, within one month of receiving the information referred to in paragraph 1, communicate it to the competent authority of the host Member State, which shall acknowledge the receipt without delay. The home Member State shall inform the insurance or reinsurance intermediary in writing that the information has been received by the host Member State and that the insurance or reinsurance undertaking can commence its business in the host Member State.

3.   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 insurance or reinsurance intermediary within one month of receiving all the information referred to in paragraph 1.

4.   In the event of a change in any of the particulars communicated in accordance with paragraph 1, an insurance or reinsurance intermediary 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 that change by the competent authority of the home Member State as soon as is practicable and no later than one month from the date of receipt of the information by the competent authority of the home Member State.

Article 7

Division of competence between home and host Member States

1.   If an insurance intermediary's primary place of business is located in another Member State, then the competent authority of that other Member State may agree with the home Member State competent authority to act as if it were the home Member State competent authority with regard to the obligations in chapters VI, VII and VIII of this Directive. In the event of such an agreement, the home Member State competent authority shall notify the insurance intermediary and EIOPA without delay.

2.   The competent authority of the host Member State shall assume responsibility for ensuring that the services provided by the establishment within its territory comply with the obligations laid down in Chapters VI and VII and in measures adopted pursuant thereto.

The competent authority of the host Member State shall have the right to examine establishment arrangements and to request such changes as are strictly needed to enable the competent authority to enforce the obligations under Chapter VI and Chapter VII and measures adopted pursuant thereto with respect to the services or activities provided by the establishment within its territory.

3.   Where the host Member State has grounds for concluding that an insurance or reinsurance intermediary acting within its territory under the freedom to provide services or through an establishment is in breach of any obligation set out in this Directive it shall refer those findings to the competent authority of the home Member State which shall take the appropriate measures. In cases where, despite measures taken by the competent authority of the home Member State, an insurance or reinsurance intermediary persists in acting in a manner that is clearly prejudicial to the interests of host Member State consumers or the orderly functioning of insurance and reinsurance markets, the insurance or reinsurance intermediary shall be subject to the following measures:

| (a) | 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 consumers and the proper functioning of insurance and reinsurance markets including by preventing the offending insurance or reinsurance intermediaries from initiating any further transactions within its territory; the competent authority of the host Member State shall inform the Commission of such measures without undue delay; |
| --- | --- |

(a)

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 consumers and the proper functioning of insurance and reinsurance markets including by preventing the offending insurance or reinsurance intermediaries from initiating any further transactions within its territory; the competent authority of the host Member State shall inform the Commission of such measures without undue delay;

| (b) | the competent authority of the host Member State may refer the matter to EIOPA and request its assistance in accordance with Article 19 of Regulation (EU) No 1094/2010; in that case, EIOPA may act in accordance with the powers conferred on it by that Article in cases of a disagreement between the competent authorities of the host and home Member States. |
| --- | --- |

(b)

the competent authority of the host Member State may refer the matter to EIOPA and request its assistance in accordance with Article 19 of Regulation (EU) No 1094/2010; in that case, EIOPA may act in accordance with the powers conferred on it by that Article in cases of a disagreement between the competent authorities of the host and home Member States.

4.   Where the competent authorities of a host Member State ascertain that an insurance or reinsurance intermediary who has an establishment within its territory is in breach of the legal or regulatory provisions adopted in that Member State pursuant to those provisions of this Directive which confer powers on the host Member State's competent authorities, those authorities shall require the insurance or reinsurance intermediary concerned to put an end to this situation.

In cases where, despite measures taken by the competent authority of the host Member State, an insurance or reinsurance intermediary persists in acting in a manner that is clearly prejudicial to the interests of host Member State consumers or the orderly functioning of insurance and reinsurance markets, the insurance or reinsurance intermediary shall be subject to the following measures:

| (a) | 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 consumers and the proper functioning of the markets including by preventing the offending insurance or reinsurance intermediaries from initiating any further transactions within its territory; the competent authority of the host Member State shall inform the Commission of such measures without undue delay; |
| --- | --- |

(a)

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 consumers and the proper functioning of the markets including by preventing the offending insurance or reinsurance intermediaries from initiating any further transactions within its territory; the competent authority of the host Member State shall inform the Commission of such measures without undue delay;

| (b) | the competent authority of the host Member State may refer the matter to EIOPA and request its assistance in accordance with Article 19 of Regulation (EU) No 1094/2010; in that case, EIOPA may act in accordance with the powers conferred on it by that Article in cases of a disagreement between the competent authorities of the host and home Member States. |
| --- | --- |

(b)

the competent authority of the host Member State may refer the matter to EIOPA and request its assistance in accordance with Article 19 of Regulation (EU) No 1094/2010; in that case, EIOPA may act in accordance with the powers conferred on it by that Article in cases of a disagreement between the competent authorities of the host and home Member States.

CHAPTER V

OTHER ORGANISATIONAL REQUIREMENTS

Article 8

Professional and organisational requirements

1.   Insurance and reinsurance intermediaries, ▐ and members of staff of insurance undertakings carrying out insurance mediation activities, shall possess appropriate knowledge and ability, as determined by the home Member State of the intermediary or undertaking, to complete their tasks and perform their duties adequately▐.

Member States shall ensure that ▐ members of staff
  of insurance and reinsurance intermediaries and
  insurance undertakings,
  which pursue insurance mediation as principal professional activity, regularly
  update their knowledge and ability
  appropriate to the function they are performing and the relevant market.

To ensure that these provisions are complied with a continuing professional development and sufficient and appropriate training to their staff of at least 200 hours in a five-year period, or a proportional number of hours where it is not their principal activity, needs to be fulfilled
  .
  Member States shall also make public the criteria they have established in order for staff to meet their competence requirements. Such criteria shall include a list of any qualifications they recognise.

To that end, Member States shall have in place mechanisms to control, asses, and certify the knowledge and skills through independent bodies.

Member States
  shall
  adjust the required conditions with regard to knowledge and ability in line with the particular activity of insurance or reinsurance mediation and the products mediated, particularly if the principal professional activity of the intermediary is other than insurance mediation. ▐ Member States may provide that in the cases referred to in the second subparagraph of Article 3(1)
  and with regard to the employees of insurance companies engaged in insurance mediation
  , the insurance undertaking or intermediary shall verify that the knowledge and ability of the intermediaries are in conformity with the obligations set out in the first subparagraph of this paragraph and, if need be, shall provide such intermediaries with training which corresponds to the requirements concerning the products sold by the intermediaries.

Member States need not apply the requirement referred to in the first subparagraph of this paragraph to all the natural persons working in an insurance undertaking or insurance or reinsurance intermediary who pursue the activity of insurance or reinsurance mediation. Member States shall ensure that a reasonable proportion of the persons within the management structure of such undertakings who are responsible for mediation in respect of insurance and reinsurance products and all other persons directly involved in insurance or reinsurance mediation demonstrate the knowledge and ability necessary for the performance of their duties.

2.   Insurance and reinsurance intermediaries and members of staff of insurance undertakings carrying out insurance mediation activities shall be of good repute. As a minimum,
  those directly involved in the marketing or selling of the product
  shall have a clean police record or any other national equivalent in relation to serious criminal offences linked to crimes against property or other crimes related to financial activities ▐.

Member States may, in accordance with the provisions of the second subparagraph of Article 3(1), allow the insurance undertaking to check the good repute of insurance intermediaries.

Member States need not apply the requirement referred to in the first subparagraph of this paragraph to all the natural persons who work in an insurance undertaking or insurance and reinsurance intermediary and who pursue the activity of insurance and reinsurance mediation. Member States shall ensure that the management structure of such undertakings and any staff directly involved in insurance or reinsurance mediation fulfil that requirement.

3.   Insurance and reinsurance intermediaries shall hold professional indemnity insurance covering the whole territory of the Union or some other comparable guarantee against liability arising from professional negligence, for at least
  EUR 1 250 000
  applying to each claim and in aggregate
  EUR 1 850 000
  per year for all claims, unless such insurance or comparable guarantee is already provided by an insurance undertaking, reinsurance undertaking or other undertaking on whose behalf the insurance or reinsurance intermediary is acting or for which the insurance or reinsurance intermediary is empowered to act or such undertaking has taken on full responsibility for the intermediary's actions.

4.   Member States shall take all necessary measures to protect customers against the inability of the insurance intermediary to transfer the premium to the insurance undertaking or to transfer the amount of claim or return premium to the insured.

Such measures shall take any one or more of the following forms:

| (a) | provisions laid down by law or contract whereby monies paid by the customer to the intermediary are treated as having been paid to the undertaking, whereas monies paid by the undertaking to the intermediary are not treated as having been paid to the customer until the customer actually receives them; |
| --- | --- |

(a)

provisions laid down by law or contract whereby monies paid by the customer to the intermediary are treated as having been paid to the undertaking, whereas monies paid by the undertaking to the intermediary are not treated as having been paid to the customer until the customer actually receives them;

| (b) | a requirement for insurance intermediaries to have financial capacity amounting, on a permanent basis, to 4 % of the sum of annual premiums received, subject to a minimum of
  EUR 18 750
  ; |
| --- | --- |

(b)

a requirement for insurance intermediaries to have financial capacity amounting, on a permanent basis, to 4 % of the sum of annual premiums received, subject to a minimum of
  EUR 18 750
  ;

| (c) | a requirement that customers' monies shall be transferred via strictly segregated customer accounts and that these accounts shall not be used to reimburse other creditors in the event of bankruptcy; |
| --- | --- |

(c)

a requirement that customers' monies shall be transferred via strictly segregated customer accounts and that these accounts shall not be used to reimburse other creditors in the event of bankruptcy;

| (d) | a requirement that a guarantee fund be set up. |
| --- | --- |

(d)

a requirement that a guarantee fund be set up.

5.   Pursuit of the activities of insurance and reinsurance mediation shall require that the professional requirements set out in this Article be fulfilled on a permanent basis.

6.   Member States may reinforce the requirements set out in this Article or add other requirements for insurance and reinsurance intermediaries registered within their jurisdiction.

7.   EIOPA shall review the amounts referred to in paragraphs 3 and 4 regularly in order to take account of changes in the European Index of Consumer Prices as published by Eurostat. The first review shall take place five years after the entry into force of this Directive and the successive reviews every five years after the previous review date.

EIOPA shall develop draft regulatory standards which adapt the base amount in euro referred to in paragraphs 3 and 4 by the percentage change in that Index over the period between the entry into force of this Directive and the first review date or between the last review date and the new review date and rounded up to the nearest euro.

EIOPA shall submit those draft regulatory technical standards to the Commission five years after the entry into force of this Directive and the successive reviews every five years after the previous review date.

Power is conferred on the Commission to adopt the implementing technical standards referred to in the first subparagraph in accordance with Article 15 of Regulation (EU) No 1094/2010.

8.   
  Member States
  shall specify

| (a) | the notion of adequate knowledge and ability of the intermediary
  and members of staff of insurance undertakings
  when carrying on insurance mediation with its customers as referred to in paragraph 1 of this Article; |
| --- | --- |

(a)

the notion of adequate knowledge and ability of the intermediary
  and members of staff of insurance undertakings
  when carrying on insurance mediation with its customers as referred to in paragraph 1 of this Article;

| (b) | appropriate criteria for determining in particular the level of professional qualifications, experiences and skills required for carrying on insurance mediation; |
| --- | --- |

(b)

appropriate criteria for determining in particular the level of professional qualifications, experiences and skills required for carrying on insurance mediation;

| (c) | the steps that insurance intermediaries and
  member of staff of
  insurance undertakings might reasonably be expected to take to update their knowledge and ability through continuing professional development in order to maintain an adequate level of performance. |
| --- | --- |

(c)

the steps that insurance intermediaries and
  member of staff of
  insurance undertakings might reasonably be expected to take to update their knowledge and ability through continuing professional development in order to maintain an adequate level of performance.

8a.
     
  Where a home Member State registers an insurance intermediary which has obtained professional qualifications or experience in another member state, it shall take into consideration the qualifications and experience, having regard to Directive 2005/36/EC of the European Parliament and of the Council

   (17)

  and the level of the qualification as it is defined under the European Qualifications Framework for lifelong learning established under the Recommendation of the European Parliament and Council

   (18).

Article 9

Publication of general good rules

1.   Member States shall take the necessary steps to ensure appropriate publication by their competent authorities of the relevant national legal provisions protecting the general good which are applicable to the carrying on of insurance and reinsurance mediation business in their territories.

2.   A Member State which proposes to apply and applies provisions regulating insurance intermediaries and the sale of insurance products in addition to those set out in this Directive shall ensure that the administrative burden stemming from these provisions is proportionate for consumer protection. The Member State shall continue to monitor these provisions to ensure they remain so.

3.   EIOPA shall present a standardised information sheet for general good rules to be completed by the competent authorities in each Member State. It shall include the hyperlinks to the websites of competent authorities where information on general good rules is published. Such information shall be updated by the national competent authorities on a regular basis and EIOPA shall make this information available on its website in the English, French and German languages, with all national general good rules categorised into different relevant areas of law.

4.   Member States shall establish a single point of contact responsible for providing information on general good rules in their respective Member State. Such a point of contact should be an appropriate competent authority.

5.   EIOPA shall examine in a report and inform the Commission about the general good rules published by Member States as referred to in this Article in the context of the proper functioning of this Directive and the Internal Market before ... [Three years after the entry into force of the Directive].

Article 10

Competent authorities

1.   Member States shall designate the competent authorities empowered to ensure implementation of this Directive. They shall inform the Commission thereof, indicating any division of those duties.

2.   The authorities referred to in paragraph 1 shall be either public authorities or bodies recognised by national law or by public authorities expressly empowered for that purpose by national law. They shall not be insurance or reinsurance undertakings
  or associations whose members directly or indirectly include insurance or reinsurance undertakings or insurance or reinsurance intermediaries
  .

3.   The competent authorities shall possess all the powers necessary for the performance of their duties. Where there is more than one competent authority on its territory, a Member State shall ensure that those authorities collaborate closely so that they can discharge their respective duties effectively.

Article 11

Exchange of information between Member States

1.   The competent authorities of the various Member States shall cooperate in order to ensure the proper application of the provisions of this Directive.

2.   The competent authorities shall exchange information on insurance and reinsurance intermediaries if they have been subject to a penalty referred to in Chapter VIII and such information is likely to lead to removal from the register of such intermediaries. The competent authorities may also exchange any relevant information at the request of an authority.

3.   All persons required to receive or divulge information in connection with this Directive shall be bound by professional secrecy, in the same manner as is laid down in Article 16 of Council Directive 92/49/EEC (19) and Article 15 of Council Directive 92/96/EEC (20).

Article 12

Complaints

Member States shall ensure that procedures are set up which allow customers and other interested parties, especially consumer associations, to register complaints about insurance and reinsurance intermediaries and undertakings. In all cases complaints shall receive replies.

Article 13

Out-of-court redress

1.   
  In accordance with Directive .../.../EU of the European Parliament and of the Council

   (21)

  and Regulation .../.../EU of the European Parliament and of the Council

   (22) Member States shall ensure the setting-up of appropriate effective impartial and independent complaints and redress procedures for the out-of-court settlement of disputes between insurance intermediaries and customers, and between insurance undertakings and customers, using existing bodies where appropriate. Member States shall further ensure that all insurance undertakings and insurance intermediaries participate in the procedures for the out-of-court settlement of disputes where ▐ the procedure results in decisions which
  may be
  binding
  for the intermediary or the insurance undertaking, as appropriate, and the client.

▐

2.   Member States shall ensure that these bodies cooperate in the resolution of cross-border disputes.

2a.
     
  Member States shall ensure that insurance intermediaries established on their territories inform consumers about the name, address and website address of the ADR entities by which they are covered and which are competent to deal with potential disputes between themselves and consumers.

2b.
     
  Insurance intermediaries within the Union engaging in online and cross-border online sales shall inform consumers about the ADR platform, if applicable and about their email address. This information shall be made easily, directly, prominently and permanently accessible on the insurance intermediaries' website and if the offer is made by e-mail or another textual message transmitted by electronic means, in that message. It shall include an electronic link to the ADR platform's homepage. Insurance intermediaries shall also inform consumers about the ADR platform when the consumer submits a complaint to the insurance intermediary, a consumer complaint handling system operated by the insurance intermediary or to a company ombudsman.

2c.
     
  Where a customer initiates a procedure for alternative dispute resolution laid down in national law against an insurance intermediary or insurance undertaking with regard to a dispute concerning rights and obligations established under this Directive, the insurance intermediary or insurance undertaking shall be required to participate in that procedure.

2d.
     
  For the purposes of the application of this Directive the competent authorities shall cooperate with each other and with the entities responsible for out-of-court complaint and redress procedures referred to in this Article and to the extent permitted by Union legislative acts in force.

Article 14

Restriction on use of intermediaries

Member States shall ensure that
  , when using the services of the
  insurance
  or reinsurance intermediaries established in the Union, insurance
  and reinsurance undertakings and intermediaries use the insurance and reinsurance mediation services only of registered insurance and reinsurance intermediaries or of the persons referred to in Article 1(2) or of the persons who have fulfilled the declaration procedure referred to in Article 4.

CHAPTER VI

INFORMATION REQUIREMENTS AND CONDUCT OF BUSINESS RULES

Article 15

General principle

1.   Member States shall require that, when carrying out insurance mediation with or for customers, an insurance intermediary or insurance undertaking
  always
  acts honestly
  , fairly, trustworthily, honourably and
  professionally in accordance with
  the best
  interests of its customers.

2.   All information, including marketing communications, addressed by the insurance intermediary or insurance undertaking to customers or potential customers shall be
  fair,
  clear and not misleading. Marketing communications shall
  always
  be clearly identifiable as such.

Article 16

General information provided by the insurance intermediary or insurance undertaking

Member States shall lay down rules ensuring that

| (a) | prior to the conclusion of any insurance contract,
  or if there is any material change in the data in the disclosure to customers related to the intermediary after conclusion of an insurance contract,
  an insurance intermediary — including tied ones- shall make the following disclosures to customers:






  (i) | its identity and address and that it is an insurance intermediary; |
| --- | --- | --- |

(a)

prior to the conclusion of any insurance contract,
  or if there is any material change in the data in the disclosure to customers related to the intermediary after conclusion of an insurance contract,
  an insurance intermediary — including tied ones- shall make the following disclosures to customers:

(i)

its identity and address and that it is an insurance intermediary;

| (ii) | whether or not it provides any type of advice about the insurance products sold; |
| --- | --- |

(ii)

whether or not it provides any type of advice about the insurance products sold;

| (iii) | the procedures referred to in Article 12 allowing customers and other interested parties to register complaints about insurance and reinsurance intermediaries and about the out-of-court complaint and redress procedures referred to in Article 13; |
| --- | --- |

(iii)

the procedures referred to in Article 12 allowing customers and other interested parties to register complaints about insurance and reinsurance intermediaries and about the out-of-court complaint and redress procedures referred to in Article 13;

| (iv) | the register in which it has been included and the means for verifying that it has been registered; and |
| --- | --- |

(iv)

the register in which it has been included and the means for verifying that it has been registered; and

| (v) | whether the intermediary is representing the customer or is acting for and on behalf of the insurance undertaking; |
| --- | --- |

(v)

whether the intermediary is representing the customer or is acting for and on behalf of the insurance undertaking;

| (b) | prior to the conclusion of any insurance contract, an insurance undertaking shall make the following disclosures to customers:






  (i) | its identity and address and that it is an insurance undertaking; |
| --- | --- | --- |

(b)

prior to the conclusion of any insurance contract, an insurance undertaking shall make the following disclosures to customers:

(i)

its identity and address and that it is an insurance undertaking;

| (ii) | whether or not it provides any type of advice about the insurance products sold; |
| --- | --- |

(ii)

whether or not it provides any type of advice about the insurance products sold;

| (iii) | the procedures referred to in Article 12 allowing customers and other interested parties to register complaints about insurance undertakings and about the out-of-court complaint and redress procedures referred to in Article 13. |
| --- | --- |

(iii)

the procedures referred to in Article 12 allowing customers and other interested parties to register complaints about insurance undertakings and about the out-of-court complaint and redress procedures referred to in Article 13.

Article 17

Conflicts of interest and transparency

1.   Prior to the conclusion of any insurance contract, an insurance intermediary ▐ shall provide the customer with at least the following information:

| (a) | whether it has a holding, direct or indirect, representing more than 10 % of the voting rights or of the capital in a given insurance undertaking; |
| --- | --- |

(a)

whether it has a holding, direct or indirect, representing more than 10 % of the voting rights or of the capital in a given insurance undertaking;

| (b) | whether a given insurance undertaking or parent undertaking of a given insurance undertaking has a holding, direct or indirect, representing more than 10 % of the voting rights or of the capital in the insurance intermediary; |
| --- | --- |

(b)

whether a given insurance undertaking or parent undertaking of a given insurance undertaking has a holding, direct or indirect, representing more than 10 % of the voting rights or of the capital in the insurance intermediary;

| (c) | in relation to the contract proposed, whether:






  (i) | it gives advice on the basis of a fair
  and personal
  analysis, or |
| --- | --- | --- |

(c)

in relation to the contract proposed, whether:

(i)

it gives advice on the basis of a fair
  and personal
  analysis, or

| (ii) | it is under a contractual obligation to conduct insurance mediation business exclusively with one or more insurance undertakings. In that case, it shall provide the names of those insurance undertakings, or |
| --- | --- |

(ii)

it is under a contractual obligation to conduct insurance mediation business exclusively with one or more insurance undertakings. In that case, it shall provide the names of those insurance undertakings, or

| (iii) | it is not under a contractual obligation to conduct insurance mediation business exclusively with one or more insurance undertakings and does not give advice on the basis of a fair
  and personal
  analysis. In that case, it shall provide the names of the insurance undertakings with which it may and does conduct business; |
| --- | --- |

(iii)

it is not under a contractual obligation to conduct insurance mediation business exclusively with one or more insurance undertakings and does not give advice on the basis of a fair
  and personal
  analysis. In that case, it shall provide the names of the insurance undertakings with which it may and does conduct business;

| ▐ | |
| --- | --- |

▐

| (e) | whether in relation to the insurance contract, it works:






  (i) | on the basis of a fee, that is the remuneration paid directly by the customer; or |
| --- | --- | --- |

(e)

whether in relation to the insurance contract, it works:

(i)

on the basis of a fee, that is the remuneration paid directly by the customer; or

| (ii) | on the basis of a commission of any kind, that is the remuneration included in the insurance premium; or |
| --- | --- |

(ii)

on the basis of a commission of any kind, that is the remuneration included in the insurance premium; or

| (iii) | on the basis of a combination of both (i) and (ii); |
| --- | --- |

(iii)

on the basis of a combination of both (i) and (ii);

| ▐ | |
| --- | --- |

▐

| (ea) | whether in relation to the insurance contract, the source of remuneration is:










  (i) | the policyholder; |
| --- | --- | --- |

(ea)

whether in relation to the insurance contract, the source of remuneration is:

(i)

the policyholder;

| (ii) | the insurance undertaking; |
| --- | --- |

(ii)

the insurance undertaking;

| (iii) | another insurance intermediary; |
| --- | --- |

(iii)

another insurance intermediary;

| (iv) | a combination of points (i), (ii) and (iii); |
| --- | --- |

(iv)

a combination of points (i), (ii) and (iii);

| ▐ | |
| --- | --- |

▐

2.   
  The consumer has the right to request additional detailed information as referred to in paragraph 1(e a).

3.   The insurance undertaking
  , when selling insurance directly to customers,
  shall inform the customer ▐ whether any variable remuneration is paid to employees for distributing and managing the insurance product in question.

▐

5a.
     
  In cases of conflict of interest and to stimulate fair competition, the consumer shall be provided with information about relevant quantitative elements as regards, the concepts referred to in the paragraph 1(ea) and paragraph 3 of this Article and on the same conditions. In accordance with Article 16 of Regulation (EU) No 1094/2010, EIOPA shall develop, by 31 December 2015 and update periodically, guidelines to ensure consistent application of this Article.

Article 17 a

Disclosure of information

Member States may introduce or retain additional disclosure requirements for insurance mediators and insurance undertakings concerning the amount of remuneration, fees, commissions or non-monetary benefits in relation to the provision of intermediation provided that the Member State upholds a level playing field between all distribution channels, does not distort competition, and complies with Union law, and that the resulting administrative burdens remain proportional to the intended level of consumer protection.

Article 18

Advice, and standards for sales▐

1.   
  Where advice is provided
  prior to the conclusion of any specific contract, the insurance intermediary — including tied ones — or insurance undertaking shall
  specify
  , on the basis of information provided by the customer:

| (a) | the demands and the needs of that customer; |
| --- | --- |

(a)

the demands and the needs of that customer;

| (b) | ▐ the underlying reasons for any advice
  given
  to the customer on a specified insurance product▐ |
| --- | --- |

(b)

▐ the underlying reasons for any advice
  given
  to the customer on a specified insurance product▐

2.   The details referred to in points (a) and (b) of paragraph 1 shall be modulated according to the complexity of the insurance product being proposed and the level of financial risk to the customer
  regardless of the distribution route selected
  .

3.   When the insurance intermediary or the insurance undertaking gives
  advice on the basis of fair analysis
  ,
  it
  is obliged to give that advice on the basis of
  a fair
  analysis of a sufficiently large number of insurance contracts available on the market, to enable it to make a
  personal
  recommendation
  in the best interest of the consumer
  , in accordance with professional criteria, regarding which insurance contract would
  most suitable
  to meet the customer's needs.

4.   Prior to the conclusion of a contract, whether or not advice is given, the insurance intermediary or insurance undertaking shall
  provide
  the customer the relevant information about the insurance product in a comprehensible form to allow the customer to make an informed decision, while taking into account the complexity of the insurance product and the type of costumer.
  It shall be provided in a standardised information sheet by way of a product information document (PID) in plain language. It shall contain at least the following information:

| (a) | information about the type of insurance; |
| --- | --- |

(a)

information about the type of insurance;

| (b) | a description of the risks insured and excluded risks; |
| --- | --- |

(b)

a description of the risks insured and excluded risks;

| (c) | the means of payment of premiums and the duration of payments; |
| --- | --- |

(c)

the means of payment of premiums and the duration of payments;

| (d) | exclusions; |
| --- | --- |

(d)

exclusions;

| (e) | obligations at the start of the contract; |
| --- | --- |

(e)

obligations at the start of the contract;

| (f) | obligations during the term of the contract; |
| --- | --- |

(f)

obligations during the term of the contract;

| (g) | obligations in case of a claim made; |
| --- | --- |

(g)

obligations in case of a claim made;

| (h) | the term of the contract including start and end date of the contract; |
| --- | --- |

(h)

the term of the contract including start and end date of the contract;

| (i) | the means of terminating the contract. |
| --- | --- |

(i)

the means of terminating the contract.

4a.
     
  Paragraph 4 shall not apply to:

| (a) | investment products as defined in Article 4a of Regulation .../.../EU of the European Parliament and of the Council

   (23)

  ; or |
| --- | --- |

(a)

investment products as defined in Article 4a of Regulation .../.../EU of the European Parliament and of the Council

   (23)

  ; or

| (b) | the sale of insurance investment products referred to in Chapter VII of this Directive. |
| --- | --- |

(b)

the sale of insurance investment products referred to in Chapter VII of this Directive.

Article 19

Information exemptions and flexibility clause

1.   The information referred to in Articles 16, 17 and 18 need not be
  provided
  when the insurance intermediary or insurance undertaking mediates in the insurance of large risks, in the case of mediation by reinsurance intermediaries or reinsurance undertakings, or in relation to professional customers as specified in the Annex.

2.   Member States may maintain or adopt stricter provisions regarding the information requirements referred to in Articles 16, 17 and 18 provided that such provisions comply with Union law. Member States shall communicate to EIOPA and the Commission such national provisions.

2a.
     
  Member States which maintain or adopt stricter provisions applying to insurance intermediaries shall ensure that those provisions respect level playing field principles and that the administrative burden stemming from these provisions is proportionate relative to the consumer protection benefits.

3.   In order to establish a high level of transparency by all appropriate means, EIOPA shall ensure that the information it receives relating to national provisions is also communicated to consumers insurance intermediaries and insurance undertakings.

Article 20

Information conditions

1.   All information to be provided in accordance with Articles 16, 17 and 18 shall be communicated to the customers:

| (a) | on paper; |
| --- | --- |

(a)

on paper;

| (b) | in a clear and accurate manner, comprehensible to the customer; and |
| --- | --- |

(b)

in a clear and accurate manner, comprehensible to the customer; and

| (c) | in an official language of the Member State in which the risk is situated or the Member State of the commitment or in any other language agreed by the parties. It shall be provided free of charge. |
| --- | --- |

(c)

in an official language of the Member State in which the risk is situated or the Member State of the commitment or in any other language agreed by the parties. It shall be provided free of charge.

2.   By way of derogation from paragraph 1(a), the information referred to in Articles 16, 17 and 18 may be provided to the customer in one of the following media:

| (a) | using a durable medium other than paper, where the conditions laid down in paragraph 4 are met; or |
| --- | --- |

(a)

using a durable medium other than paper, where the conditions laid down in paragraph 4 are met; or

| (b) | by means of a website where the conditions laid down in paragraph 5 are met. |
| --- | --- |

(b)

by means of a website where the conditions laid down in paragraph 5 are met.

3.   However, where the information referred to in Articles 16, 17 and 18 is provided using a durable medium other than paper or by means of a website, a paper copy shall be provided to the customer upon request and free of charge.

4.   The information referred to in Articles 16, 17 and 18 may be provided using a durable medium other than paper if the following conditions are met:

| (a) | the use of the durable medium is appropriate in the context of the business conducted between the intermediary or insurance undertaking and the customer; and |
| --- | --- |

(a)

the use of the durable medium is appropriate in the context of the business conducted between the intermediary or insurance undertaking and the customer; and

| (b) | the customer has been given the choice between information on paper and in the durable medium, and has chosen that other medium. |
| --- | --- |

(b)

the customer has been given the choice between information on paper and in the durable medium, and has chosen that other medium.

5.   The information referred to in Articles 16, 17 and 18 may be provided by the means of a website if it is addressed personally to the customer or if the following conditions are met:

| (a) | the provision of the information referred to in Articles 16, 17 and 18 by means of a website is appropriate in the context of the business conducted between the intermediary or insurance undertaking and the customer; |
| --- | --- |

(a)

the provision of the information referred to in Articles 16, 17 and 18 by means of a website is appropriate in the context of the business conducted between the intermediary or insurance undertaking and the customer;

| (b) | the customer has consented to the provision of the information referred to in Articles 16, 17 and 18 by means of a website; |
| --- | --- |

(b)

the customer has consented to the provision of the information referred to in Articles 16, 17 and 18 by means of a website;

| (c) | the customer has been notified electronically of the address of the website, and the place on the website where the information referred to in Articles 16, 17 and 18 can be accessed; |
| --- | --- |

(c)

the customer has been notified electronically of the address of the website, and the place on the website where the information referred to in Articles 16, 17 and 18 can be accessed;

| (d) | it is ensured that the information referred to in Articles 16, 17 and 18 remains accessible on the website for such period of time as the customer reasonably need to consult it. |
| --- | --- |

(d)

it is ensured that the information referred to in Articles 16, 17 and 18 remains accessible on the website for such period of time as the customer reasonably need to consult it.

6.   For the purposes of paragraph 4 and 5, the provision of information using a durable medium other than paper or by means of a website shall be regarded as appropriate in the context of the business conducted between the intermediary or insurance undertaking and the customer, if there is evidence that the customer has regular access to the Internet. The provision by the customer of an e-mail address for the purposes of that business shall be regarded as such evidence.

7.   In the case of telephone selling, the prior information given to the customer shall be in accordance with Union rules applicable to the distance marketing of consumer financial services. Moreover,
  after the customer has chosen to obtain information in a medium other than paper in accordance with paragraph 4,
  information shall be provided to the customer in accordance with paragraph 1 or 2 immediately after the conclusion of the insurance contract.

▌

Article 21a

Tying and bundling practices

1.
     
  When insurance is offered together with another service or ancillary product as part of a package or the same agreement or package, the insurance intermediary or insurance undertaking shall inform and offer the customer the possibility of buying the different components jointly or separately provide for a separate evidence of the premium or prices of each component. This shall not prevent the mediation of insurance products with different levels of insurance coverage or multi insurance risk policies.

2.
     
  Where the risks resulting from such an agreement or package offered to a customer are likely to be different from the risks associated with the components taken separately, the insurance intermediary or insurance undertaking shall, upon the customer’s request, provide an adequate description of the different components of the agreement or package and the way in which its interaction alters the risks.

3.
     
  EIOPA, in cooperation with the European Supervisory Authority (European Banking Authority) ESMA, through the Joint Committee of the European Supervisory Authorities, shall develop by ... [18 months after the date of entry into force of this Directive], and update periodically, guidelines for the assessment and the supervision of cross-selling practices indicating, in particular, situations in which cross-selling practices do not comply with Article 15(1).

4.
     
  Member States shall ensure that where an insurance intermediary or insurance undertaking provides advice it ensures that the overall package of insurance products meets the demands and needs of the customer.

5.
     
  Member States may maintain or adopt additional stricter measures or intervene on a case-by-case basis to prohibit the sale of insurance together with another service or product as part of a package or as a condition for the same agreement or package when they can demonstrate that such practices are detrimental to consumers.

CHAPTER VII

ADDITIONAL CUSTOMER PROTECTION REQUIREMENTS IN RELATION TO INSURANCE INVESTMENT PRODUCTS

Article 22

Scope

This Chapter applies ▌ requirements
  additional
  to
  those referred to in Articles 15, 16, 17 and 18
  to insurance mediation
  activities
  when
  they are
  carried on in relation to the sale of insurance investment
  based
  products by
  the following
  :

| (a) | an insurance intermediary; |
| --- | --- |

(a)

an insurance intermediary;

| (b) | an insurance undertaking. |
| --- | --- |

(b)

an insurance undertaking.

Article 23

Conflicts of interest

1.   Member States shall require insurance intermediaries and insurance undertakings to take all appropriate steps to identify conflicts of interest between themselves, including their managers, employees and tied insurance intermediaries, or any person directly or indirectly linked to them by control and their customers or between one customer and another that arise in the course of carrying
  out any
  insurance mediation
  activities
  .

2.   Where
  organisational or administrative arrangements made
  by the insurance intermediary or insurance undertaking in
  accordance
  with Article 15, 16 and 17 are not sufficient to ensure, with reasonable confidence, that risks of damage to
  customer
  interests ▐ will be prevented, the insurance intermediary or insurance undertaking shall clearly disclose
  to the customer
  the general nature
  and
  sources of conflicts of interest
  , as appropriate,
  to the customer before undertaking business on
  its
  behalf.

2a.
     
  The disclosure referred to in paragraph 2 shall:

| (a) | be made in a durable medium; and |
| --- | --- |

(a)

be made in a durable medium; and

| (b) | include sufficient detail, taking into account the nature of the customer, to enable that customer to take an informed decision with respect to the insurance mediation activities in the context of which the conflict of interest arises. |
| --- | --- |

(b)

include sufficient detail, taking into account the nature of the customer, to enable that customer to take an informed decision with respect to the insurance mediation activities in the context of which the conflict of interest arises.

3.   The Commission shall be empowered to adopt delegated acts in accordance with Article 33
  in order to
  :

| (a) | ▌define the steps ▐ that insurance intermediaries
  or
  insurance undertakings might reasonably be expected to take to identify, prevent, manage and disclose conflicts of interest when
  carrying out
  insurance mediation
  activities
  ; |
| --- | --- |

(a)

▌define the steps ▐ that insurance intermediaries
  or
  insurance undertakings might reasonably be expected to take to identify, prevent, manage and disclose conflicts of interest when
  carrying out
  insurance mediation
  activities
  ;

| (b) | establish
  appropriate criteria for determining the types of conflict of interest whose existence may damage the interests of the customers or potential customers of the insurance intermediary or insurance undertaking. |
| --- | --- |

(b)

establish
  appropriate criteria for determining the types of conflict of interest whose existence may damage the interests of the customers or potential customers of the insurance intermediary or insurance undertaking.

Article 24

General principles and information to customers

1.   Member States shall
  ensure
  that, when carrying out insurance mediation
  activities
  , an insurance intermediary or insurance undertaking acts honestly, fairly and professionally in accordance with the best interests of its customers and complies, in particular, with the principles set out in this Article and in Article 25.

2.   All information, including marketing communications, addressed by the insurance intermediary or insurance undertaking to customers or potential customers shall be fair, clear and not misleading. Marketing communications shall be clearly identifiable as such.

3.   Appropriate information shall be provided to customers or potential customers about
  the following
  :

| (a) | the insurance intermediary or insurance undertaking and its services
  : when
  advice is provided, information shall specify whether the advice is provided on an independent basis and whether it is based on a broad or on a more restricted analysis of the market and shall indicate whether the insurance intermediary or insurance undertaking will provide the customer with the on-going assessment of the suitability of the
  insurance-based investment
  product recommended to
  customers; |
| --- | --- |

(a)

the insurance intermediary or insurance undertaking and its services
  : when
  advice is provided, information shall specify whether the advice is provided on an independent basis and whether it is based on a broad or on a more restricted analysis of the market and shall indicate whether the insurance intermediary or insurance undertaking will provide the customer with the on-going assessment of the suitability of the
  insurance-based investment
  product recommended to
  customers;

| (b) | insurance-based investment
  products and proposed investment strategies
  : this
  should include appropriate guidance on and warnings of the risks associated with investments in those
  instruments
  or in respect of particular investment strategies; ▐ |
| --- | --- |

(b)

insurance-based investment
  products and proposed investment strategies
  : this
  should include appropriate guidance on and warnings of the risks associated with investments in those
  instruments
  or in respect of particular investment strategies; ▐

| (ba) | all costs and associated charges relating to insurance intermediation or ancillary services which must include the cost of advice, where relevant, the cost of the financial instrument recommended or marketed to the client and how the client may pay for it, also encompassing any third-party payments; [Am. 8] |
| --- | --- |

(ba)

all costs and associated charges relating to insurance intermediation or ancillary services which must include the cost of advice, where relevant, the cost of the financial instrument recommended or marketed to the client and how the client may pay for it, also encompassing any third-party payments; [Am. 8]

3a.
     
  The information concerning all costs and charges, including costs and charges in connection with the intermediation service and the insurance product, which are not caused by the occurrence of underlying market risk, shall be aggregated to allow the client to understand the overall cost as well as the cumulative effect on return of the investment, and where the client so requests, an itemised breakdown. Where applicable, such information shall be provided to the client on a regular basis, at least annually, during the life of the investment.

The information referred to in the first subparagraph and in paragraph 6a shall be provided in a comprehensible form in such a manner that clients or potential clients are reasonably able to understand the nature and risks of the investment service and of the specific type of insurance investment product that is being offered and, consequently, to take investment decisions on an informed basis. Member States may allow that information to be provided in a standardised format. [Am. 9]

4.   The information referred to in
  paragraphs 2 and 3
  should be provided in a comprehensible form in such a manner that customers or potential customers are reasonably able to understand the nature and risks of the specific
  type of insurance-based investment
  product that is being offered and, consequently, to take investment decisions on an informed basis. This information may be provided in a standardised format
  in accordance with Article 18(4)
  .

5.   
  Member States shall require that when
  the insurance intermediary or insurance undertaking informs the customer that insurance advice is provided on an independent basis the insurance intermediary or insurance undertaking
  shall disclose to the customer the nature of the remuneration received in relation to the insurance contract
  :

| (a) | the range of insurance products on which the recommendation will be based and, in particular, whether the range is limited to insurance products issued or provided by entities having close links with the intermediary who represents the customer; |
| --- | --- |

(a)

the range of insurance products on which the recommendation will be based and, in particular, whether the range is limited to insurance products issued or provided by entities having close links with the intermediary who represents the customer;

5a.
     
  Member States may additionally prohibit or further restrict the offer or acceptance of fees, commissions or non-monetary benefits from third parties in relation to the provision of insurance advice. That may include requiring any such fees, commissions or non-monetary benefits to be returned to the clients or offset against fees paid by the client.

Member States may further require that where an intermediary informs the client that advice is given independently, the intermediary shall
  assess a sufficiently large number of insurance products available on the market
  which are sufficiently
  diversified with regard to their type and issuers or product
  providers to ensure that the client's objectives can be suitably met and shall
  not be limited to insurance products issued or provided by entities having close links with the ▐ intermediary▐.

5b.
     
  An insurance intermediary shall maintain and operate effective organisational and administrative arrangements with a view to taking all reasonable steps designed to prevent conflicts of interest as defined in Article 23 from adversely affecting the interests of its clients.

An insurance company which manufactures financial instruments for sale to clients shall maintain, operate and review a process for the approval of each insurance product or significant adaptations of existing insurance products before it is marketed or distributed to clients.

The product approval process shall specify an identified target market of end clients within the relevant category of clients for each product and ensure that all relevant risks to such identified target market are assessed and that the intended distribution strategy is consistent with the identified target market.

The insurance company shall also regularly review financial instruments offered or marketed by the firm, taking into account any event that could materially affect the potential risk to the identified target market, to assess at least whether the product remains consistent with the needs of the identified target market and whether the intended distribution strategy remains appropriate. [Am. 11]

6.   EIOPA shall develop by ... [18 months after the date of entry into force of this Directive], and update periodically, guidelines for the assessment and the supervision of cross-selling practices indicating, in particular, situations in which cross-selling practices are not compliant with obligations in paragraph 1.

▐

7.   The Commission shall be empowered to adopt delegated acts in accordance with Article 33
  to specify the principles with which
  insurance intermediaries and insurance undertakings
  must
  comply ▌when carrying
  out
  insurance mediation
  activities
  with their customers. Those delegated acts shall
  take into account
  :

| (a) | the nature of the
  services
  offered or provided to the customer or potential customer, taking into account the type, object, size and frequency of the transactions; |
| --- | --- |

(a)

the nature of the
  services
  offered or provided to the customer or potential customer, taking into account the type, object, size and frequency of the transactions;

| (b) | the nature of the products being offered or considered including different types of
  insurance-based investment
  products; |
| --- | --- |

(b)

the nature of the products being offered or considered including different types of
  insurance-based investment
  products;

Article 25

Assessment of suitability and appropriateness and reporting to customers

1.   When providing advice the insurance intermediary or insurance undertaking shall obtain the necessary information regarding the customer's or potential customer's knowledge and experience in the
  investment
  field relevant to the specific type of product▐, the customer's or potential customer's financial situation and ▌investment objectives
  so as to enable
  the insurance intermediary or insurance undertaking
  to
  recommend
  to the customer or potential customer
  the insurance
  mediation activities or insurance-based investment
  products that are suitable for the customer or potential customer.

2.   Member States shall ensure that insurance intermediaries and insurance undertakings, when carrying
  out
  insurance mediation
  activities other than those referred to in paragraph 1
  , ask the customer or potential customer to provide information regarding
  his
  knowledge and experience in the investment field relevant to the specific type of
  insurance-based investment
  product ▐ offered or demanded so as to enable the insurance intermediary or insurance undertaking to assess whether the insurance
  mediation activity or insurance-based
  product envisaged is appropriate for the customer.

Where the insurance intermediary or insurance undertaking considers, on the basis of the information received under the previous subparagraph, that the
  insurance-based investment
  product ▐ is not appropriate to the customer or potential customer, the insurance intermediary or insurance undertaking shall warn the customer or potential customer. This warning may be provided in a standardised format.

Where customers or potential customers do not provide the information referred to
  under
  the first subparagraph, or where they provide insufficient information regarding their knowledge and experience, the insurance intermediary or insurance undertaking shall warn them that
  they are
  not in a position to determine whether the
  insurance-based investment
  product envisaged is appropriate for them. This warning may be provided in a standardised format.

2a
  .   
  Member States shall allow insurance intermediaries or insurance undertakings when carrying out insurance mediation activities that consist only of executing customer orders, to provide those activities to their customers without the need to obtain the information or make the determination provided for in paragraph 2 where all the following conditions are met:

| (a) | the activities refer to either of the following insurance-based investment products:










  (i) | contracts which only provide investment exposure to the financial instruments deemed non-complex under Directive .../.../EU [MiFID] and do not incorporate a structure which makes it difficult for the customer to understand the risks involved; or |
| --- | --- | --- |

(a)

the activities refer to either of the following insurance-based investment products:

(i)

contracts which only provide investment exposure to the financial instruments deemed non-complex under Directive .../.../EU [MiFID] and do not incorporate a structure which makes it difficult for the customer to understand the risks involved; or

| (ii) | other non-complex insurance-based investments for the purpose of this paragraph; |
| --- | --- |

(ii)

other non-complex insurance-based investments for the purpose of this paragraph;

| (b) | the insurance mediation activity is carried out at the initiative of the customer or potential customer; |
| --- | --- |

(b)

the insurance mediation activity is carried out at the initiative of the customer or potential customer;

| (c) | the customer or potential customer has been clearly informed, whether or not in a standardised format, that in the provision of this insurance mediation activity, the insurance intermediary or insurance undertaking is not required to assess the appropriateness of the insurance-based investment product or insurance mediation activity provided or offered and that the customer or potential customer does not benefit from the corresponding protection of the relevant conduct of business rules; |
| --- | --- |

(c)

the customer or potential customer has been clearly informed, whether or not in a standardised format, that in the provision of this insurance mediation activity, the insurance intermediary or insurance undertaking is not required to assess the appropriateness of the insurance-based investment product or insurance mediation activity provided or offered and that the customer or potential customer does not benefit from the corresponding protection of the relevant conduct of business rules;

| (d) | the insurance intermediary or insurance undertaking complies with its obligations under Article 23. |
| --- | --- |

(d)

the insurance intermediary or insurance undertaking complies with its obligations under Article 23.

3.   The insurance intermediary or insurance undertaking shall establish a record that includes
  the
  document or documents ▐ agreed between
  itself
  and the customer that set out the rights and obligations of the parties, and the other terms on which the insurance intermediary or insurance undertaking will
  carry out insurance mediation activities for
  the customer. The rights and duties of the parties to the contract may be incorporated by reference to other documents or legal texts.

4.   The ▐ insurance intermediary or insurance undertaking
  shall provide the customer with
  adequate reports on the
  insurance mediation activity
  provided ▐. These reports shall include periodic communications to customers, taking into account the type and the complexity of
  insurance-based investment
  products involved and the nature of the
  insurance mediation activity carried out for
  the customer and shall include, where applicable, the costs associated with the
  activities
  undertaken on behalf of the customer. ▐

When providing advice, the insurance intermediary or insurance undertaking shall, before the insurance-based investment product is arranged with the customer, provide the customer with a statement in a durable medium on suitability specifying the advice given and how that advice meets the preferences, objectives and other characteristics of the customer.

Where the agreement is concluded using a means of distance communication which prevents the prior delivery of the suitability assessment, the insurance intermediary or insurance undertaking can provide the written statement on suitability in a durable medium immediately after the customer is bound by any agreement.

5.   The Commission shall be empowered to adopt delegated acts in accordance with Article 33 to
  specify the principles with which
  insurance intermediaries and insurance undertakings
  must
  comply ▌when carrying
  out
  insurance mediation
  activities to
  their customers. Those delegated acts shall
  take into account
  :

| (a) | the nature of the
  services
  offered or provided to the customer or potential customer, taking into account the type, object, size and frequency of the transactions; |
| --- | --- |

(a)

the nature of the
  services
  offered or provided to the customer or potential customer, taking into account the type, object, size and frequency of the transactions;

| (b) | the nature of the products being offered or considered, including different types of
  financial instruments and banking deposits referred to in Article 1(2) of Directive .../.../EU [MiFID]; |
| --- | --- |

(b)

the nature of the products being offered or considered, including different types of
  financial instruments and banking deposits referred to in Article 1(2) of Directive .../.../EU [MiFID];

| (ba) | the retail or professional nature of the customer or potential customer
  . |
| --- | --- |

(ba)

the retail or professional nature of the customer or potential customer
  .

5a.
     
  EIOPA shall develop by ... [18 months after the date of entry into force of this Directive], and update periodically, guidelines for the assessment of insurance-based investment products incorporating a structure which makes it difficult for the customer to understand the risk involved in accordance with paragraph 3(a).

CHAPTER VIII

PENALTIES AND OTHER MEASURES

Article 26

Administrative penalties and other measures

1.   Member States shall ensure that their administrative penalties and other measures are effective, proportionate and dissuasive.

2.   Member States shall ensure that where obligations apply to insurance or reinsurance undertakings or insurance or reinsurance intermediaries, in case of a breach, administrative penalties and other measures can be applied to the members of their management body, and any other natural or legal persons who, under national law, are responsible for a breach.

3.   The competent authorities shall be given all investigatory powers that are necessary for the exercise of their functions. In the exercise of their [...] powers to impose penalties, the competent authorities shall cooperate closely to ensure that penalties or other measures produce the desired results and coordinate their action when dealing with cross border cases
  , while ensuring that conditions are met for legitimate data processing in accordance with Directive 95/46/EC and Regulation (EC) No 45/2001. The competent authorities may request documents or other information under a formal decision, which shall indicate the legal basis for the request for information, the deadline for compliance and the right of the recipient to seek a judicial review of the decision
  .

Article 27

Publication of penalties

Member States shall provide that the competent authority publishes any penalty or other measure that has been imposed for breaches of the provisions of the national provisions adopted in the implementation of this Directive ▐ including information on the type and nature of the breach and the identity of persons responsible for it,
  only if the penalty or other measure has become final and is not subject to appeal or judicial review
  . Where the publication would cause a disproportionate damage to the parties involved, the competent authorities shall publish the penalties on an anonymous basis.

Article 28

Breaches

1.   This article shall apply to the following:

| (a) | an insurance or reinsurance intermediary who is not registered in a Member State and who does not fall within Article 1(2) or Article 4; |
| --- | --- |

(a)

an insurance or reinsurance intermediary who is not registered in a Member State and who does not fall within Article 1(2) or Article 4;

| (b) | a person providing ancillary insurance activities without having submitted a declaration as laid down in Article 4, or who has submitted such a declaration but in respect of whom the requirements set out in Article 4 are not met; |
| --- | --- |

(b)

a person providing ancillary insurance activities without having submitted a declaration as laid down in Article 4, or who has submitted such a declaration but in respect of whom the requirements set out in Article 4 are not met;

| (c) | an insurance or reinsurance undertaking or insurance or reinsurance intermediary using the insurance or reinsurance mediation services of persons who are neither registered in a Member State nor referred to in Article 1(2), and who have not submitted a declaration under Article 4; |
| --- | --- |

(c)

an insurance or reinsurance undertaking or insurance or reinsurance intermediary using the insurance or reinsurance mediation services of persons who are neither registered in a Member State nor referred to in Article 1(2), and who have not submitted a declaration under Article 4;

| (d) | an insurance or reinsurance intermediary having obtained a registration through false statements or any other irregular means in breach of Article 3; |
| --- | --- |

(d)

an insurance or reinsurance intermediary having obtained a registration through false statements or any other irregular means in breach of Article 3;

| (e) | an insurance or reinsurance intermediary or insurance undertaking failing to meet the provisions of Article 8; |
| --- | --- |

(e)

an insurance or reinsurance intermediary or insurance undertaking failing to meet the provisions of Article 8;

| (f) | an insurance undertaking or insurance or reinsurance intermediary failing to comply with conduct of business requirements in accordance with Chapter VI and VII. |
| --- | --- |

(f)

an insurance undertaking or insurance or reinsurance intermediary failing to comply with conduct of business requirements in accordance with Chapter VI and VII.

2.   Member States shall ensure that in the cases referred to in paragraph 1, the administrative penalties and other measures that can be applied include at least the following:

| (a) | a public statement, which indicates the natural or legal person and the nature of the breach; |
| --- | --- |

(a)

a public statement, which indicates the natural or legal person and the nature of the breach;

| (b) | an order requiring the natural or legal person to cease the conduct and to desist from a repetition of that conduct; |
| --- | --- |

(b)

an order requiring the natural or legal person to cease the conduct and to desist from a repetition of that conduct;

| (c) | in case of an insurance or reinsurance intermediary, withdrawal of registration in accordance with Article 3; |
| --- | --- |

(c)

in case of an insurance or reinsurance intermediary, withdrawal of registration in accordance with Article 3;

| (d) | a
  temporary
  ban against any member of the management body of the insurance or reinsurance intermediary or insurance or reinsurance undertaking▐, who is held responsible, to exercise functions in insurance intermediaries or reinsurance intermediaries, or insurance or reinsurance undertakings; |
| --- | --- |

(d)

a
  temporary
  ban against any member of the management body of the insurance or reinsurance intermediary or insurance or reinsurance undertaking▐, who is held responsible, to exercise functions in insurance intermediaries or reinsurance intermediaries, or insurance or reinsurance undertakings;

| (e) | in case of a legal person, administrative pecuniary penalties of up to 10 % of the total annual turnover of the legal person in the preceding business year; where the legal person is a subsidiary of a parent undertaking, the relevant total annual turnover shall be the total annual turnover resulting from the consolidated accounts of the ultimate parent undertaking in the preceding business year; |
| --- | --- |

(e)

in case of a legal person, administrative pecuniary penalties of up to 10 % of the total annual turnover of the legal person in the preceding business year; where the legal person is a subsidiary of a parent undertaking, the relevant total annual turnover shall be the total annual turnover resulting from the consolidated accounts of the ultimate parent undertaking in the preceding business year;

| (f) | in case of a natural person, administrative pecuniary penalties of up to 5 000 000 EUR, or in the Member States where the Euro is not the official currency, the corresponding value in the national currency on the date of entry into force of this Directive; and |
| --- | --- |

(f)

in case of a natural person, administrative pecuniary penalties of up to 5 000 000 EUR, or in the Member States where the Euro is not the official currency, the corresponding value in the national currency on the date of entry into force of this Directive; and

Where the benefit derived from the breach can be determined, Member States shall ensure that the maximum level is no lower than twice the amount of that benefit.

Article 29

Effective application of penalties

1.   Member States shall ensure that when determining the type of administrative penalties or other measures and the level of administrative pecuniary penalties, the competent authorities shall take into account all relevant circumstances, including
  , where appropriate
  :

| (a) | the gravity and the duration of the breach; |
| --- | --- |

(a)

the gravity and the duration of the breach;

| (b) | the degree of responsibility of the responsible natural or legal person; |
| --- | --- |

(b)

the degree of responsibility of the responsible natural or legal person;

| (c) | the financial strength of the responsible natural or legal person, as indicated by the total turnover of the responsible legal person or the annual income of the responsible natural person; |
| --- | --- |

(c)

the financial strength of the responsible natural or legal person, as indicated by the total turnover of the responsible legal person or the annual income of the responsible natural person;

| (d) | the importance of profits gained or losses avoided by the responsible natural or legal person, insofar as they can be determined; |
| --- | --- |

(d)

the importance of profits gained or losses avoided by the responsible natural or legal person, insofar as they can be determined;

| (e) | the losses for third parties caused by the breach, insofar as they can be determined; |
| --- | --- |

(e)

the losses for third parties caused by the breach, insofar as they can be determined;

| (f) | the level of cooperation of the responsible natural or legal person with the competent authority; and |
| --- | --- |

(f)

the level of cooperation of the responsible natural or legal person with the competent authority; and

| (g) | previous breaches by the responsible natural or legal person. |
| --- | --- |

(g)

previous breaches by the responsible natural or legal person.

▐

3.   This Directive shall not affect the power of the host Member States to take appropriate measures to prevent or to penalise irregularities committed within their territories which are contrary to legal or regulatory provisions adopted in the interest of the general good. This shall include the possibility of preventing offending insurance or reinsurance intermediaries from initiating any further activities within their territories.▐

Article 30

Reporting of breaches

1.   Member States shall ensure that the competent authorities establish effective mechanisms to encourage reporting of breaches of national provisions implementing this Directive to the competent authorities.

2.   Those arrangements shall include at least:

| (a) | specific procedures for the receipt of reports and their follow-up; |
| --- | --- |

(a)

specific procedures for the receipt of reports and their follow-up;

| (b) | appropriate protection
  , including anonymity where appropriate, for those who report the commission of
  breaches committed within them; and |
| --- | --- |

(b)

appropriate protection
  , including anonymity where appropriate, for those who report the commission of
  breaches committed within them; and

| (c) | protection of personal data concerning both the person who reports the breaches and the natural person who is allegedly responsible for a breach, in compliance with the principles laid down in Directive 95/46/EC. |
| --- | --- |

(c)

protection of personal data concerning both the person who reports the breaches and the natural person who is allegedly responsible for a breach, in compliance with the principles laid down in Directive 95/46/EC.

The identity of the persons reporting and allegedly responsible for the breach shall remain confidential at every stage, unless the disclosure thereof is required under national law for the purpose of subsequent inquiries or legal proceedings.

Article 31

Submitting information to EIOPA in relation to penalties

1.   Member States shall provide EIOPA annually with aggregated information regarding all administrative measures or administrative penalties imposed in accordance with Article 26.

Competent authorities
  shall provide EIOPA annually with aggregated information regarding all administrative measures or administrative penalties imposed in accordance with Article 26.

2.   Where the competent authority has disclosed an administrative measure or administrative penalty to the public, it shall contemporaneously report that fact to EIOPA.

3.   EIOPA shall develop draft implementing technical standards on procedures and forms for submitting information as referred to in this Article.

EIOPA shall submit those draft implementing technical standards to the Commission by ...[18 months after entry into force of this Directive].

Power is conferred on the Commission to adopt the implementing technical standards referred to in the first subparagraph in accordance with Article 15 of Regulation (EU) No 1094/2010.

CHAPTER IX

FINAL PROVISIONS

Article 32

Data Protection

1.   Member States shall apply Directive 95/46/EC to the processing of personal data carried out in the Member States pursuant to this Directive.

2.   Regulation (EC) No 45/2001 shall apply to the processing of personal data carried out by EIOPA pursuant to this Directive.

Article 33

Delegated acts

The Commission shall be empowered to adopt delegated acts in accordance with Article 34 concerning Articles ▐ 23, 24 and 25.

Article 34

Exercise of the delegation

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts referred to in Articles ▐ 23, 24 and 25 shall be conferred on the Commission for an indeterminate period of time from the date of entry into force of this Directive.

3.   The delegation of powers referred to in Articles ▐ 23, 24 and 25 may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Articles ▐ 23, 24 and 25 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of
  three months
  of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by
  three months
  at the initiative of the European Parliament or the Council.

Article 34a

Further provisions for draft regulatory technical standards

1.
     
  Notwithstanding any time limit provided for the submission of draft regulatory technical standards to the Commission, the Commission shall submit its drafts in intervals of of 12, 18 or 24 months.

2.
     
  The Commission shall not adopt regulatory technical standards where the scrutiny time of the European Parliament is reduced to less than two months, including any extension, because of recess.

3.
     
  The European Supervisory Authorities may consult the European Parliament during the drafting stages of the regulatory technical standards, particularly where there are concerns regarding the scope of this Directive.

4.
     
  Where the competent committee of the European Parliament has rejected regulatory technical standards and there are less than two weeks before the following plenary part-session, the European Parliament may extend its time for scrutiny until the plenary part-session thereafter.

5.
     
  Where regulatory technical standards have been rejected and the identified issues are of limited scope, the Commission may adopt an expedited timetable for delivering a revised draft regulatory technical standard.

6.
     
  The Commission shall ensure that all queries of the European Parliament that are formally raised formally via the Chair of the competent committee are answered promptly before the adoption of the draft regulatory technical standards.

Article 35

Review and evaluation

1.   By ... [five years after the date of entry into force of this Directive.], the Commission shall review ▐ the practical application of rules laid down in this Directive taking due account of developments in the retail investment products markets as well as experiences acquired in practical application of this Directive and Regulation .../.../EU [on key information documents for investment products] and Directive .../.../EU [MIFID II]. ▐ This
  examination
  shall also include a specific analysis of the impact of Article 17(2), taking into account the situation of competition on the market of intermediation services for contracts other than contracts in any of the classes specified in Annex I of Directive 2002/83/EC and the impact of the obligations referred to in Article 17(2) on insurance intermediaries which are small and medium sized enterprises.

2.   After consulting the Joint Committee of European Supervisory Authorities, the Commission shall submit
  its findings
  to the European Parliament and
  to
  the Council.

▐

5.   
  The Commission
  shall examine whether the competent authorities referred to in Article 10(1) are sufficiently empowered and have adequate resources to carry out their tasks.

▐

Article 36

Transposition

1.   Member States shall
  adopt and publish, by ...[18 months after the date of entry into force of this Directive]
  , the laws, regulations and administrative provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those measures.

Where the documents accompanying notification of transposition measures provided by the Member States are not sufficient to assess fully the compliance of those measures with certain provisions of this Directive, the Commission may, upon EIOPA's request and with a view to carrying out its tasks under Regulation (EU) No 1094/2010, or on its own initiative, require Member States to provide more detailed information regarding the transposition of this Directive and the implementation of those measures.

1a.
     
  Member States shall apply the measures referred to in paragraph 1 from ... [18 months after the date of entry into force of this Directive].

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. They shall also include a statement that references in existing laws, regulations and administrative provisions to the directive repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

2.   Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 37

Repeal

Directive 2002/92/EC is repealed with effect from ... [18 months after the date of entry into force of this Directive.], without prejudice to obligations of the Member States relating to the time-limit for transposition into national law of that Directive.

References to the repealed Directive shall be construed as references to this Directive.

Article38

Entry into force

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

Article 39

Addressees

This Directive is addressed to the Member States.

Done at ...,

For the European Parliament

For the Council

---

(1)  Directive 2002/92/EC of the European Parliament and the Council of 9 December 2002 on insurance mediation (OJ L 9, 15.1.2003, p. 3).

1

Directive 2002/92/EC of the European Parliament and the Council of 9 December 2002 on insurance mediation (OJ L 9, 15.1.2003, p. 3).

(2)  
  Directive 2014/.../EU of the European Parliament and of the Council on markets in financial instruments repealing Directive 2004/39/EC (OJ ...)

2

Directive 2014/.../EU of the European Parliament and of the Council on markets in financial instruments repealing Directive 2004/39/EC (OJ ...)

(3)  Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC (OJ L 331, 15.12.2010, p. 48).

3

Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC (OJ L 331, 15.12.2010, p. 48).

(4)  
  Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (OJ L 165, 18.6.2013, p. 63).

4

Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (OJ L 165, 18.6.2013, p. 63).

(5)  Directive 2000/31/EC of the European Parliament and of the Council of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (‘Erective on electronic commerce’) (OJ L 178, 17.7.2000, p. 1).

5

Directive 2000/31/EC of the European Parliament and of the Council of 8 June 2000 on certain legal aspects of information society services, in particular electronic commerce, in the Internal Market (‘Erective on electronic commerce’) (OJ L 178, 17.7.2000, p. 1).

(6)  
  Directive 2005/29/EC of the European Parliament and of the Council of 11 May 2005 concerning unfair business-to-consumer commercial practices in the internal market and amending Council Directive 84/450/EEC, Directives 97/7/EC, 98/27/EC and 2002/65/EC of the European Parliament and of the Council and Regulation (EC) No 2006/2004 of the European Parliament and of the Council (‘Unfair Commercial Practices Directive’) (OJ L 149, 11.6.2005, p. 22).

6

Directive 2005/29/EC of the European Parliament and of the Council of 11 May 2005 concerning unfair business-to-consumer commercial practices in the internal market and amending Council Directive 84/450/EEC, Directives 97/7/EC, 98/27/EC and 2002/65/EC of the European Parliament and of the Council and Regulation (EC) No 2006/2004 of the European Parliament and of the Council (‘Unfair Commercial Practices Directive’) (OJ L 149, 11.6.2005, p. 22).

(7)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

7

Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

(8)  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data, under the supervision of the Member States competent authorities, in particular the public independent authorities designated by the Member States (OJ L 281, 23.11.1995, p. 31).

8

Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data, under the supervision of the Member States competent authorities, in particular the public independent authorities designated by the Member States (OJ L 281, 23.11.1995, p. 31).

(9)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the EU institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

9

Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the EU institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

(10)  
  OJ C 369, 17.12.2011, p. 14.

10

OJ C 369, 17.12.2011, p. 14.

(11)  Directive 2003/41/EC of the European Parliament and of the Council of 3 June 2003 on the activities and supervision of institutions for occupational retirement provision (OJ L 235, 23.9.2003, p. 10).

11

Directive 2003/41/EC of the European Parliament and of the Council of 3 June 2003 on the activities and supervision of institutions for occupational retirement provision (OJ L 235, 23.9.2003, p. 10).

(12)  
  Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).

12

Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).

(13)  Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).

13

Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 302, 17.11.2009, p. 32).

(14)  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 the business of direct insurance other than life assurance (OJ L 228, 16.8.1973, p. 3).

14

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 the business of direct insurance other than life assurance (OJ L 228, 16.8.1973, p. 3).

(15)  Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance (OJ L 345, 19.12.2002, p. 1).

15

Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance (OJ L 345, 19.12.2002, p. 1).

(16)  Directive 2005/68/EC of the European Parliament and of the Council of 16 November 2005 on reinsurance and amending Council Directives 73/239/EEC, 92/49/EEC as well as Directives 98/78/EC and 2002/83/EC (OJ L 323, 9.12.2005, p. 1).

16

Directive 2005/68/EC of the European Parliament and of the Council of 16 November 2005 on reinsurance and amending Council Directives 73/239/EEC, 92/49/EEC as well as Directives 98/78/EC and 2002/83/EC (OJ L 323, 9.12.2005, p. 1).

(17)  Directive 2005/36/EC of the European Parliament and of the Council of 7 September 2005 on the recognition of professional qualifications (OJ L 255, 30.9.2005, p. 22).

17

Directive 2005/36/EC of the European Parliament and of the Council of 7 September 2005 on the recognition of professional qualifications (OJ L 255, 30.9.2005, p. 22).

(18)  Recommendation of the European Parliament and of the Council of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning (OJ C 111, 6.5.2008, p. 1).

18

Recommendation of the European Parliament and of the Council of 23 April 2008 on the establishment of the European Qualifications Framework for lifelong learning (OJ C 111, 6.5.2008, p. 1).

(19)  Council Directive 92/49/EEC of 18 June 1992 on the coordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance and amending Directives 73/239/EEC and 88/357/EEC (third non-life insurance Directive) (OJ L 228, 11.8.1992, p. 1).

19

Council Directive 92/49/EEC of 18 June 1992 on the coordination of laws, regulations and administrative provisions relating to direct insurance other than life assurance and amending Directives 73/239/EEC and 88/357/EEC (third non-life insurance Directive) (OJ L 228, 11.8.1992, p. 1).

(20)  Council Directive 92/96/EEC of 10 November 1992 on the coordination of laws, regulations and administrative provisions relating to direct life assurance and amending Directives 79/267/EEC and 90/619/EEC (third life assurance Directive) (OJ L 360, 9.12.1992, p. 1).

20

Council Directive 92/96/EEC of 10 November 1992 on the coordination of laws, regulations and administrative provisions relating to direct life assurance and amending Directives 79/267/EEC and 90/619/EEC (third life assurance Directive) (OJ L 360, 9.12.1992, p. 1).

(21)  Directive .../.../EU of the European Parliament and of the Council of ... on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR) (OJ ...).

21

Directive .../.../EU of the European Parliament and of the Council of ... on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR) (OJ ...).

(22)  Regulation .../.../EU of the European Parliament and of the Council of ... on online dispute resolution for consumer disputes (Regulation on consumer ODR) (OJ ...).

22

Regulation .../.../EU of the European Parliament and of the Council of ... on online dispute resolution for consumer

(23)  
  Regulation .../.../EU of the European Parliament and of the Council on key information documents for investment products (OJ ...).

23

Regulation .../.../EU of the European Parliament and of the Council on key information documents for investment products (OJ ...).

ANNEX I

PROFESSIONAL CUSTOMERS

A professional customer is a customer who possesses the experience, knowledge and expertise to make his own decisions and properly assess the risks that he incurs. The following should all be regarded as professionals in all insurance services and activities and insurance products for the purposes of the Directive.

| 1. | Insurance and reinsurance undertakings;


  ▐ |
| --- | --- |

1.

Insurance and reinsurance undertakings;

▐

| 1a. | Insurance and reinsurance intermediaries. |
| --- | --- |

1a.

Insurance and reinsurance intermediaries.

| 2. | Large undertakings meeting two of the following size requirements on a company basis:






  — | balance sheet total: EUR 20 000 000 |
| --- | --- | --- |

2.

Large undertakings meeting two of the following size requirements on a company basis:

—

balance sheet total: EUR 20 000 000

| — | net turnover: EUR 40 000 000 |
| --- | --- |

—

net turnover: EUR 40 000 000

| — | own funds: EUR 2 000 000. |
| --- | --- |

—

own funds: EUR 2 000 000.

| 3. | National ▐ governments▐. |
| --- | --- |

3.

National ▐ governments▐.

| ▐ | |
| --- | --- |

▐

ANNEX II

EXPLANATORY DOCUMENTS

In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September 2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition instruments.

With regard to this Directive, the Commission considers the transmission of such documents to be justified for the following reasons:

Complexity of the Directive and of the sector concerned:

The field of insurance and distribution of insurance products is particularly complicated and can be very technical from the point of view of professionals who are not specialised in it. In the absence of well-structured explanatory documents, the task of overseeing the transposition would be disproportionately time-consuming. The current proposal represents a review where the text of the Insurance Mediation Directives (IMD) was recasted. Even though many of the provisions have not changed as to their substance, a number of new provisions have been introduced, and a number of existing provisions have been revised or deleted. The structure, form, and presentation of the texts are completely new. The new structure has been necessary to give a clearer and more logical order to the legal provisions but it will result in the need for a structured approach during the transposition supervision.

Some of the provisions of the proposed Directive may potentially have an impact on a number of areas of the national legal order such as the company, commercial or tax law or other legislative areas in the Member States. It may also affect secondary national law including Acts and general conduct of business rules for Financial or Insurance Intermediaries. The interrelation of matters with all these neighbouring fields may mean, depending on the system in the Member States, that some provisions are implemented by means of new or already existing rules from those fields, a clear view of which should be available.

Consistency and interrelation with other initiatives:

The current proposal is tabled for adoption as part of a ‘Consumer Retail Package’ together with the PRIPs proposal on product disclosures (Regulation on key information documents on investment products and amending Directives 2003/71/EC and 2009/65/EC) and UCITS V. The PRIPs initiative aims at ensuring a coherent horizontal approach to product disclosure with regard to investment products and insurance products with investment elements (so-called insurance investments), and provisions on selling practices will be included in the revisions of the IMD and MiFID (Markets in Financial Instruments Directive). The proposal is furthermore consistent with, and complementary to, other EU legislation and policies, particularly in the areas of consumer protection, investor protection and prudential supervision, such as Solvency II (Directive 2009/138/EC), MiFID II (the recast of MiFID), and the above mentioned PRIPs initiative.

The new IMD would continue to have the features of a ‘minimum harmonisation’ legal instrument. This means that Member States may decide to go further if necessary for the purposes of consumer protection. However, the minimum standards of IMD will be raised significantly. ▐ Moreover, a revision clause is considered in the directive and, in order to be able to collect all relevant information on the functioning of those rules, the Commission will need to be able to monitor their implementation from the outset.

Chapter on insurance investment: The text of the proposal features a Chapter introducing additional customer protection requirements in relation to insurance investment products.

There is a strong political will to put such provisions in place but, at the same time, there is very little experience as this is a new area. Therefore, it is of high importance that the Commission receives transposition documents on how the Member States have given effect to such provisions.

The specificities of non-life insurance products must however be taken into account in the Level 2 guidelines. In line with the analogous principle in MIFID II Article 3, there should be considered an analogous regime for insurances when implementing the Directive at national level and in the joint committee's guidelines. Persons carrying out insurance mediation in relation to insurance investment products should comply with the conduct standards applicable to all insurance contracts as well as to the enhanced standards applicable to insurance investment products. Anyone intermediating in insurance investment products must be registered as an insurance intermediary.

Low estimated additional administrative burden stemming from requesting explanatory documents from Member States: As mentioned above, the current text has been in place since 2002 (when the original Directive was adopted). Therefore, it will not be burdensome for Member States to notify their implementing provisions as they have normally been notifying most of them for quite some time already. The estimated low additional administrative burden of requesting explanatory documents from Member States regarding the new parts of the Directive is proportionate and necessary for the Commission to carry out its task of overseeing the application of Union law.

On the basis of the above, the Commission believes that the requirement to provide explanatory documents in the case of the proposed Directive is proportionate and does not go beyond what is necessary to achieve the objective to carry out efficiently the task of overseeing accurate transposition.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/620 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/620

---

P7_TA(2014)0156

Third programme for the Union's action in the field of health (2014-2020) ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council establishing a Health for Growth Programme, the third multi-annual programme of EU action in the field of health for the period 2014-2020 (COM(2011)0709 — C7-0399/2011 — 2011/0339(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/61)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0709), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0709),

| — | having regard to Article 294(2) and Article 168(5) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0399/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 168(5) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0399/2011),

| — | having regard to the Charter of Fundamental Rights of the European Union, and in particular Article 35 thereof, |
| --- | --- |

—

having regard to the Charter of Fundamental Rights of the European Union, and in particular Article 35 thereof,

| — | having regard to its resolution of 9 October 2008 on ‘Together for Health: A Strategic approach for the EU 2008-2013’ (1), |
| --- | --- |

—

having regard to its resolution of 9 October 2008 on ‘Together for Health: A Strategic approach for the EU 2008-2013’ (1),

| — | having regard to the White paper — Together for Health: A strategic Approach for the EU 2008-2013 (COM(2007)0630), |
| --- | --- |

—

having regard to the White paper — Together for Health: A strategic Approach for the EU 2008-2013 (COM(2007)0630),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 23 February 2012 (2), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 23 February 2012 (2),

| — | having regard to the opinion of the Committee of the Regions of 4 May 2012 (3), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 4 May 2012 (3),

| — | having regard to its resolution of 8 March 2011 on reducing health inequalities in the EU (4), |
| --- | --- |

—

having regard to its resolution of 8 March 2011 on reducing health inequalities in the EU (4),

| — | having regard to the undertaking given by the Council representative by letter of 20 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 20 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Budgets and the Committee on Industry, Research and Energy (A7-0224/2012), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Budgets and the Committee on Industry, Research and Energy (A7-0224/2012),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 9 E, 15.1.2010, p. 56.

(2)  OJ C 143, 12.5.2012, p. 102.

(3)  OJ C 225, 27.7.2012, p. 223.

(4)  OJ C 199 E, 7.7.2012, p. 25.

---

P7_TC1-COD(2011)0339

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on the establishment of a third Programme for the Union's action in the field of health (2014-2020) and repealing Decision No 1350/2007/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 282/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/622 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/622

---

P7_TA(2014)0157

Trans-European telecommunications networks ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on guidelines for trans- European telecommunications networks and repealing Decision No 1336/97/EC (COM(2013)0329 — C7-0149/2013 — 2011/0299(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/62)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0657), and the amended proposal (COM(2013)0329), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0657), and the amended proposal (COM(2013)0329),

| — | having regard to Article 294(2) and Article 172 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0149/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 172 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0149/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 22 February 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 22 February 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 4 May 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 4 May 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 15 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 15 November 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on the Environment, Public Health and Food Safety, the Committee on the Internal Market and Consumer Protection, the Committee on Regional Development and the Committee on Culture and Education (A7-0272/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on the Environment, Public Health and Food Safety, the Committee on the Internal Market and Consumer Protection, the Committee on Regional Development and the Committee on Culture and Education (A7-0272/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 143, 22.5.2012, p. 120.

(2)  OJ C 225, 27.7.2012, p. 211.

---

P7_TC1-COD(2011)0299

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on guidelines for trans-European networks in the area of telecommunications infrastructure and repealing Decision No 1336/97/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 283/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/623 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/623

---

P7_TA(2014)0158

Accessibility of public sector bodies' websites ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the accessibility of public sector bodies' websites (COM(2012)0721 — C7-0394/2012 — 2012/0340(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/63)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0721), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0721),

| — | having regard to Article 294(2) and Article 114(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0394/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 114(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0394/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 22 May 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 22 May 2013 (1),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Employment and Social Affairs and the Committee on Culture and Education (A7-0460/2013), |
| --- | --- |

—

having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinions of the Committee on Employment and Social Affairs and the Committee on Culture and Education (A7-0460/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 271, 19.9.2013, p. 116.

---

P7_TC1-COD(2012)0340

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the accessibility of public sector bodies' websites and websites operated by entities performing public tasks [Am. 1]

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Having regard to the opinion of After consulting the Committee of the Regions,

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The trend towards a digital society provides users with new ways of accessing information and services. The providers of information and services, such as public sector bodies, rely increasingly on the Internet in order to produce, collect and provide a wide range of information and services online, which are essential to the public.
  In that respect, the security of transmission of information and the protection of personal data are of great importance. [Am. 2] |
| --- | --- |

(1)

The trend towards a digital society provides users with new ways of accessing information and services. The providers of information and services, such as public sector bodies, rely increasingly on the Internet in order to produce, collect and provide a wide range of information and services online, which are essential to the public.
  In that respect, the security of transmission of information and the protection of personal data are of great importance. [Am. 2]

| (2) | Web-accessibility refers to principles and techniques to be observed when constructing websites in order to render the content of these websites accessible to all users, in particular people with functional limitations, including persons with disabilities. The content of websites includes textual as well as non-textual information, and also the downloading of forms and two-way interaction, e.g. the processing of digital forms, authentication, and transactions like case handling and payments.
  [Am. 3] |
| --- | --- |

(2)

Web-accessibility refers to principles and techniques to be observed when constructing websites in order to render the content of these websites accessible to all users, in particular people with functional limitations, including persons with disabilities. The content of websites includes textual as well as non-textual information, and also the downloading of forms and two-way interaction, e.g. the processing of digital forms, authentication, and transactions like case handling and payments.
  [Am. 3]

| (2a) | Web accessibility, specifically a commitment to make all public websites accessible by 2010, was included in the Riga Ministerial Declaration of 11 June 2006 on e-Inclusion. [Am. 4] |
| --- | --- |

(2a)

Web accessibility, specifically a commitment to make all public websites accessible by 2010, was included in the Riga Ministerial Declaration of 11 June 2006 on e-Inclusion. [Am. 4]

| (2b) | Although this Directive does not apply to websites of Union institutions, those institutions should comply with the requirements contained in this Directive and set an example of good practice. [Am. 5] |
| --- | --- |

(2b)

Although this Directive does not apply to websites of Union institutions, those institutions should comply with the requirements contained in this Directive and set an example of good practice. [Am. 5]

| (3) | The Commission's

  In its Communication of 15 December 2010 entitled ‘The European
  eGovernment Action Plan 2011-2015
   (3)

  calls

  Harnessing ICT to promote smart, sustainable & innovative Government’, the Commission called
  for action to develop eGovernment services that ensure inclusiveness and accessibility.
  At the same time, more efforts are needed for the effective implementation of the e-Inclusion policy, which aims to reduce gaps in information and communication technology (ICT) usage and to promote the use of ICT to overcome exclusion, and to improve economic performance, employment opportunities, quality of life, social participation and cohesion, including democratic consultations. [Am. 6] |
| --- | --- |

(3)

The Commission's

  In its Communication of 15 December 2010 entitled ‘The European
  eGovernment Action Plan 2011-2015
   (3)

  calls

  Harnessing ICT to promote smart, sustainable & innovative Government’, the Commission called
  for action to develop eGovernment services that ensure inclusiveness and accessibility.
  At the same time, more efforts are needed for the effective implementation of the e-Inclusion policy, which aims to reduce gaps in information and communication technology (ICT) usage and to promote the use of ICT to overcome exclusion, and to improve economic performance, employment opportunities, quality of life, social participation and cohesion, including democratic consultations. [Am. 6]

| (4) | In its Communication
  of 19 May 2010 entitled
  ‘A Digital Agenda for Europe’
   (4)
  ,
  a Europe 2020 Strategy initiative
  , the Commission announced that public sector websites
  (and websites providing basic services to citizens)
  should be fully accessible by 2015. [Am. 7] |
| --- | --- |

(4)

In its Communication
  of 19 May 2010 entitled
  ‘A Digital Agenda for Europe’
   (4)
  ,
  a Europe 2020 Strategy initiative
  , the Commission announced that public sector websites
  (and websites providing basic services to citizens)
  should be fully accessible by 2015. [Am. 7]

| (4a) | Elderly people are at risk of digital exclusion, due to factors such as lack of ICT skills and lack of access to the Internet. The Commission Communication of 8 November 2011 entitled ‘European i2010 initiative on e-Inclusion “To be part of the information society”’ seeks to ensure that all groups of users have the best possible opportunities to use the Internet and to become familiar with ICTs. The Digital Agenda for Europe proposes a series of measures to promote the use of the new ICTs by disadvantaged groups of users such as elderly people. [Am. 8] |
| --- | --- |

(4a)

Elderly people are at risk of digital exclusion, due to factors such as lack of ICT skills and lack of access to the Internet. The Commission Communication of 8 November 2011 entitled ‘European i2010 initiative on e-Inclusion “To be part of the information society”’ seeks to ensure that all groups of users have the best possible opportunities to use the Internet and to become familiar with ICTs. The Digital Agenda for Europe proposes a series of measures to promote the use of the new ICTs by disadvantaged groups of users such as elderly people. [Am. 8]

| (5) | The Framework Programme for Research and Innovation (Horizon 2020) (5) and the Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (6) support research on and the development of technological solutions to accessibility problems. |
| --- | --- |

(5)

The Framework Programme for Research and Innovation (Horizon 2020) (5) and the Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (6) support research on and the development of technological solutions to accessibility problems.

| (6) | By ratifying the United Nations Convention on the Rights of Persons with Disabilities (“the UN Convention”), the majority of the Member States and the Union, by its conclusion, have committed themselves “to ensure to persons with disabilities access, on equal basis with others, to inter alia information and communication technologies” and “to take appropriate measures [...] to promote access for persons with disabilities to new information and communications technologies and systems, including the Internet”. |
| --- | --- |

(6)

By ratifying the United Nations Convention on the Rights of Persons with Disabilities (“the UN Convention”), the majority of the Member States and the Union, by its conclusion, have committed themselves “to ensure to persons with disabilities access, on equal basis with others, to inter alia information and communication technologies” and “to take appropriate measures [...] to promote access for persons with disabilities to new information and communications technologies and systems, including the Internet”.

| (6a) | In accordance with the UN Convention, the universal design approach should serve as a basis for the development of new technologies. [Am. 9] |
| --- | --- |

(6a)

In accordance with the UN Convention, the universal design approach should serve as a basis for the development of new technologies. [Am. 9]

| (7) | The
  Commission Communication of 15 November 2010 entitled “
  European Disability Strategy 2010-2020
   (7)


  : A Renewed Commitment to a Barrier-Free Europe”, which aims to break down the barriers that prevent persons with disabilities from participating in society on an equal basis,
  builds on the UN Convention and contains actions in several priority areas, including web accessibility, with the objective “to ensure accessibility to goods and services including public services and assistive devices for people with disabilities.”. [Am. 10] |
| --- | --- |

(7)

The
  Commission Communication of 15 November 2010 entitled “
  European Disability Strategy 2010-2020
   (7)


  : A Renewed Commitment to a Barrier-Free Europe”, which aims to break down the barriers that prevent persons with disabilities from participating in society on an equal basis,
  builds on the UN Convention and contains actions in several priority areas, including web accessibility, with the objective “to ensure accessibility to goods and services including public services and assistive devices for people with disabilities.”. [Am. 10]

| (8) | Regulation (EU) No 1303/2013 of the European Parliament and of the Council (8) contains provisions on the accessibility of ICT. It does not, however, address specificities of web accessibility. |
| --- | --- |

(8)

Regulation (EU) No 1303/2013 of the European Parliament and of the Council (8) contains provisions on the accessibility of ICT. It does not, however, address specificities of web accessibility.

| (8a) | In its resolution of 25 October 2011

   (9)

  , the European Parliament stressed that innovative and knowledge-based economies cannot develop without accessible content and forms for people with disabilities governed by binding legislation, such as accessible websites for the blind and subtitled content for the hard of hearing, including mass media services, online services for people using sign language, smart phone applications and tactile and vocal aids in public media. [Am. 11] |
| --- | --- |

(8a)

In its resolution of 25 October 2011

   (9)

  , the European Parliament stressed that innovative and knowledge-based economies cannot develop without accessible content and forms for people with disabilities governed by binding legislation, such as accessible websites for the blind and subtitled content for the hard of hearing, including mass media services, online services for people using sign language, smart phone applications and tactile and vocal aids in public media. [Am. 11]

| (8b) | The Digital Agenda for Europe stresses that positive action to help persons with disabilities to access cultural content is key to the full enjoyment of Union citizenship and calls for full implementation of the Memorandum of Understanding on Digital Access for persons with disabilities. The production of documents, such as reports, books and legislative acts, made available on public websites in such a way as to make them fully accessible, alongside the support for the private sector that has been called for with a view to encouraging investment in that area, could make a major contribution towards meeting that objective and promote the development of skills and opportunities for service providers within the Union. [Am. 12] |
| --- | --- |

(8b)

The Digital Agenda for Europe stresses that positive action to help persons with disabilities to access cultural content is key to the full enjoyment of Union citizenship and calls for full implementation of the Memorandum of Understanding on Digital Access for persons with disabilities. The production of documents, such as reports, books and legislative acts, made available on public websites in such a way as to make them fully accessible, alongside the support for the private sector that has been called for with a view to encouraging investment in that area, could make a major contribution towards meeting that objective and promote the development of skills and opportunities for service providers within the Union. [Am. 12]

| (9) | The fast growing web-accessibility

  web accessibility
  market comprises a range of economic operators such as those developing websites or software tools to create, manage and test web pages, developing user agents such as web browsers and related assistive technologies, implementing certification services and training providers
  and integrated social media feeds on websites
  .
  In that regard, the efforts made in the framework of the Grand Coalition for Digital Jobs, which is a follow-up to the Employment Package and which addresses ICT specialists and aims to respond to the skills gaps, including literacy and working skills in the ICT sector, are of great importance
  . [Am. 13] |
| --- | --- |

(9)

The fast growing web-accessibility

  web accessibility
  market comprises a range of economic operators such as those developing websites or software tools to create, manage and test web pages, developing user agents such as web browsers and related assistive technologies, implementing certification services and training providers
  and integrated social media feeds on websites
  .
  In that regard, the efforts made in the framework of the Grand Coalition for Digital Jobs, which is a follow-up to the Employment Package and which addresses ICT specialists and aims to respond to the skills gaps, including literacy and working skills in the ICT sector, are of great importance
  . [Am. 13]

| (10) | Several Member States have adopted measures based on internationally-used guidelines for the design of accessible websites, but the guidance provided often refers to different versions or compliancy levels of those guidelines, or technical variations at national level have been introduced. |
| --- | --- |

(10)

Several Member States have adopted measures based on internationally-used guidelines for the design of accessible websites, but the guidance provided often refers to different versions or compliancy levels of those guidelines, or technical variations at national level have been introduced.

| (11) | Suppliers of web accessibility include a large number of small and medium-sized enterprises (SMEs). Suppliers and SMEs in particular are discouraged from entering business ventures outside their national markets. Due to the differences in web accessibility specifications and regulations, their competitiveness and growth are hampered by the additional costs they would incur in the development and marketing of cross-border web accessibility related products and services. |
| --- | --- |

(11)

Suppliers of web accessibility include a large number of small and medium-sized enterprises (SMEs). Suppliers and SMEs in particular are discouraged from entering business ventures outside their national markets. Due to the differences in web accessibility specifications and regulations, their competitiveness and growth are hampered by the additional costs they would incur in the development and marketing of cross-border web accessibility related products and services.

| (11a) | The guarantee of net neutrality is essential for public sector bodies’ websites to remain accessible now and in the future, and for the Internet to be open. [Am. 14] |
| --- | --- |

(11a)

The guarantee of net neutrality is essential for public sector bodies’ websites to remain accessible now and in the future, and for the Internet to be open. [Am. 14]

| (12) | Buyers of websites and related products and services are faced with high prices in service provision or dependence on a single supplier, due to limited competition. Suppliers often favour variations of proprietary ‘standards’, hindering later scope for interoperability of user agents, and Union-wide ubiquitous access to website contents. Fragmentation among national regulations reduces the benefits that could result from sharing experiences with national and international peers in responding to societal and technological developments. |
| --- | --- |

(12)

Buyers of websites and related products and services are faced with high prices in service provision or dependence on a single supplier, due to limited competition. Suppliers often favour variations of proprietary ‘standards’, hindering later scope for interoperability of user agents, and Union-wide ubiquitous access to website contents. Fragmentation among national regulations reduces the benefits that could result from sharing experiences with national and international peers in responding to societal and technological developments.

| (13) | The approximation of national measures at Union level, based on an agreement on accessibility requirements for public sector bodies' websites
  and for websites operated by entities performing public tasks
  , is necessary in order to put an end to fragmentation. It would reduce uncertainty for web-developers and would foster interoperability. By using

  Member States should encourage the use of adequate and interoperable
  web accessibility requirements which are

  when putting contracts for website contents out to tender.
  Technology neutral, innovation web
  accessibility requirements
  will not be hampered

  hamper innovation
  and may possibly even be stimulated

  stimulate it
  . [Am. 15] |
| --- | --- |

(13)

The approximation of national measures at Union level, based on an agreement on accessibility requirements for public sector bodies' websites
  and for websites operated by entities performing public tasks
  , is necessary in order to put an end to fragmentation. It would reduce uncertainty for web-developers and would foster interoperability. By using

  Member States should encourage the use of adequate and interoperable
  web accessibility requirements which are

  when putting contracts for website contents out to tender.
  Technology neutral, innovation web
  accessibility requirements
  will not be hampered

  hamper innovation
  and may possibly even be stimulated

  stimulate it
  . [Am. 15]

| (14) | A harmonised approach should also allow Union public sector bodies and enterprises to gain economic and social benefits from extending the provision of on-line services to include more citizens and customers. This should increase the potential of the internal market for web-accessibility

  web accessibility
  products and services
  and further the completion of the digital single market
  . The resulting market growth should allow undertakings to contribute to economic growth and jobs creation within the Union. Strengthening the internal market should make investment in the Union more attractive. Governments should benefit from cheaper provision of web-accessibility

  web accessibility
  . [Am. 16] |
| --- | --- |

(14)

A harmonised approach should also allow Union public sector bodies and enterprises to gain economic and social benefits from extending the provision of on-line services to include more citizens and customers. This should increase the potential of the internal market for web-accessibility

  web accessibility
  products and services
  and further the completion of the digital single market
  . The resulting market growth should allow undertakings to contribute to economic growth and jobs creation within the Union. Strengthening the internal market should make investment in the Union more attractive. Governments should benefit from cheaper provision of web-accessibility

  web accessibility
  . [Am. 16]

| (15) | Citizens should benefit from wider access to online public sector services
  , should be able to access news, cultural and entertainment content enabling them to play a full part in social and working life,
  and should receive services and information which will facilitate
  their daily lives and
  the enjoyment of their rights across the Union, in particular their right to move and reside freely within the territory of the Union
  , their right of access to information
  and their freedom of establishment and to provide services. [Am. 17] |
| --- | --- |

(15)

Citizens should benefit from wider access to online public sector services
  , should be able to access news, cultural and entertainment content enabling them to play a full part in social and working life,
  and should receive services and information which will facilitate
  their daily lives and
  the enjoyment of their rights across the Union, in particular their right to move and reside freely within the territory of the Union
  , their right of access to information
  and their freedom of establishment and to provide services. [Am. 17]

| (15a) | Online services play an increasingly important role in society. The Internet is a key tool for access to information and education and for engaging in society. Therefore, in the interests of social inclusion, there should be universal accessibility to public sector bodies' websites, as well as to websites providing basic services for the public, e.g. important news pages and media libraries, banking services (online banking) and interest group information and services. [Am. 18] |
| --- | --- |

(15a)

Online services play an increasingly important role in society. The Internet is a key tool for access to information and education and for engaging in society. Therefore, in the interests of social inclusion, there should be universal accessibility to public sector bodies' websites, as well as to websites providing basic services for the public, e.g. important news pages and media libraries, banking services (online banking) and interest group information and services. [Am. 18]

| (16) | The web accessibility requirements defined in this Directive are technology neutral. They only indicate which basic functionalities have to be fulfilled for the user to autonomously perceive, navigate, operate, interact, read or understand a website and its content. They do not specify how this has to be achieved or what technology should be selected for a particular website, on-line information or application. As such they do not hamper innovation. |
| --- | --- |

(16)

The web accessibility requirements defined in this Directive are technology neutral. They only indicate which basic functionalities have to be fulfilled for the user to autonomously perceive, navigate, operate, interact, read or understand a website and its content. They do not specify how this has to be achieved or what technology should be selected for a particular website, on-line information or application. As such they do not hamper innovation.

| (17) | Interoperability related to web accessibility should be based on commonly adopted and used specifications that maximize the compatibility of the web content with current and future user agents and assistive technologies. More specifically, web content should provide user agents with a common internal coding of natural language, structures, relations, and sequences, as well as data of any embedded user-interface components. Interoperability thus benefits the users, allowing them to employ their user agents ubiquitously to access websites: they might also benefit from greater choice and reduced prices across the Union. Interoperability would also benefit the suppliers and buyers of web accessibility related products and services. |
| --- | --- |

(17)

Interoperability related to web accessibility should be based on commonly adopted and used specifications that maximize the compatibility of the web content with current and future user agents and assistive technologies. More specifically, web content should provide user agents with a common internal coding of natural language, structures, relations, and sequences, as well as data of any embedded user-interface components. Interoperability thus benefits the users, allowing them to employ their user agents ubiquitously to access websites: they might also benefit from greater choice and reduced prices across the Union. Interoperability would also benefit the suppliers and buyers of web accessibility related products and services.

| (18) | As underlined in the Digital Agenda for Europe, public authorities should play their part in promoting markets for online content. Governments can stimulate content markets by making public sector information available under transparent, effective and non-discriminatory conditions. This is an important source of potential growth of innovative online services. |
| --- | --- |

(18)

As underlined in the Digital Agenda for Europe, public authorities should play their part in promoting markets for online content. Governments can stimulate content markets by making public sector information available under transparent, effective and non-discriminatory conditions. This is an important source of potential growth of innovative online services.

| (18a) | It should be possible for the public authorities of the Member States to require certain websites to be carried on servers within the Union in order to prevent spying by parties outside the Union or leaks of information and to ensure that parties outside the Union cannot close down services which are important on security grounds. [Am. 19] |
| --- | --- |

(18a)

It should be possible for the public authorities of the Member States to require certain websites to be carried on servers within the Union in order to prevent spying by parties outside the Union or leaks of information and to ensure that parties outside the Union cannot close down services which are important on security grounds. [Am. 19]

| (19) | The

  This
  Directive should aim at ensuring that certain types of

  all
  public sector bodies' websites
  and websites operated by entities performing public tasks
  that are essential to the public are made
  fully
  accessible according to common requirements. Such types were identified in the 2001 E-government benchmarking exercise

   (10)

  and have been used as a basis for the list

  to persons with disabilities to facilitate their living independently and their full participation in all aspects of life as stated in the UN Convention
  .
  The types of websites operated by entities performing public tasks to be covered by this Directive should be listed
  in the Annex.
  The deadlines for complying with the requirements laid down in this Directive should be staggered so that its scope can be widened to include all public sector bodies’ websites providing services directly to the public. [Am. 20] |
| --- | --- |

(19)

The

  This
  Directive should aim at ensuring that certain types of

  all
  public sector bodies' websites
  and websites operated by entities performing public tasks
  that are essential to the public are made
  fully
  accessible according to common requirements. Such types were identified in the 2001 E-government benchmarking exercise

   (10)

  and have been used as a basis for the list

  to persons with disabilities to facilitate their living independently and their full participation in all aspects of life as stated in the UN Convention
  .
  The types of websites operated by entities performing public tasks to be covered by this Directive should be listed
  in the Annex.
  The deadlines for complying with the requirements laid down in this Directive should be staggered so that its scope can be widened to include all public sector bodies’ websites providing services directly to the public. [Am. 20]

| (20) | This Directive lays down web-accessibility

  web accessibility
  requirements for certain types
  of

  all
  public sector bodies' websites
  and for websites operated by entities performing public tasks
  . In order to facilitate the conformity of websites concerned with those requirements it is necessary to provide presumption of conformity for the websites concerned that meet harmonised standards that are drawn up and published in the Official Journal of the European Union in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (11)
  on European Standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Decision 87/95/EEC and Decision No 1673/2006/EC, for the purpose of expressing detailed technical specifications for those requirements. Pursuant to this

  that
  Regulation, Member States and the European Parliament shall be able to object to the harmonised standards which they consider that do not entirely satisfy the web accessibility requirements laid down in this Directive. [Am. 21] |
| --- | --- |

(20)

This Directive lays down web-accessibility

  web accessibility
  requirements for certain types
  of

  all
  public sector bodies' websites
  and for websites operated by entities performing public tasks
  . In order to facilitate the conformity of websites concerned with those requirements it is necessary to provide presumption of conformity for the websites concerned that meet harmonised standards that are drawn up and published in the Official Journal of the European Union in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (11)
  on European Standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Decision 87/95/EEC and Decision No 1673/2006/EC, for the purpose of expressing detailed technical specifications for those requirements. Pursuant to this

  that
  Regulation, Member States and the European Parliament shall be able to object to the harmonised standards which they consider that do not entirely satisfy the web accessibility requirements laid down in this Directive. [Am. 21]

| (21) | The Commission has already issued a mandate M/376 (12) to the European standardisation organisations, to develop a European standard specifying the functional accessibility requirements for ICT products and services, including web content, which could be used in public procurement as well as for other purposes like procurement in the private sector. To that end, the European standardisation organisations are required to establish close co-operation with relevant industry standards forums and consortia including the World Wide Web Consortium (W3C/WAI). A harmonised standard that would provide presumption of conformity with the web accessibility requirements laid down in this Directive should be built upon the outcome of that work. |
| --- | --- |

(21)

The Commission has already issued a mandate M/376 (12) to the European standardisation organisations, to develop a European standard specifying the functional accessibility requirements for ICT products and services, including web content, which could be used in public procurement as well as for other purposes like procurement in the private sector. To that end, the European standardisation organisations are required to establish close co-operation with relevant industry standards forums and consortia including the World Wide Web Consortium (W3C/WAI). A harmonised standard that would provide presumption of conformity with the web accessibility requirements laid down in this Directive should be built upon the outcome of that work.

| (21a) | In the preparation and potential future revisions of the relevant European and harmonised standards, the responsible European standardisation organisations should be strongly encouraged to ensure coherence with the relevant international standards (currently ISO/IEC 40500), in order to avoid any fragmentation or legal uncertainty. [Am. 22] |
| --- | --- |

(21a)

In the preparation and potential future revisions of the relevant European and harmonised standards, the responsible European standardisation organisations should be strongly encouraged to ensure coherence with the relevant international standards (currently ISO/IEC 40500), in order to avoid any fragmentation or legal uncertainty. [Am. 22]

| (22) | Until the references of such a harmonised standard or parts thereof are published in the Official Journal of the European Union, the websites concerned that meet the European standards or parts thereof that have been determined by the Commission by means of delegated acts should be presumed to be in conformity with the web accessibility requirements covered by those standards or parts thereof. A candidate for such harmonised standard could be the European standard which should be adopted on the basis of mandate M/376. |
| --- | --- |

(22)

Until the references of such a harmonised standard or parts thereof are published in the Official Journal of the European Union, the websites concerned that meet the European standards or parts thereof that have been determined by the Commission by means of delegated acts should be presumed to be in conformity with the web accessibility requirements covered by those standards or parts thereof. A candidate for such harmonised standard could be the European standard which should be adopted on the basis of mandate M/376.

| (23) | In the absence of such a European standard, presumption of conformity with the web accessibility requirements should be provided for the websites concerned which meet those parts of the international standard ISO/IEC 40500:2012 covering the Success Criteria and Conformance Requirements for Level AA conformance. The international standard ISO/IEC 40500:2012 is exactly the same as the original Web Content Accessibility Guidelines 2.0. The Success Criteria and Requirements for Level AA conformance specified for web pages in the version 2.0 of the Web Content Accessibility Guidelines (WCAG 2.0) from the W3C are broadly recognised by stakeholders both internationally and at European level, to provide the basis for adequate web accessibility specifications. This has been underlined in the Council Conclusions on accessible information society of 31 March 2009. |
| --- | --- |

(23)

In the absence of such a European standard, presumption of conformity with the web accessibility requirements should be provided for the websites concerned which meet those parts of the international standard ISO/IEC 40500:2012 covering the Success Criteria and Conformance Requirements for Level AA conformance. The international standard ISO/IEC 40500:2012 is exactly the same as the original Web Content Accessibility Guidelines 2.0. The Success Criteria and Requirements for Level AA conformance specified for web pages in the version 2.0 of the Web Content Accessibility Guidelines (WCAG 2.0) from the W3C are broadly recognised by stakeholders both internationally and at European level, to provide the basis for adequate web accessibility specifications. This has been underlined in the Council Conclusions on accessible information society of 31 March 2009.

| (24) | The conformity with web-accessibility

  web accessibility
  requirements should be continuously monitored from the initial construction of the public sector bodies' website
  concerned
  to all subsequent updates of its content.
  Designating a competent authority in each Member State as the enforcement body, would be an adequate way to ensure that the conformity with web accessibility requirements is monitored and rigorously enforced, with close involvement of stakeholders through the setting up of a complaint mechanism in identified cases of non-compliance.
   A harmonised monitoring methodology would cover a way of verifying, on a uniform basis in all Members States, the degree of compliance of the website
  concerned
  with the requirements for web-accessibility

  web accessibility
  , the collection of representative samples and the periodicity of the monitoring. Member States should report annually

  every two years
  on the outcome of the monitoring and more generally on the list of measures taken in application of this Directive. [Am. 23] |
| --- | --- |

(24)

The conformity with web-accessibility

  web accessibility
  requirements should be continuously monitored from the initial construction of the public sector bodies' website
  concerned
  to all subsequent updates of its content.
  Designating a competent authority in each Member State as the enforcement body, would be an adequate way to ensure that the conformity with web accessibility requirements is monitored and rigorously enforced, with close involvement of stakeholders through the setting up of a complaint mechanism in identified cases of non-compliance.
   A harmonised monitoring methodology would cover a way of verifying, on a uniform basis in all Members States, the degree of compliance of the website
  concerned
  with the requirements for web-accessibility

  web accessibility
  , the collection of representative samples and the periodicity of the monitoring. Member States should report annually

  every two years
  on the outcome of the monitoring and more generally on the list of measures taken in application of this Directive. [Am. 23]

| (24a) | The first methodology used to monitor the compliance of the websites concerned with the requirements for web accessibility on a continuous basis should be adopted by means of implementing acts no later than a year after the entry into force of this Directive. [Am. 24] |
| --- | --- |

(24a)

The first methodology used to monitor the compliance of the websites concerned with the requirements for web accessibility on a continuous basis should be adopted by means of implementing acts no later than a year after the entry into force of this Directive. [Am. 24]

| (25) | In a harmonised framework, the web-developers

  web development
  industry should face fewer barriers to operate in the internal market, while costs for governments and others procuring web-accessibility

  web accessibility
  products and services should be reduced
  , which would contribute to economic growth and employment
  . [Am. 25] |
| --- | --- |

(25)

In a harmonised framework, the web-developers

  web development
  industry should face fewer barriers to operate in the internal market, while costs for governments and others procuring web-accessibility

  web accessibility
  products and services should be reduced
  , which would contribute to economic growth and employment
  . [Am. 25]

| (26) | In order to ensure that the websites concerned are made accessible in accordance with the requirements for web-accessibility

  web accessibility
  laid down by this Directive
  and to ensure that those requirements are clear and understandable for the stakeholders involved in its implementation, including external web developers and in-house staff of public sector bodies and other entities performing public tasks
  , the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission to specify further

  provide further details
  , where appropriate, these

  concerning those
  requirements
  , without modifying them,
  to determine the European standard

  standards
  or parts thereof which, in the absence of harmonised standards, would provide presumption of conformity with the web-accessibility

  web accessibility
  requirements for the websites concerned which meet such standards or parts thereof and to amend Annex Ia in order to take account of technological progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 26] |
| --- | --- |

(26)

In order to ensure that the websites concerned are made accessible in accordance with the requirements for web-accessibility

  web accessibility
  laid down by this Directive
  and to ensure that those requirements are clear and understandable for the stakeholders involved in its implementation, including external web developers and in-house staff of public sector bodies and other entities performing public tasks
  , the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission to specify further

  provide further details
  , where appropriate, these

  concerning those
  requirements
  , without modifying them,
  to determine the European standard

  standards
  or parts thereof which, in the absence of harmonised standards, would provide presumption of conformity with the web-accessibility

  web accessibility
  requirements for the websites concerned which meet such standards or parts thereof and to amend Annex Ia in order to take account of technological progress. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council. [Am. 26]

| (27) | In order to ensure uniform conditions for the implementation of the relevant provisions of this Directive, implementing powers should be conferred to the Commission. The examination procedure should be used for the establishment of the methodology that Member States should use for monitoring the conformity of the websites concerned with those requirements. The advisory procedure should be used for the establishment of a model statement on accessibility and the arrangements for reporting by Member States to the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and the Council (13). |
| --- | --- |

(27)

In order to ensure uniform conditions for the implementation of the relevant provisions of this Directive, implementing powers should be conferred to the Commission. The examination procedure should be used for the establishment of the methodology that Member States should use for monitoring the conformity of the websites concerned with those requirements. The advisory procedure should be used for the establishment of a model statement on accessibility and the arrangements for reporting by Member States to the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and the Council (13).

| (28) | Since the objective of this Directive, namely, the establishment of a harmonised market for the accessibility of public sector bodies' websites
  and websites operated by entities performing public tasks
  , cannot be sufficiently achieved by the Member States, because it requires the harmonisation of different rules currently existing in their respective legal systems and can, therefore

  but can rather
  , by reason of its scale and effects, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. 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 that objective.
  Adopting a harmonised approach to web accessibility throughout the Union would cut costs for website development companies and therefore also for the public bodies that use their services. In future, access to information and services provided via websites will be increasingly important for the public in exercising their fundamental rights, including access to employment, [Am. 27] |
| --- | --- |

(28)

Since the objective of this Directive, namely, the establishment of a harmonised market for the accessibility of public sector bodies' websites
  and websites operated by entities performing public tasks
  , cannot be sufficiently achieved by the Member States, because it requires the harmonisation of different rules currently existing in their respective legal systems and can, therefore

  but can rather
  , by reason of its scale and effects, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. 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 that objective.
  Adopting a harmonised approach to web accessibility throughout the Union would cut costs for website development companies and therefore also for the public bodies that use their services. In future, access to information and services provided via websites will be increasingly important for the public in exercising their fundamental rights, including access to employment, [Am. 27]

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Subject matter and scope

1.   This Directive aims at approximating

  to approximate
  the laws, regulations and administrative provisions of the Member States related

  in relation
  to the accessibility
  to all users
  of the content of public sector bodies' websites to all users

  and websites operated by entities performing public tasks
  , in particular people with functional limitations including

  to
  persons with disabilities
  and elderly persons
  . [Am. 28]

1a.
     
  According to the UN Convention, persons with disabilities include those having long-term physical, mental, intellectual or sensory impairments, which, may in conjunction with other barriers, hinder their full and effective participation in society on an equal basis with others. [Am. 29]

2.   This Directive lays down the rules according to which Member States shall make accessible the
  functionality and
  content of:

| (a) | websites belonging to public sector bodies, the types of which are specified in the Annex.

  ; and |
| --- | --- |

(a)

websites belonging to public sector bodies, the types of which are specified in the Annex.

  ; and

| (b) | websites operated by other entities performing the types of public tasks specified in the Annex Ia
  . |
| --- | --- |

(b)

websites operated by other entities performing the types of public tasks specified in the Annex Ia
  .

Member States may extend the application of this Directive beyond the types of public tasks specified in Annex Ia. [Am. 30]

3.   Member States may

  shall be encouraged to
  extend the application of this Directive to other types of public sector websites than those referred to in paragraph 2. [Am. 31]

3a.
     
  Member States may decide not to apply this Directive to microenterprises as defined in Commission Recommendation 2003/361/EC

   (14)

  if they perform the types of public tasks specified in Annex Ia of this Directive. [Am. 32]

Article 2

Definitions

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

| (-1a) | ‘Public sector body’ means the State, regional or local authorities, bodies governed by public law as defined in point 4 of Article 2(1) of Directive 2014/24/EU of the European Parliament and of the Council

   (15)

  , and associations formed by one or several such authorities or one or several such bodies governed by public law.[Am. 33] |
| --- | --- |

(-1a)

‘Public sector body’ means the State, regional or local authorities, bodies governed by public law as defined in point 4 of Article 2(1) of Directive 2014/24/EU of the European Parliament and of the Council

   (15)

  , and associations formed by one or several such authorities or one or several such bodies governed by public law.[Am. 33]

| (-1b) | ‘Websites belonging to public sector bodies’ means websites developed, procured, maintained or co-financed by public sector bodies or co-financed by Union funds. [Am. 34] |
| --- | --- |

(-1b)

‘Websites belonging to public sector bodies’ means websites developed, procured, maintained or co-financed by public sector bodies or co-financed by Union funds. [Am. 34]

| (-1c) | ‘Websites operated by entities performing public tasks’ means websites operated by entities performing the types of public tasks specified in Annex Ia. [Am. 35] |
| --- | --- |

(-1c)

‘Websites operated by entities performing public tasks’ means websites operated by entities performing the types of public tasks specified in Annex Ia. [Am. 35]

| (1) | ‘Websites concerned’ means
  all versions of
  those
  websites,
  referred to in Article 1(2) of this Directive

  , including those designed to be accessed from a mobile device or by any other means
  .
  If an application designed by the owners of a website offers services connected to the website, this definition also applies to such an application
  . [Am. 36] |
| --- | --- |

(1)

‘Websites concerned’ means
  all versions of
  those
  websites,
  referred to in Article 1(2) of this Directive

  , including those designed to be accessed from a mobile device or by any other means
  .
  If an application designed by the owners of a website offers services connected to the website, this definition also applies to such an application
  . [Am. 36]

| (2) | ‘Content of websites’ means information
  and user interface components
  to be communicated to the user by means of a user agent, including code or mark-up that defines the content's structure, presentation, and interactions.
  Content of websites includes textual and non-textual information, the possibility to download documents and forms as well as two-way interaction such as the processing of digital forms and the completion of authentication, identification and payment processes. It also includes functions provided through websites, which are external to the website concerned, for instance, through the use of web links, on the condition that the external website is the only means by which the information or service is provided to the user. Content of websites also includes user-generated content and, whenever technically possible, social media, when that is embedded within a website. It includes not only the parts of the website concerned offering a specific service, but the entire website related to it. [Am. 37] |
| --- | --- |

(2)

‘Content of websites’ means information
  and user interface components
  to be communicated to the user by means of a user agent, including code or mark-up that defines the content's structure, presentation, and interactions.
  Content of websites includes textual and non-textual information, the possibility to download documents and forms as well as two-way interaction such as the processing of digital forms and the completion of authentication, identification and payment processes. It also includes functions provided through websites, which are external to the website concerned, for instance, through the use of web links, on the condition that the external website is the only means by which the information or service is provided to the user. Content of websites also includes user-generated content and, whenever technically possible, social media, when that is embedded within a website. It includes not only the parts of the website concerned offering a specific service, but the entire website related to it. [Am. 37]

| (2a) | ‘Authoring tool’ means any web-based or non-web-based application that can be used by authors (alone or collaboratively) to create or modify web content for use by other authors or end users. [Am. 38] |
| --- | --- |

(2a)

‘Authoring tool’ means any web-based or non-web-based application that can be used by authors (alone or collaboratively) to create or modify web content for use by other authors or end users. [Am. 38]

| (3) | ‘User agent’ means any software that retrieves and presents web contents for users, including web browsers, media players, plug-ins, and other programs that help in retrieving, rendering, and interacting with web content
  , regardless of the type of device used to interact with content, including mobile devices
  . [Am. 39] |
| --- | --- |

(3)

‘User agent’ means any software that retrieves and presents web contents for users, including web browsers, media players, plug-ins, and other programs that help in retrieving, rendering, and interacting with web content
  , regardless of the type of device used to interact with content, including mobile devices
  . [Am. 39]

| (3a) | ‘Web accessibility’ means principles and techniques to be observed when constructing websites concerned in order to render the content of those websites accessible to all users, in particular to persons with disabilities and elderly persons. Web accessibility refers in particular to principles and techniques that enhance users' perception, navigation, operation, interaction, readability and understanding, and includes the use of assistive technology or augmentative and alternative communication. [Am. 40] |
| --- | --- |

(3a)

‘Web accessibility’ means principles and techniques to be observed when constructing websites concerned in order to render the content of those websites accessible to all users, in particular to persons with disabilities and elderly persons. Web accessibility refers in particular to principles and techniques that enhance users' perception, navigation, operation, interaction, readability and understanding, and includes the use of assistive technology or augmentative and alternative communication. [Am. 40]

| (3b) | ‘Assistive technology’ means any hardware or software that acts as a user agent or along with a mainstream user agent to provide functionality to meet the requirements of users with disabilities that go beyond those offered by mainstream user agents. This includes alternative presentations, alternative input methods, additional navigation or orientation mechanisms, and content transformations. [Am. 41] |
| --- | --- |

(3b)

‘Assistive technology’ means any hardware or software that acts as a user agent or along with a mainstream user agent to provide functionality to meet the requirements of users with disabilities that go beyond those offered by mainstream user agents. This includes alternative presentations, alternative input methods, additional navigation or orientation mechanisms, and content transformations. [Am. 41]

| (3c) | ‘Universal design’ means the design of products, environments, programmes and services to be used by all people, to the greatest extent possible, without the need for adaptation or specialised design, as defined in the UN Convention. It shall not exclude assistive devices for particular groups of persons with disabilities where this is needed. [Am. 42] |
| --- | --- |

(3c)

‘Universal design’ means the design of products, environments, programmes and services to be used by all people, to the greatest extent possible, without the need for adaptation or specialised design, as defined in the UN Convention. It shall not exclude assistive devices for particular groups of persons with disabilities where this is needed. [Am. 42]

| (4) | ‘Standard’ means a standard as defined in Article 2(1) of Regulation (EU) No 1025/2012. |
| --- | --- |

(4)

‘Standard’ means a standard as defined in Article 2(1) of Regulation (EU) No 1025/2012.

| (5) | ‘International standard’ means an international standard as defined in point (a) of Article 2(1) of Regulation (EU) No 1025/2012. |
| --- | --- |

(5)

‘International standard’ means an international standard as defined in point (a) of Article 2(1) of Regulation (EU) No 1025/2012.

| (6) | ‘European standard’ means a European standard as defined in point (b) of Article 2(1) of Regulation (EU) No 1025/2012. |
| --- | --- |

(6)

‘European standard’ means a European standard as defined in point (b) of Article 2(1) of Regulation (EU) No 1025/2012.

| (7) | ‘Harmonised standard’ means a harmonised standard as defined in point (c) of Article 2(1) of Regulation (EU) No 1025/2012. |
| --- | --- |

(7)

‘Harmonised standard’ means a harmonised standard as defined in point (c) of Article 2(1) of Regulation (EU) No 1025/2012.

| (8) | ‘Public sector body’ means the State, regional or local authorities, bodies governed by public law as defined in Article 1 (9) of Directive 2004/18/EC, and associations formed by one or several such authorities or one or several such bodies governed by public law.
  [Am. 43] |
| --- | --- |

(8)

‘Public sector body’ means the State, regional or local authorities, bodies governed by public law as defined in Article 1 (9) of Directive 2004/18/EC, and associations formed by one or several such authorities or one or several such bodies governed by public law.
  [Am. 43]

Article 3

Requirements for web accessibility

1.   Member States shall take the necessary measures to ensure that the websites concerned are made accessible:

| (a) | in a consistent and adequate way for users'
  autonomous
  perception,
  navigation,
  operation
  , interaction, readability
  and understanding, including adaptability of content presentation and interaction, when necessary, providing an accessible electronic alternative; [Am. 44] |
| --- | --- |

(a)

in a consistent and adequate way for users'
  autonomous
  perception,
  navigation,
  operation
  , interaction, readability
  and understanding, including adaptability of content presentation and interaction, when necessary, providing an accessible electronic alternative; [Am. 44]

| (b) | in a way which facilitates

  ensures
  interoperability with a
  broad
  variety of user agents and assistive technologies at Union and international level.; [Am. 45] |
| --- | --- |

(b)

in a way which facilitates

  ensures
  interoperability with a
  broad
  variety of user agents and assistive technologies at Union and international level.; [Am. 45]

| (ba) | through a universal design approach. [Am. 46] |
| --- | --- |

(ba)

through a universal design approach. [Am. 46]

2.   Member States shall apply the provisions of paragraph 1 by 31 December 2015 at the latest.
  [Am. 47]

3.   The Commission shall be empowered to adopt delegated acts in accordance with Article 8, to specify further,

  to provide further details,
  where appropriate,
  concerning
  the requirements for web-accessibility

  web accessibility
  referred to in paragraph 1
  , without modifying those requirements
  . [Am. 48]

Article 4

Presumption of conformity with harmonized standards

The websites concerned that meet harmonised standards or parts thereof the references of which have been drawn up and published by the Commission in the Official Journal of the European Union, in accordance with Regulation (EU) No 1025/2012, shall be presumed to be in conformity with the web accessibility requirements covered by those standards or parts thereof, set out in Article 3(1).

Article 5

Presumption of conformity with European or international standards

1.   As long as the references of the harmonised standards referred to in Article 4 have not yet been published, the websites concerned that meet European standards or parts thereof that have been determined pursuant to paragraph 2 of this Article shall be presumed to be in conformity with the web accessibility requirements covered by those standards or parts thereof, set out in Article 3(1).

2.   The Commission shall be empowered to adopt delegated acts in accordance with Article 8, in order to determine the European standards or parts thereof referred to in paragraph 1 of this Article.

3.   As long as the references of the European standards referred to in paragraph 1
  of this Article
  have not yet been determined, the websites concerned that meet the parts of the ISO/IEC 40500: 2012

  international technical standard WCAG 2.0.
  covering the Success Criteria and Conformance Requirements for Level AA conformance, shall be presumed to be in conformity with the web-accessibility

  web accessibility
  requirements set out in Article 3
  (1)
  . [Am. 49]

Article 6

Additional measures

1.   Member States shall promote

  ensure
  that the websites concerned provide a
  clear and concise
  statement on their accessibility, in particular on their compliance with this Directive
  , including information on the degree of compliance with web accessibility requirements related to live audio content,
  and with possibly additional accessibility information in

  to
  support to users
  in assessing the degree of accessibility of the websites concerned
  .
  That information shall be provided in accessible format
  .

1a.
     
  The Commission shall establish a model statement on accessibility by means of implementing acts. Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 9(2). [Am. 50]

2.   Member States shall take measures to facilitate the application of the web-accessibility

  web accessibility
  requirements as defined

  set out
  in Article 3
  (1)
  to all public sector bodies' websites beyond those concerned, in particular, to public sector bodies' websites covered by existing national laws or relevant measures on web-accessibility

  web accessibility
  . [Am. 51]

2a.
     
  Member States shall promote and support web accessibility training programmes for relevant stakeholders, including staff of public sector bodies and entities performing public tasks, to create, manage and update web pages, including their content. [Am. 52]

2b.
     
  Member States shall take the necessary measures to raise awareness of the web accessibility requirements set out in Article 3(1), their benefits to users and website owners and of the possibility to lodge complaints in cases of non-compliance with the requirements of this Directive, as set out in Article 7a. [Am. 53]

2c.
     
  Member States shall take the necessary measures to promote the use of authoring tools that support the achievement of the objectives of this Directive. [Am. 54]

3.   Member States shall support appropriate mechanisms for consultations on web-accessibility

  web accessibility
  with relevant stakeholders and
  organisations representing the interests of persons with disabilities and of the elderly, and
  make public any developments in web-accessibility

  web accessibility
  policy together with the experiences and findings from the implementation of conformity of web-accessibility

  web accessibility
  requirements. [Am. 55]

4.   Member States shall cooperate at
  national and
  Union level, with
  relevant social partners,
  industry and civil society stakeholders, with facilitation by the Commission, in order to review, for the purpose of the annual reporting referred to in Article 7(4)

  7b
  , market and technological developments and progress in web-accessibility

  web accessibility
  and to exchange best practices. [Am. 56]

4a.
     
  Member States shall take the necessary measures to ensure that the relevant social partners participate in the development and application of the training programmes and awareness-raising schemes, referred to respectively in paragraphs 2a and 2b. [Am. 57]

Article 7

Monitoring and reporting
  [Am. 58]

1.   Member States shall monitor the compliance of the websites concerned with the requirements for web accessibility on a continuous basis, using the methodology provided for in paragraph 4.

1a.
     
  The Commission shall establish an expert group to meet at least every two years, upon the Commission's invitation, in order to discuss the results of the monitoring, to exchange best practices regarding the implementation of this Directive and to assess the need for any additional specifications of the web accessibility requirements as defined in Article 3(1). That expert group shall consist of governmental and private experts and relevant stakeholders, including elderly persons, persons with disabilities and their representative organisations. [Am. 59]

2.   Member States shall report annually on the outcome of the monitoring carried out according to paragraph 4 including the measurement data and, where appropriate, the list of the websites referred to in Article 1(3).
  [Am. 60]

3.   This report shall also cover the actions conducted pursuant to Article 6.
  [Am. 61]

4.   The Commission establishes

  shall establish
  , by way

  means
  of implementing acts, the methodology for the monitoring of the conformity of the websites concerned with the requirements for web-accessibility

  web accessibility
  as set out in Article 3
  (1)
  .
  That methodology shall be transparent, transferable, comparable and reproducible and it shall be prepared in close consultation with relevant industry and civil society stakeholders including, in particular, representative organisations of persons with disabilities.
  Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 9(3).
  The first methodology shall be adopted by ...

   (*1). The methodology shall be published in the Official Journal of the European Union. [Am. 62]

5.   The methodology referred to in paragraph 4 shall include:

| (a) | the periodicity of the monitoring and the sampling of the websites concerned that shall be subject to monitoring; |
| --- | --- |

(a)

the periodicity of the monitoring and the sampling of the websites concerned that shall be subject to monitoring;

| (b) | at website level, the description of how compliance with the requirements for web accessibility set out in Article 3(1) is to be demonstrated, directly referencing — whenever available — to the relevant descriptions in the harmonised standard, or in their absence in the European or international standards referred to in Articles 4 and 5 respectively; and |
| --- | --- |

(b)

at website level, the description of how compliance with the requirements for web accessibility set out in Article 3(1) is to be demonstrated, directly referencing — whenever available — to the relevant descriptions in the harmonised standard, or in their absence in the European or international standards referred to in Articles 4 and 5 respectively; and

| (ba) | research methodology which combines experts analysis with user experience, including users with disabilities
  . [Am. 63] |
| --- | --- |

(ba)

research methodology which combines experts analysis with user experience, including users with disabilities
  . [Am. 63]

6.   The arrangements for reporting by Member States to the Commission shall be established by the Commission by way of implementing acts. Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 9(2).
  [Am. 64]

Article 7a

Enforcement body

1.
     
  Member States shall designate a competent authority (enforcement body) responsible for enforcing the compliance of the websites concerned with the requirements for web accessibility set out in Article 3(1). Member States shall ensure that, to the extent possible, the enforcement body cooperates closely with relevant stakeholders, including elderly persons, persons with disabilities and their representative organisations.

2.
     
  Member States shall ensure that the enforcement body has the necessary human and financial resources to fulfil the following tasks:

| (a) | monitor compliance of the websites concerned with the requirements for web accessibility, as set out in Article 7; |
| --- | --- |

(a)

monitor compliance of the websites concerned with the requirements for web accessibility, as set out in Article 7;

| (b) | set up a complaint mechanism to enable any natural or legal person to notify any failures to comply with the requirements for web accessibility of the websites concerned; and |
| --- | --- |

(b)

set up a complaint mechanism to enable any natural or legal person to notify any failures to comply with the requirements for web accessibility of the websites concerned; and

| (c) | examine any complaints lodged. |
| --- | --- |

(c)

examine any complaints lodged.

3.
     
  Member States may confer responsibility for the implementation of additional measures set out in Article 6 on the enforcement body.

4.
     
  Members States shall inform the Commission about the designated enforcement body by ...

   (*2)
  . [Am. 65]

Article 7b

Reporting

1.
     
  Member States shall report to the Commission every two years on the outcome of the monitoring carried out in accordance with Article 7 including in relation to the measurement data and, where appropriate, the list of the websites referred to in Article 1(3).

2.
     
  That report shall also cover the measures adopted pursuant to Article 6 including possible general conclusions drawn by relevant enforcement bodies on the basis of the monitoring.

3.
     
  That report shall be made public in readily accessible formats.

4.
     
  The arrangements for reporting by Member States to the Commission shall be established by means of implementing acts. Those implementing acts shall be adopted in accordance with the advisory procedure referred to in Article 9(2). [Am. 66]

Article 7c

Amendment of Annex Ia

In order to take account of technological progress, the Commission shall be empowered to adopt delegated acts, in accordance with Article 8, to amend Annex Ia. [Am. 67]

Article 7d

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 all measures necessary to ensure that the penalties are implemented. The penalties provided for shall be effective, proportionate and dissuasive.

Member States shall notify those rules to the Commission by ...

   (*3)

  and shall notify it without delay of any subsequent amendment affecting them. [Am. 74]

Article 8

Exercise of the delegation

1.   The power to adopt the delegated acts shall be conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt the delegated acts referred to in Article 3(3), Article 5(2) and Article 7c shall be conferred on the Commission for an indeterminate period of time from ... (*4).

3.   The delegation of power referred to in Article 3(3), Article 5(2) and Article 7c may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect on the day following that of the publication of the decision in the Official Journal of the European Union or on a later date, specified therein. It shall not affect the validity of any delegated acts already in force.

4.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

5.   A delegated act adopted pursuant to Article 3(3), Article 5(2) and Article 7c shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 9

Committee

1.   The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2.   Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.

3.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

Article 10

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 30 June 2014. They shall forthwith communicate the text of those measures to the Commission. 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.

1a.
     
  Member States shall apply the measures referred to in Article 3(1) for all new content of websites concerned by ...

   (*5)

  and for all existing content of websites concerned by ...

   (*6)

  . [Am. 75]

1b.
     
  The application deadlines set out in paragraph 1a shall be extended by two years as regards the requirements for web accessibility related to live audio content. [Am. 70]

2.   Member States shall communicate to the Commission the text of the main provisions of national law, they adopt in the field covered by this Directive.

Article 11

Review

On the basis of Member States' reports referred to in Article 7b,
  the Commission shall carry out a review of the application of this Directive
  , in particular Annex Ia thereof,
  within ... (*7)

  and shall make the findings of that review public
  . [Am. 71]

Article 12

Entry into force

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

Article 13

Addressees

This Directive is addressed to the Member States in accordance with the Treaties.

Done at ...,

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 271, 19.9.2013, p. 116.

1

(2)  Position of the European Parliament of 26 February 2014.

2

(3)  COM(2010) 743 final — Not published in the Official Journal.

3

COM(2010) 743 final — Not published in the Official Journal.

(4)  COM(2010) 245 final/2.

4

COM(2010) 245 final/2.

(5)  OJ L 347, 20.12.2013, p. 104
  –43.

5

–43

(6)  OJ L 347, 20.12.2013, p. 33
  – 40.

6

– 40

(7)  COM(2010) 636 final- Not published in the Official Journal.

7

COM(2010) 636 final- Not published in the Official Journal.

(8)  Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006 (OJ L 347, 20.12.2013, p. 320).

8

(9)  
  European Parliament resolution of 25 October 2011 on mobility and inclusion of people with disabilities and the European Disability Strategy 2010-2020 (OJ C 131 E, 8.5.2013, p. 9).

9

European Parliament resolution of 25 October 2011 on mobility and inclusion of people with disabilities and the European Disability Strategy 2010-2020 (OJ C 131 E, 8.5.2013, p. 9).

(10)  http://ec.europa.eu/digital-agenda/en/news/egovernment-indicators-benchmarking-eeurope

10

http://ec.europa.eu/digital-agenda/en/news/egovernment-indicators-benchmarking-eeurope

(11)  Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European Standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

11

(12)  http://www.mandate376.eu/

12

(13)  Regulation (EU) No 182/2011 of the European Parliament and the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

13

(14)  
  Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 136).

14

Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 136).

(15)  
  Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).

15

Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).

(*1)  
  One year after the entry into force of this Directive.

*1

One year after the entry into force of this Directive.

(*2)  
  Date of transposition of this Directive.

*2

Date of transposition of this Directive.

(*3)  
  Six months from the date of entry into force of this Directive.

*3

Six months from the date of entry into force of this Directive.

(*4)  Date of entry into force of this Directive.

*4

(*5)  
  One year from the date of entry into force of this Directive.

*5

One year from the date of entry into force of this Directive.

(*6)  
  Three years from the date of entry into force of this Directive.

*6

Three years from the date of entry into force of this Directive.

(*7)  Three

  two
  years from its

  the date of
  entry into force
  of this Directive.

*7

Three

two

its

the date of

of this Directive.

ANNEX

Types of public sector bodies' websites

(as referred to in Article 1(2))

| (1) | Income taxes: declaration, notification of assessment |
| --- | --- |

(1)

Income taxes: declaration, notification of assessment

| (2) | Job search services by labour offices |
| --- | --- |

(2)

Job search services by labour offices

| (3) | Social-security benefits: unemployment benefits, child allowances, medical costs (reimbursement or direct settlement), student grants. |
| --- | --- |

(3)

Social-security benefits: unemployment benefits, child allowances, medical costs (reimbursement or direct settlement), student grants.

| (4) | Personal documents: passports or driving license |
| --- | --- |

(4)

Personal documents: passports or driving license

| (5) | Car registration |
| --- | --- |

(5)

Car registration

| (6) | Application for building permission |
| --- | --- |

(6)

Application for building permission

| (7) | Declaration to police, e.g. in case of theft |
| --- | --- |

(7)

Declaration to police, e.g. in case of theft

| (8) | Public libraries, e.g. catalogues and search tools |
| --- | --- |

(8)

Public libraries, e.g. catalogues and search tools

| (9) | Request and delivery of birth or marriage certificates |
| --- | --- |

(9)

Request and delivery of birth or marriage certificates

| (10) | Enrolment in higher education or university |
| --- | --- |

(10)

Enrolment in higher education or university

| (11) | Notification of change of residence |
| --- | --- |

(11)

Notification of change of residence

| (12) | Health-related services: interactive advice on the availability of services, online services for patients, appointments.
  [Am. 72] |
| --- | --- |

(12)

Health-related services: interactive advice on the availability of services, online services for patients, appointments.
  [Am. 72]

Annex Ia

Types of public tasks referred to in point (b) of Article 1(2)

| (1) | Network services: gas, heat, electricity and water services; postal services; electronic communication network and services; |
| --- | --- |

(1)

Network services: gas, heat, electricity and water services; postal services; electronic communication network and services;

| (2) | Transport-related services; |
| --- | --- |

(2)

Transport-related services;

| (3) | Basic banking and insurance services (including at least the following: basic payment account, home contents and building insurance, life insurance and medical insurance); |
| --- | --- |

(3)

Basic banking and insurance services (including at least the following: basic payment account, home contents and building insurance, life insurance and medical insurance);

| (4) | Primary, secondary, higher and adult education; |
| --- | --- |

(4)

Primary, secondary, higher and adult education;

| (5) | Statutory and complementary social security schemes covering the main risks of life (including at least those linked to health, ageing, occupational accidents, unemployment, retirement and disability); |
| --- | --- |

(5)

Statutory and complementary social security schemes covering the main risks of life (including at least those linked to health, ageing, occupational accidents, unemployment, retirement and disability);

| (6) | Health-related services; |
| --- | --- |

(6)

Health-related services;

| (7) | Childcare services; |
| --- | --- |

(7)

Childcare services;

| (8) | Other essential services provided directly to the public to facilitate social inclusion and safeguard fundamental rights; |
| --- | --- |

(8)

Other essential services provided directly to the public to facilitate social inclusion and safeguard fundamental rights;

| (9) | Cultural activities and tourist information. |
| --- | --- |

(9)

Cultural activities and tourist information.

[Am. 73]

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/638 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/638

---

P7_TA(2014)0159

Common European Sales Law ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a regulation of the European Parliament and of the Council on a Common European Sales Law (COM(2011)0635 — C7-0329/2011 — 2011/0284(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/64)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0635), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0635),

| — | having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0329/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0329/2011),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Belgian Senate, the German Bundestag, the Austrian Federal Council and the United Kingdom House of Lords, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Belgian Senate, the German Bundestag, the Austrian Federal Council and the United Kingdom House of Lords, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 29 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 29 March 2012 (1),

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on the Internal Market and Consumer Protection and the Committee on Economic and Monetary Affairs (A7-0301/2013), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the opinions of the Committee on the Internal Market and Consumer Protection and the Committee on Economic and Monetary Affairs (A7-0301/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 181, 21.6.2012, p. 75.

---

P7_TC1-COD(2011)0284

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council on a Common European Sales Law

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | There are still considerable bottlenecks to cross-border economic activity that prevent the internal market from exploiting its full potential for growth and job creation. Currently, only one in ten traders in the Union exports goods within the Union and the majority of those who do, only export to a small number of Member States. From the range of obstacles to cross-border trade including tax regulations, administrative requirements, difficulties in delivery, language and culture, traders consider the difficulty in finding out the provisions of a foreign contract law among the top barriers in business-to-consumer transactions and in business-to-business transactions. This also leads to disadvantages for consumers due to limited access to goods. Different national contract laws therefore deter the exercise of fundamental freedoms, such as the freedom to provide goods and services, and represent a barrier to the functioning and continuing establishment of the internal market. They also have the effect of limiting competition, particularly in the markets of smaller Member States. |
| --- | --- |

(1)

There are still considerable bottlenecks to cross-border economic activity that prevent the internal market from exploiting its full potential for growth and job creation. Currently, only one in ten traders in the Union exports goods within the Union and the majority of those who do, only export to a small number of Member States. From the range of obstacles to cross-border trade including tax regulations, administrative requirements, difficulties in delivery, language and culture, traders consider the difficulty in finding out the provisions of a foreign contract law among the top barriers in business-to-consumer transactions and in business-to-business transactions. This also leads to disadvantages for consumers due to limited access to goods. Different national contract laws therefore deter the exercise of fundamental freedoms, such as the freedom to provide goods and services, and represent a barrier to the functioning and continuing establishment of the internal market. They also have the effect of limiting competition, particularly in the markets of smaller Member States.

| (2) | Contracts are the indispensable legal tool for every economic transaction. However, the need for traders to identify or negotiate the applicable law, to find out about the provisions of a foreign applicable law often involving translation, to obtain legal advice to make themselves familiar with its requirements and to adapt their contracts to different national laws that may apply in cross-border dealings makes cross-border trade more complex and costly compared to domestic trade. Contract-law-related barriers are thus a major contributing factor in dissuading a considerable number of export-oriented traders from entering cross-border trade or expanding their operations into more Member States. Their deterrent effect is particularly strong for small and medium-sized enterprises (SME) for which the costs of entering multiple foreign markets are often particularly high in relation to their turnover. As a consequence, traders miss out on cost savings they could achieve if it were possible to market goods and services on the basis of one uniform contract law for all their cross-border transactions and, in the online environment, one single web-site. |
| --- | --- |

(2)

Contracts are the indispensable legal tool for every economic transaction. However, the need for traders to identify or negotiate the applicable law, to find out about the provisions of a foreign applicable law often involving translation, to obtain legal advice to make themselves familiar with its requirements and to adapt their contracts to different national laws that may apply in cross-border dealings makes cross-border trade more complex and costly compared to domestic trade. Contract-law-related barriers are thus a major contributing factor in dissuading a considerable number of export-oriented traders from entering cross-border trade or expanding their operations into more Member States. Their deterrent effect is particularly strong for small and medium-sized enterprises (SME) for which the costs of entering multiple foreign markets are often particularly high in relation to their turnover. As a consequence, traders miss out on cost savings they could achieve if it were possible to market goods and services on the basis of one uniform contract law for all their cross-border transactions and, in the online environment, one single web-site.

| (3) | Contract law related transaction costs which have been shown to be of considerable proportions and legal obstacles stemming from the differences between national mandatory consumer protection rules have a direct effect on the functioning of the internal market in relation to business–to–consumer transactions. Pursuant to Article 6 of Regulation (EC) No 593/2008 of the European Parliament and of the Council (3) whenever a trader directs its activities to consumers in another Member State the consumer protection provisions of the Member State of the consumer's habitual residence that provide a higher level of protection and cannot be derogated from by agreement by virtue of that law will apply, even where another applicable law has been chosen by the parties. Therefore, traders need to find out in advance whether the consumer's law provides higher protection and ensure that their contract is in compliance with its requirements. In addition, in e-commerce, web-site adaptations which need to reflect mandatory requirements of applicable foreign consumer contract laws entail further costs. The existing harmonisation of consumer law at Union level has led to a certain approximation in some areas. However the differences between Member States' laws remain substantial; existing harmonisation leaves Member States a broad range of options on how to comply with the requirements of Union legislation and where to set the level of consumer protection. |
| --- | --- |

(3)

Contract law related transaction costs which have been shown to be of considerable proportions and legal obstacles stemming from the differences between national mandatory consumer protection rules have a direct effect on the functioning of the internal market in relation to business–to–consumer transactions. Pursuant to Article 6 of Regulation (EC) No 593/2008 of the European Parliament and of the Council (3) whenever a trader directs its activities to consumers in another Member State the consumer protection provisions of the Member State of the consumer's habitual residence that provide a higher level of protection and cannot be derogated from by agreement by virtue of that law will apply, even where another applicable law has been chosen by the parties. Therefore, traders need to find out in advance whether the consumer's law provides higher protection and ensure that their contract is in compliance with its requirements. In addition, in e-commerce, web-site adaptations which need to reflect mandatory requirements of applicable foreign consumer contract laws entail further costs. The existing harmonisation of consumer law at Union level has led to a certain approximation in some areas. However the differences between Member States' laws remain substantial; existing harmonisation leaves Member States a broad range of options on how to comply with the requirements of Union legislation and where to set the level of consumer protection.

| (4) | The contract-law-related barriers which prevent traders from fully exploiting the potential of the internal market also work to the detriment of consumers. Less cross-border trade results in fewer imports and less competition. Consumers may be disadvantaged by a limited choice of goods at higher prices both because fewer foreign traders offer their products and services directly to them and also indirectly as a result of restricted cross-border business-to-business trade at the wholesale level. While cross-border shopping could bring substantial economic advantages in terms of more and better offers, many consumers are also reluctant to engage in cross-border shopping, because of the uncertainty about their rights. Some of the main consumer concerns are related to contract law, for instance whether they would enjoy adequate protection in the event of purchasing defective products. As a consequence, a substantial number of consumers prefer to shop domestically even if this means they have less choice or pay higher prices. |
| --- | --- |

(4)

The contract-law-related barriers which prevent traders from fully exploiting the potential of the internal market also work to the detriment of consumers. Less cross-border trade results in fewer imports and less competition. Consumers may be disadvantaged by a limited choice of goods at higher prices both because fewer foreign traders offer their products and services directly to them and also indirectly as a result of restricted cross-border business-to-business trade at the wholesale level. While cross-border shopping could bring substantial economic advantages in terms of more and better offers, many consumers are also reluctant to engage in cross-border shopping, because of the uncertainty about their rights. Some of the main consumer concerns are related to contract law, for instance whether they would enjoy adequate protection in the event of purchasing defective products. As a consequence, a substantial number of consumers prefer to shop domestically even if this means they have less choice or pay higher prices.

| (5) | In addition, those consumers who want to benefit from price differences between Member States by purchasing from a trader from another Member State are often hindered due to a trader's refusal to sell. While e-commerce has greatly facilitated the search for offers as well as the comparison of prices and other conditions irrespective of where a trader is established, orders by consumers from abroad are very frequently refused by traders which refrain from entering into cross-border transactions. |
| --- | --- |

(5)

In addition, those consumers who want to benefit from price differences between Member States by purchasing from a trader from another Member State are often hindered due to a trader's refusal to sell. While e-commerce has greatly facilitated the search for offers as well as the comparison of prices and other conditions irrespective of where a trader is established, orders by consumers from abroad are very frequently refused by traders which refrain from entering into cross-border transactions.

| (6) | Differences in national contract laws therefore constitute barriers which prevent consumers and traders from reaping the benefits of the internal market. Those contract-law-related barriers would be significantly reduced if contracts could be based on a single uniform set of contract law rules irrespective of where parties are established. Such a uniform set of contract law rules should cover the full life cycle of a contract and thus comprise the areas which are the most important when concluding contracts. It should also include fully harmonised provisions to protect consumers. |
| --- | --- |

(6)

Differences in national contract laws therefore constitute barriers which prevent consumers and traders from reaping the benefits of the internal market. Those contract-law-related barriers would be significantly reduced if contracts could be based on a single uniform set of contract law rules irrespective of where parties are established. Such a uniform set of contract law rules should cover the full life cycle of a contract and thus comprise the areas which are the most important when concluding contracts. It should also include fully harmonised provisions to protect consumers.

| (7) | The differences between national contract laws and their effect on cross-border trade also serve to limit competition. With a low level of cross-border trade, there is less competition, and thus less incentive for traders to become more innovative and to improve the quality of their products or to reduce prices. Particularly in smaller Member States with a limited number of domestic competitors, the decision of foreign traders to refrain from entering these markets due to costs and complexity may limit competition, resulting in an appreciable impact on choice and price levels for available products. In addition, the barriers to cross-border trade may jeopardise competition between SME and larger companies. In view of the significant impact of the transaction costs in relation to turnover, an SME is much more likely to refrain from entering a foreign market than a larger competitor. |
| --- | --- |

(7)

The differences between national contract laws and their effect on cross-border trade also serve to limit competition. With a low level of cross-border trade, there is less competition, and thus less incentive for traders to become more innovative and to improve the quality of their products or to reduce prices. Particularly in smaller Member States with a limited number of domestic competitors, the decision of foreign traders to refrain from entering these markets due to costs and complexity may limit competition, resulting in an appreciable impact on choice and price levels for available products. In addition, the barriers to cross-border trade may jeopardise competition between SME and larger companies. In view of the significant impact of the transaction costs in relation to turnover, an SME is much more likely to refrain from entering a foreign market than a larger competitor.

| (8) | Contract-law-related barriers prevent consumers and traders from fully exploiting the potential of the internal market and are particularly relevant in the area of distance selling, which should be one of the tangible results of the internal market. In particular, the digital dimension of the internal market is becoming vital for both consumers and traders as consumers increasingly make purchases over the internet and an increasing number of traders sell online. Given that communication and information technology means are constantly developing and becoming increasingly accessible, the growth potential of internet sales is very high. Against this background, and to

  To overcome these

  such
  contract-law-related barriers, parties should have the possibility to agree that their contracts
  they conclude at a distance, and, in particular, online,
  should be governed by a single uniform set of contract law rules with the same meaning and interpretation in all Member States, a Common
  European
  Sales Law. The

  That
  Common European Sales Law should represent an additional option
  for distance selling and, in particular, internet trade,
  increasing the choice available to parties and open to use whenever jointly considered to be helpful in order to facilitate cross-border trade and reduce transaction and opportunity costs as well as other contract-law-related obstacles to cross-border trade. It should become the basis of a contractual relationship only where parties jointly decide to use it. [Am. 1] |
| --- | --- |

(8)

Contract-law-related barriers prevent consumers and traders from fully exploiting the potential of the internal market and are particularly relevant in the area of distance selling, which should be one of the tangible results of the internal market. In particular, the digital dimension of the internal market is becoming vital for both consumers and traders as consumers increasingly make purchases over the internet and an increasing number of traders sell online. Given that communication and information technology means are constantly developing and becoming increasingly accessible, the growth potential of internet sales is very high. Against this background, and to

  To overcome these

  such
  contract-law-related barriers, parties should have the possibility to agree that their contracts
  they conclude at a distance, and, in particular, online,
  should be governed by a single uniform set of contract law rules with the same meaning and interpretation in all Member States, a Common
  European
  Sales Law. The

  That
  Common European Sales Law should represent an additional option
  for distance selling and, in particular, internet trade,
  increasing the choice available to parties and open to use whenever jointly considered to be helpful in order to facilitate cross-border trade and reduce transaction and opportunity costs as well as other contract-law-related obstacles to cross-border trade. It should become the basis of a contractual relationship only where parties jointly decide to use it. [Am. 1]

| (9) | This Regulation establishes a Common European Sales Law
  for distance contracts and in particular for online contracts
  . It harmonises

  approximates
  the contract laws of the Member States not by requiring amendments to the pre-existing

  first
  national contract- law
  regime
  , but by creating within each Member State's national law a second contract- law regime for contracts within its scope. This
  directly applicable
  second regime
  should be an integral part of the legal order applicable in the territory of the Member States. In so far as its scope allows and where parties have validly agreed to use it, the Common European Sales Law should apply instead of the first national contract-law regime within that legal order. It
  should be identical throughout the Union and exist alongside the pre-existing rules of national contract law. The Common European Sales Law should apply on a voluntary basis, upon an express agreement of the parties, to a cross-border contract. [Am. 2] |
| --- | --- |

(9)

This Regulation establishes a Common European Sales Law
  for distance contracts and in particular for online contracts
  . It harmonises

  approximates
  the contract laws of the Member States not by requiring amendments to the pre-existing

  first
  national contract- law
  regime
  , but by creating within each Member State's national law a second contract- law regime for contracts within its scope. This
  directly applicable
  second regime
  should be an integral part of the legal order applicable in the territory of the Member States. In so far as its scope allows and where parties have validly agreed to use it, the Common European Sales Law should apply instead of the first national contract-law regime within that legal order. It
  should be identical throughout the Union and exist alongside the pre-existing rules of national contract law. The Common European Sales Law should apply on a voluntary basis, upon an express agreement of the parties, to a cross-border contract. [Am. 2]

| (10) | The agreement to use the Common European Sales Law should be a choice exercised within the scope of the respective national law

  legal order
  which is applicable

  determined as the applicable law
  pursuant to Regulation (EC) No 593/2008 or, in relation to pre-contractual information duties, pursuant to Regulation (EC) No 864/2007 of the European Parliament and of the Council (4), or any other relevant conflict of law rule. The agreement to use the Common European Sales Law should

  results from a choice between two different regimes within the same national legal order. That choice,
  therefore
  , does
  not amount to, and is not to be confused with, a choice of the applicable law

  between two national legal orders
  within the meaning of the conflict-of-law rules and should be without prejudice to them. This Regulation will therefore not affect any of the existing conflict of law rules
  such as those contained in Regulation (EC) No 593/2008
  . [Am. 3] |
| --- | --- |

(10)

The agreement to use the Common European Sales Law should be a choice exercised within the scope of the respective national law

  legal order
  which is applicable

  determined as the applicable law
  pursuant to Regulation (EC) No 593/2008 or, in relation to pre-contractual information duties, pursuant to Regulation (EC) No 864/2007 of the European Parliament and of the Council (4), or any other relevant conflict of law rule. The agreement to use the Common European Sales Law should

  results from a choice between two different regimes within the same national legal order. That choice,
  therefore
  , does
  not amount to, and is not to be confused with, a choice of the applicable law

  between two national legal orders
  within the meaning of the conflict-of-law rules and should be without prejudice to them. This Regulation will therefore not affect any of the existing conflict of law rules
  such as those contained in Regulation (EC) No 593/2008
  . [Am. 3]

| (11) | The Common European Sales Law should comprise of a complete

  comprehensive
  set of fully harmonised

  uniform
  mandatory consumer protection rules. In line with Article 114(3) of the Treaty, those rules should guarantee a high level of consumer protection with a view to enhancing consumer confidence in the Common European Sales Law and thus provide consumers with an incentive to enter into cross-border contracts on that basis. The rules should maintain or improve the level of protection that consumers enjoy under Union consumer law.
  Furthermore, the adoption of this Regulation should not preclude revision of the Directive on consumer rights, with the aim of providing full high-level harmonisation of consumer protection in the Member States. [Am. 4] |
| --- | --- |

(11)

The Common European Sales Law should comprise of a complete

  comprehensive
  set of fully harmonised

  uniform
  mandatory consumer protection rules. In line with Article 114(3) of the Treaty, those rules should guarantee a high level of consumer protection with a view to enhancing consumer confidence in the Common European Sales Law and thus provide consumers with an incentive to enter into cross-border contracts on that basis. The rules should maintain or improve the level of protection that consumers enjoy under Union consumer law.
  Furthermore, the adoption of this Regulation should not preclude revision of the Directive on consumer rights, with the aim of providing full high-level harmonisation of consumer protection in the Member States. [Am. 4]

| (11a) | The definition of consumer should cover natural persons who are acting outside their trade, business, craft or profession. However, in the case of dual-purpose contracts, where the contract is concluded for purposes partly within and partly outside a person's trade and the trade purpose is so limited as not to be predominant in the overall context of the contract, that person should also be considered as a consumer. In order to determine whether a natural person is acting fully or partly for purposes which come within that person's trade, business, craft or profession, the way in which the person in question behaves towards the contracting party should be taken into account. [Am. 5] |
| --- | --- |

(11a)

The definition of consumer should cover natural persons who are acting outside their trade, business, craft or profession. However, in the case of dual-purpose contracts, where the contract is concluded for purposes partly within and partly outside a person's trade and the trade purpose is so limited as not to be predominant in the overall context of the contract, that person should also be considered as a consumer. In order to determine whether a natural person is acting fully or partly for purposes which come within that person's trade, business, craft or profession, the way in which the person in question behaves towards the contracting party should be taken into account. [Am. 5]

| (12) | Once there is a valid agreement to use the Common European Sales Law, only the Common European Sales Law should govern the matters falling within its scope.
  Since the Common European Sales Law contains a complete

  comprehensive
  set of fully

  uniform
  harmonised mandatory consumer protection rules, there will be no disparities between the laws of the Member States in this area, where the parties have chosen to use the Common European Sales Law. Consequently, Article 6(2) of Regulation (EC) No 593/2008, which is predicated on the existence of differing levels of consumer protection in the Member States, has no practical importance for

  relevance to
  the issues covered by the Common European Sales Law
  , as it would amount to a comparison between the mandatory provisions of two identical second contract-law regimes
  . [Am. 6] |
| --- | --- |

(12)

Once there is a valid agreement to use the Common European Sales Law, only the Common European Sales Law should govern the matters falling within its scope.
  Since the Common European Sales Law contains a complete

  comprehensive
  set of fully

  uniform
  harmonised mandatory consumer protection rules, there will be no disparities between the laws of the Member States in this area, where the parties have chosen to use the Common European Sales Law. Consequently, Article 6(2) of Regulation (EC) No 593/2008, which is predicated on the existence of differing levels of consumer protection in the Member States, has no practical importance for

  relevance to
  the issues covered by the Common European Sales Law
  , as it would amount to a comparison between the mandatory provisions of two identical second contract-law regimes
  . [Am. 6]

| (13) | The Common European Sales Law should be available for cross-border contracts, because it is in that context that the disparities between national laws lead to complexity and additional costs and dissuade parties from entering into contractual relationships
  , and that distance trade, in particular trade online, has a high potential
  . The cross-border nature of a contract should be assessed on the basis of the habitual residence of the parties in business-to-business contracts. In a business-to-consumer contract the cross-border requirement should be met where either the general address indicated by the consumer, the delivery address for the goods or the billing address indicated by the consumer are located in a Member State, but outside the State where the trader has its habitual residence. [Am. 7] |
| --- | --- |

(13)

The Common European Sales Law should be available for cross-border contracts, because it is in that context that the disparities between national laws lead to complexity and additional costs and dissuade parties from entering into contractual relationships
  , and that distance trade, in particular trade online, has a high potential
  . The cross-border nature of a contract should be assessed on the basis of the habitual residence of the parties in business-to-business contracts. In a business-to-consumer contract the cross-border requirement should be met where either the general address indicated by the consumer, the delivery address for the goods or the billing address indicated by the consumer are located in a Member State, but outside the State where the trader has its habitual residence. [Am. 7]

| (14) | The use of the Common European Sales Law should not be limited to cross-border situations involving only Member States, but should also be available to facilitate trade between Member States and third countries. Where consumers from third countries are involved, the agreement to use the Common European Sales Law, which would imply the choice of a foreign law for them, should be subject to the applicable conflict-of-law rules. |
| --- | --- |

(14)

The use of the Common European Sales Law should not be limited to cross-border situations involving only Member States, but should also be available to facilitate trade between Member States and third countries. Where consumers from third countries are involved, the agreement to use the Common European Sales Law, which would imply the choice of a foreign law for them, should be subject to the applicable conflict-of-law rules.

| (15) | Traders engaging in purely domestic as well as in cross-border trade transactions may also find it useful to make use of a single uniform contract for all their transactions. Therefore Member States should be free to decide to make the Common European Sales Law available to parties for use in an entirely domestic setting. |
| --- | --- |

(15)

Traders engaging in purely domestic as well as in cross-border trade transactions may also find it useful to make use of a single uniform contract for all their transactions. Therefore Member States should be free to decide to make the Common European Sales Law available to parties for use in an entirely domestic setting.

| (16) | The Common European Sales Law should be available in particular for the sale of movable goods, including the manufacture or production of such goods, as this is the economically single most important contract type which could present a particular potential for growth in cross-border trade, especially in e-commerce. |
| --- | --- |

(16)

The Common European Sales Law should be available in particular for the sale of movable goods, including the manufacture or production of such goods, as this is the economically single most important contract type which could present a particular potential for growth in cross-border trade, especially in e-commerce.

| (17) | In order to reflect the increasing importance of the digital economy, the scope of the Common European Sales Law should also cover contracts for the supply of digital content. The transfer of digital content for storage, processing or access, and repeated use, such as a music download, has been growing rapidly and holds a great potential for further growth but is still surrounded by a considerable degree of legal diversity and uncertainty. The Common European Sales Law should therefore cover the supply of digital content irrespective of whether or not that content is supplied on a tangible medium. |
| --- | --- |

(17)

In order to reflect the increasing importance of the digital economy, the scope of the Common European Sales Law should also cover contracts for the supply of digital content. The transfer of digital content for storage, processing or access, and repeated use, such as a music download, has been growing rapidly and holds a great potential for further growth but is still surrounded by a considerable degree of legal diversity and uncertainty. The Common European Sales Law should therefore cover the supply of digital content irrespective of whether or not that content is supplied on a tangible medium.

| (17a) | Cloud computing is developing rapidly and has great potential for growth. The Common European Sales Law provides a coherent set of rules adapted to the distance supply, and in particular the supply online, of digital content and related services. It should be possible for those rules to also apply when digital content or related services are provided using a cloud, in particular when digital content can be downloaded from the seller's cloud or temporarily stored in the provider's cloud. [Am. 8] |
| --- | --- |

(17a)

Cloud computing is developing rapidly and has great potential for growth. The Common European Sales Law provides a coherent set of rules adapted to the distance supply, and in particular the supply online, of digital content and related services. It should be possible for those rules to also apply when digital content or related services are provided using a cloud, in particular when digital content can be downloaded from the seller's cloud or temporarily stored in the provider's cloud. [Am. 8]

| (18) | Digital content is often supplied not in exchange for a price but in combination with separate paid goods or services, involving a non-monetary consideration such as giving access to personal data or free of charge in the context of a marketing strategy based on the expectation that the consumer will purchase additional or more sophisticated digital content products at a later stage. In view of this specific market structure and of the fact that defects of the digital content provided may harm the economic interests of consumers irrespective of the conditions under which it has been provided, the availability of the Common European Sales Law should not depend on whether a price is paid for the specific digital content in question.
  However, in such cases, the remedies of the buyer should be limited to damages. On the other hand, the buyer should be able to have recourse to the full range of remedies, except price reduction, even if he is not obliged to pay a price for the supply of digital content, provided that his counter-performance, such as the provision of personal data or other utility having commercial value for the supplier, equals the payment of the price, given that in such cases the digital content is not actually supplied free of charge. [Am. 9] |
| --- | --- |

(18)

Digital content is often supplied not in exchange for a price but in combination with separate paid goods or services, involving a non-monetary consideration such as giving access to personal data or free of charge in the context of a marketing strategy based on the expectation that the consumer will purchase additional or more sophisticated digital content products at a later stage. In view of this specific market structure and of the fact that defects of the digital content provided may harm the economic interests of consumers irrespective of the conditions under which it has been provided, the availability of the Common European Sales Law should not depend on whether a price is paid for the specific digital content in question.
  However, in such cases, the remedies of the buyer should be limited to damages. On the other hand, the buyer should be able to have recourse to the full range of remedies, except price reduction, even if he is not obliged to pay a price for the supply of digital content, provided that his counter-performance, such as the provision of personal data or other utility having commercial value for the supplier, equals the payment of the price, given that in such cases the digital content is not actually supplied free of charge. [Am. 9]

| (19) | With a view to maximising the added value of the Common European Sales Law its material scope should also include certain services provided by the seller that are directly and closely related to specific goods or digital content supplied on the basis of the Common European Sales Law, and in practice often combined in the same or a linked contract at the same time, most notably repair, maintenance or installation of the goods or the digital content
  or temporary storage of digital content in the provider's cloud
  . [Am. 10] |
| --- | --- |

(19)

With a view to maximising the added value of the Common European Sales Law its material scope should also include certain services provided by the seller that are directly and closely related to specific goods or digital content supplied on the basis of the Common European Sales Law, and in practice often combined in the same or a linked contract at the same time, most notably repair, maintenance or installation of the goods or the digital content
  or temporary storage of digital content in the provider's cloud
  . [Am. 10]

| (19a) | The Common European Sales Law may also be used for a contract that is linked to another contract between the same parties that is not a sales contract, a contract for the supply of digital content or a related services contract. The linked contract is governed by the respective national law which is applicable pursuant to the relevant conflict-of-law rule. The Common European Sales Law may also be used for a contract that includes any element other than the sale of goods, the supply of digital content or the provision of related services, provided those elements are divisible and their price can be apportioned. [Am. 11] |
| --- | --- |

(19a)

The Common European Sales Law may also be used for a contract that is linked to another contract between the same parties that is not a sales contract, a contract for the supply of digital content or a related services contract. The linked contract is governed by the respective national law which is applicable pursuant to the relevant conflict-of-law rule. The Common European Sales Law may also be used for a contract that includes any element other than the sale of goods, the supply of digital content or the provision of related services, provided those elements are divisible and their price can be apportioned. [Am. 11]

| (20) | The Common European Sales Law should not cover any related contracts by which the buyer acquires goods or is supplied with a service, from a third party. This would not be appropriate because the third party is not part of the agreement between the contracting parties to use the rules of the Common European Sales Law. A related contract with a third party should be governed by the respective national law which is applicable according pursuant to Regulations (EC) No 593/2008 and (EC) No 864/2007 or any other relevant conflict of law rule. |
| --- | --- |

(20)

The Common European Sales Law should not cover any related contracts by which the buyer acquires goods or is supplied with a service, from a third party. This would not be appropriate because the third party is not part of the agreement between the contracting parties to use the rules of the Common European Sales Law. A related contract with a third party should be governed by the respective national law which is applicable according pursuant to Regulations (EC) No 593/2008 and (EC) No 864/2007 or any other relevant conflict of law rule.

| (21) | In order to tackle the existing internal market and competition problems in a targeted and proportionate fashion, the personal scope of the Common European Sales Law should focus on parties who are currently dissuaded from doing business abroad by the divergence of national contract laws with the consequence of a significant adverse impact on cross-border trade. It should therefore cover all business-to consumer transactions and contracts between traders where at least one of the parties is an SME drawing upon Commission Recommendation 2003/361/EC (5). This should, however, be without prejudice to the possibility for Member States to enact legislation which makes the Common European Sales Law available for contracts between traders, neither of which is an SME. In any case, in business-to-business transactions, traders enjoy full freedom of contract and are encouraged to draw inspiration from the Common European Sales Law in the drafting of their contractual terms. |
| --- | --- |

(21)

In order to tackle the existing internal market and competition problems in a targeted and proportionate fashion, the personal scope of the Common European Sales Law should focus on parties who are currently dissuaded from doing business abroad by the divergence of national contract laws with the consequence of a significant adverse impact on cross-border trade. It should therefore cover all business-to consumer transactions and contracts between traders where at least one of the parties is an SME drawing upon Commission Recommendation 2003/361/EC (5). This should, however, be without prejudice to the possibility for Member States to enact legislation which makes the Common European Sales Law available for contracts between traders, neither of which is an SME. In any case, in business-to-business transactions, traders enjoy full freedom of contract and are encouraged to draw inspiration from the Common European Sales Law in the drafting of their contractual terms.

| (22) | The agreement of the parties to a contract
  to the use of the Common European Sales Law
  is indispensable for the application of the Common European Sales Law. That agreement should be subject to strict requirements in business-to-consumer transactions. Since, in practice, it will usually be the trader who proposes the use of the Common European Sales Law, consumers must be fully aware of the fact that they are agreeing to the use of rules which are different from those of their pre-existing national law. Therefore, the consumer's consent to use the Common European Sales Law should be admissible only in the form of an explicit statement separate from the statement indicating the agreement to the conclusion of the contract. It should therefore not be possible to offer the use of the Common European Sales Law as a term of the contract to be concluded, particularly as an element of the trader's standard terms and conditions. The trader should provide the consumer with a confirmation of the agreement to use the Common European Sales Law on a durable medium. [Am. 12] |
| --- | --- |

(22)

The agreement of the parties to a contract
  to the use of the Common European Sales Law
  is indispensable for the application of the Common European Sales Law. That agreement should be subject to strict requirements in business-to-consumer transactions. Since, in practice, it will usually be the trader who proposes the use of the Common European Sales Law, consumers must be fully aware of the fact that they are agreeing to the use of rules which are different from those of their pre-existing national law. Therefore, the consumer's consent to use the Common European Sales Law should be admissible only in the form of an explicit statement separate from the statement indicating the agreement to the conclusion of the contract. It should therefore not be possible to offer the use of the Common European Sales Law as a term of the contract to be concluded, particularly as an element of the trader's standard terms and conditions. The trader should provide the consumer with a confirmation of the agreement to use the Common European Sales Law on a durable medium. [Am. 12]

| (23) | In addition to being a conscious choice, the consent of a consumer to the use of the Common European Sales Law should be an informed choice. The trader should therefore not only draw the consumer's attention to the intended use of the Common European Sales Law but should also provide information on its nature and its salient features. In order to facilitate this task for traders, thereby avoiding unnecessary administrative burdens, and to ensure consistency in the level and the quality of the information communicated to consumers, traders should supply consumers with the standard information notice provided for in this Regulation and thus readily available in all official languages in the Union. Where it is not possible to supply the consumer with the information notice, for example in the context of a telephone call, or where the trader has failed to provide the information notice, the agreement to use the Common European Sales Law should not be binding on the consumer until the consumer has received the information notice together with the confirmation of the agreement and has subsequently expressed consent. |
| --- | --- |

(23)

In addition to being a conscious choice, the consent of a consumer to the use of the Common European Sales Law should be an informed choice. The trader should therefore not only draw the consumer's attention to the intended use of the Common European Sales Law but should also provide information on its nature and its salient features. In order to facilitate this task for traders, thereby avoiding unnecessary administrative burdens, and to ensure consistency in the level and the quality of the information communicated to consumers, traders should supply consumers with the standard information notice provided for in this Regulation and thus readily available in all official languages in the Union. Where it is not possible to supply the consumer with the information notice, for example in the context of a telephone call, or where the trader has failed to provide the information notice, the agreement to use the Common European Sales Law should not be binding on the consumer until the consumer has received the information notice together with the confirmation of the agreement and has subsequently expressed consent.

| (23a) | Where the agreement of the parties to the use of the Common European Sales Law is invalid or where the requirements to provide the standard information notice are not fulfilled, questions as to whether a contract is concluded and on what terms should be determined by the respective national law which is applicable pursuant to the relevant conflict-of-law rules. [Am. 13] |
| --- | --- |

(23a)

Where the agreement of the parties to the use of the Common European Sales Law is invalid or where the requirements to provide the standard information notice are not fulfilled, questions as to whether a contract is concluded and on what terms should be determined by the respective national law which is applicable pursuant to the relevant conflict-of-law rules. [Am. 13]

| (24) | In order to avoid a selective application of certain elements of the Common European Sales Law, which could disturb the balance between the rights and obligations of the parties and adversely affect the level of consumer protection, the choice should cover the Common European Sales Law as a whole and not only certain parts of it. |
| --- | --- |

(24)

In order to avoid a selective application of certain elements of the Common European Sales Law, which could disturb the balance between the rights and obligations of the parties and adversely affect the level of consumer protection, the choice should cover the Common European Sales Law as a whole and not only certain parts of it.

| (25) | Where the United Nations Convention on Contracts for the International Sale of Goods would otherwise apply to the contract in question, the choice of the Common European Sales Law should imply an agreement of the contractual parties to exclude that Convention. |
| --- | --- |

(25)

Where the United Nations Convention on Contracts for the International Sale of Goods would otherwise apply to the contract in question, the choice of the Common European Sales Law should imply an agreement of the contractual parties to exclude that Convention.

| (26) | The rules of the Common European Sales Law should cover the matters of contract law that are of practical relevance during the life cycle of the types of contracts falling within the material and personal scope, particularly those entered into online. Apart from the rights and obligations of the parties and the remedies for non-performance, the Common European Sales Law should therefore govern pre-contractual information duties, the conclusion of a contract including formal requirements, the right of withdrawal and its consequences, avoidance of the contract resulting from a mistake, fraud, threats or unfair exploitation and the consequences of such avoidance, interpretation, the contents and effects of a contract, the assessment and consequences of unfairness of contract terms, restitution after avoidance and termination and the prescription and preclusion of rights. It should settle the sanctions available in case of the breach of all the obligations and duties arising under its application. |
| --- | --- |

(26)

The rules of the Common European Sales Law should cover the matters of contract law that are of practical relevance during the life cycle of the types of contracts falling within the material and personal scope, particularly those entered into online. Apart from the rights and obligations of the parties and the remedies for non-performance, the Common European Sales Law should therefore govern pre-contractual information duties, the conclusion of a contract including formal requirements, the right of withdrawal and its consequences, avoidance of the contract resulting from a mistake, fraud, threats or unfair exploitation and the consequences of such avoidance, interpretation, the contents and effects of a contract, the assessment and consequences of unfairness of contract terms, restitution after avoidance and termination and the prescription and preclusion of rights. It should settle the sanctions available in case of the breach of all the obligations and duties arising under its application.

| (27) | All the matters of a contractual or non-contractual nature that are not addressed in the Common European Sales Law are governed by the pre-existing rules of the national law outside the Common European Sales Law that is applicable under Regulations (EC) No 593/2008 and (EC) No 864/2007 or any other relevant conflict of law rule. These issues include legal personality, the invalidity of a contract arising from lack of capacity, illegality or immorality
  unless the reasons for such illegality or immorality are addressed in the Common European Sales Law
  , the determination of the language of the contract, matters of non-discrimination, representation, plurality of debtors and creditors, change of parties including assignment, set-off and merger, property law including the transfer of ownership, intellectual property law, and the law of torts. Furthermore,

  and
  the issue of whether concurrent contractual and non-contractual liability claims can be pursued together falls outside the scope of the Common European Sales Law.
  In the interest of clarity and legal certainty, the Common European Sales Law should clearly refer to those issues which are, and those which are not, addressed therein. [Am. 14] |
| --- | --- |

(27)

All the matters of a contractual or non-contractual nature that are not addressed in the Common European Sales Law are governed by the pre-existing rules of the national law outside the Common European Sales Law that is applicable under Regulations (EC) No 593/2008 and (EC) No 864/2007 or any other relevant conflict of law rule. These issues include legal personality, the invalidity of a contract arising from lack of capacity, illegality or immorality
  unless the reasons for such illegality or immorality are addressed in the Common European Sales Law
  , the determination of the language of the contract, matters of non-discrimination, representation, plurality of debtors and creditors, change of parties including assignment, set-off and merger, property law including the transfer of ownership, intellectual property law, and the law of torts. Furthermore,

  and
  the issue of whether concurrent contractual and non-contractual liability claims can be pursued together falls outside the scope of the Common European Sales Law.
  In the interest of clarity and legal certainty, the Common European Sales Law should clearly refer to those issues which are, and those which are not, addressed therein. [Am. 14]

| (27a) | The unfair commercial practices referred to in Directive 2005/29/EC of the European Parliament and of the Council

   (6)

  would be covered by the Common European Sales Law in so far as they overlap with rules on contract law, including in particular those relating to unfair commercial practices that can lead to avoidance of a contract due to mistake, fraud, threat or unfair exploitation or to remedies for breach of the duty to provide information. Unfair commercial practices other than those that overlap with rules on contract law should fall outside the scope of the Common European Sales Law. [Am. 15] |
| --- | --- |

(27a)

The unfair commercial practices referred to in Directive 2005/29/EC of the European Parliament and of the Council

   (6)

  would be covered by the Common European Sales Law in so far as they overlap with rules on contract law, including in particular those relating to unfair commercial practices that can lead to avoidance of a contract due to mistake, fraud, threat or unfair exploitation or to remedies for breach of the duty to provide information. Unfair commercial practices other than those that overlap with rules on contract law should fall outside the scope of the Common European Sales Law. [Am. 15]

| (28) | The Common European Sales Law should not govern any matters outside the remit of contract law. This Regulation should be without prejudice to the Union or national law in relation to any such matters. For example, information duties which are imposed for the protection of health and safety or environmental reasons should remain outside the scope of the Common European Sales Law. This Regulation should further be without prejudice to the information requirements of Directive 2006/123/EC of the European Parliament and of the Council (7). |
| --- | --- |

(28)

The Common European Sales Law should not govern any matters outside the remit of contract law. This Regulation should be without prejudice to the Union or national law in relation to any such matters. For example, information duties which are imposed for the protection of health and safety or environmental reasons should remain outside the scope of the Common European Sales Law. This Regulation should further be without prejudice to the information requirements of Directive 2006/123/EC of the European Parliament and of the Council (7).

| (29) | Once there is a valid agreement to use the Common European Sales Law, only the Common European Sales Law should govern the matters falling within its scope. The rules of the Common European Sales Law should be interpreted autonomously in accordance with the well-established principles on the interpretation of Union legislation. Questions concerning matters falling within the scope of the Common European Sales Law which are not expressly settled by it should be resolved only by interpretation of its rules without recourse to any other law. The rules of the Common European Sales Law should be interpreted on the basis of the underlying principles and objectives and all its provisions. [Am. 16] |
| --- | --- |

(29)

Once there is a valid agreement to use the Common European Sales Law, only the Common European Sales Law should govern the matters falling within its scope. The rules of the Common European Sales Law should be interpreted autonomously in accordance with the well-established principles on the interpretation of Union legislation. Questions concerning matters falling within the scope of the Common European Sales Law which are not expressly settled by it should be resolved only by interpretation of its rules without recourse to any other law. The rules of the Common European Sales Law should be interpreted on the basis of the underlying principles and objectives and all its provisions. [Am. 16]

| (30) | Freedom of contract should be the guiding principle underlying the Common European Sales Law. Party autonomy should be restricted only where and to the extent that this is indispensable, in particular for reasons of consumer protection. Where such a necessity exists, the mandatory nature of the rules in question should be clearly indicated. |
| --- | --- |

(30)

Freedom of contract should be the guiding principle underlying the Common European Sales Law. Party autonomy should be restricted only where and to the extent that this is indispensable, in particular for reasons of consumer protection. Where such a necessity exists, the mandatory nature of the rules in question should be clearly indicated.

| (31) | The
  general
  principle of good faith and fair dealing should provide guidance on the way parties have to cooperate. As some rules constitute specific manifestations of the general principle of good faith and fair dealing, they should take precedent over the general principle. The general principle should therefore not be used as a tool to amend the specific rights and obligations of parties as set out in the specific rules. The concrete requirements resulting from the
  general
  principle of good faith and fair dealing should depend, amongst others, on the relative level of expertise of the parties and should therefore be different in business-to-consumer transactions and in business-to-business transactions. In transactions between traders, good commercial practice in the specific situation concerned should be a relevant factor in this context.
  The general principle of good faith and fair dealing should set a standard of conduct which ensures an honest, transparent and fair relationship. While it precludes a party from exercising or relying on a right, remedy or defence which that party would otherwise have, the principle as such should not give rise to any general right to damages. Rules of the Common European Sales Law constituting specific manifestations of the general principle of good faith and fair dealing, such as avoidance for fraud or the non-performance of an obligation created by an implied term, can give rise to a right to damages, but only in very specific cases. [Am. 17] |
| --- | --- |

(31)

The
  general
  principle of good faith and fair dealing should provide guidance on the way parties have to cooperate. As some rules constitute specific manifestations of the general principle of good faith and fair dealing, they should take precedent over the general principle. The general principle should therefore not be used as a tool to amend the specific rights and obligations of parties as set out in the specific rules. The concrete requirements resulting from the
  general
  principle of good faith and fair dealing should depend, amongst others, on the relative level of expertise of the parties and should therefore be different in business-to-consumer transactions and in business-to-business transactions. In transactions between traders, good commercial practice in the specific situation concerned should be a relevant factor in this context.
  The general principle of good faith and fair dealing should set a standard of conduct which ensures an honest, transparent and fair relationship. While it precludes a party from exercising or relying on a right, remedy or defence which that party would otherwise have, the principle as such should not give rise to any general right to damages. Rules of the Common European Sales Law constituting specific manifestations of the general principle of good faith and fair dealing, such as avoidance for fraud or the non-performance of an obligation created by an implied term, can give rise to a right to damages, but only in very specific cases. [Am. 17]

| (32) | The Common European Sales Law should aim at the preservation of a valid contract whenever possible and appropriate in view of the legitimate interests of the parties. |
| --- | --- |

(32)

The Common European Sales Law should aim at the preservation of a valid contract whenever possible and appropriate in view of the legitimate interests of the parties.

| (33) | The Common European Sales Law should identify well-balanced solutions taking account the legitimate interests of the parties in designating and exercising the remedies available in the case of non-performance of the contract. In business-to-consumer contracts the system of remedies should reflect the fact that the non-conformity of goods, digital content or services falls within the trader's sphere of responsibility. |
| --- | --- |

(33)

The Common European Sales Law should identify well-balanced solutions taking account the legitimate interests of the parties in designating and exercising the remedies available in the case of non-performance of the contract. In business-to-consumer contracts the system of remedies should reflect the fact that the non-conformity of goods, digital content or services falls within the trader's sphere of responsibility.

| (34) | In order to enhance legal certainty by making the case-law of the Court of Justice of the European Union and of national courts on the interpretation of the Common European Sales Law or any other provision of this Regulation accessible to the public, the Commission should create a database comprising the final relevant decisions. With a view to making that task possible, the Member States should ensure that such national judgments are quickly communicated to the Commission.
  A database should be established which is easily accessible, fully systematised and easily searchable. In order to overcome problems relating to different approaches to judgments within the Union and to enable the database to be operated efficiently and economically, judgments should be communicated on the basis of a standard judgment summary which should accompany the judgment. It should be succinct, thus rendering it easily accessible. It should be divided into five sections which should set out the main elements of the judgment communicated, namely: the issue and the relevant Common European Sales Law article; a brief summary of the facts; a short summary of the main arguments; the decision; and the reasons for the decision, clearly stating the principle decided. [Am. 18] |
| --- | --- |

(34)

In order to enhance legal certainty by making the case-law of the Court of Justice of the European Union and of national courts on the interpretation of the Common European Sales Law or any other provision of this Regulation accessible to the public, the Commission should create a database comprising the final relevant decisions. With a view to making that task possible, the Member States should ensure that such national judgments are quickly communicated to the Commission.
  A database should be established which is easily accessible, fully systematised and easily searchable. In order to overcome problems relating to different approaches to judgments within the Union and to enable the database to be operated efficiently and economically, judgments should be communicated on the basis of a standard judgment summary which should accompany the judgment. It should be succinct, thus rendering it easily accessible. It should be divided into five sections which should set out the main elements of the judgment communicated, namely: the issue and the relevant Common European Sales Law article; a brief summary of the facts; a short summary of the main arguments; the decision; and the reasons for the decision, clearly stating the principle decided. [Am. 18]

| (34a) | A commentary on the Common European Sales Law could be a valuable tool, as it would provide clarity and guidance on that law. Such a commentary should provide a clear and comprehensive exegesis of the articles of the Common European Sales Law together, where appropriate, with an explanation of the policy choices which underpin specific articles. A clear explanation of such choices would enable courts across the Member States to interpret and apply properly the Common European Sales Law, as well as enabling them to fill any gaps. As such, it will facilitate the development of a consistent, uniform application of the Common European Sales Law. The Commission should explore the possibilities of providing for such a commentary. [Am. 19] |
| --- | --- |

(34a)

A commentary on the Common European Sales Law could be a valuable tool, as it would provide clarity and guidance on that law. Such a commentary should provide a clear and comprehensive exegesis of the articles of the Common European Sales Law together, where appropriate, with an explanation of the policy choices which underpin specific articles. A clear explanation of such choices would enable courts across the Member States to interpret and apply properly the Common European Sales Law, as well as enabling them to fill any gaps. As such, it will facilitate the development of a consistent, uniform application of the Common European Sales Law. The Commission should explore the possibilities of providing for such a commentary. [Am. 19]

| (34b) | An additional obstacle to cross-border trade is the lack of access to efficient and inexpensive redress mechanisms. Therefore, a consumer and a trader concluding a contract on the basis of the Common European Sales Law should consider submitting disputes arising from that contract to an existing alternative dispute resolution entity within the meaning of point (h) of Article 4(1) of Directive 2013/11/EU of the European Parliament and of the Council

   (8)

  . This should be entirely without prejudice to the possibility for the parties to initiate proceedings before the competent courts without first having recourse to alternative dispute resolution. [Am. 20] |
| --- | --- |

(34b)

An additional obstacle to cross-border trade is the lack of access to efficient and inexpensive redress mechanisms. Therefore, a consumer and a trader concluding a contract on the basis of the Common European Sales Law should consider submitting disputes arising from that contract to an existing alternative dispute resolution entity within the meaning of point (h) of Article 4(1) of Directive 2013/11/EU of the European Parliament and of the Council

   (8)

  . This should be entirely without prejudice to the possibility for the parties to initiate proceedings before the competent courts without first having recourse to alternative dispute resolution. [Am. 20]

| (34c) | To help facilitate the use of the Common European Sales Law, the Commission should work towards the development of European model contract terms with the assistance of a working group, composed mainly of groups representing consumers and businesses and supported by academics and practitioners. Such model contract terms could usefully complement the Common Sales Law rules when describing the specific features of a given contract, and should take into account the particularities of relevant commercial sectors. They should respond to stakeholders' needs and draw lessons from the initial practical experience of the use of the Common European Sales Law. The model contract terms should be made available to the public as they would provide added value to traders who choose to conclude cross-border contracts using the Common European Sales Law. In order for those model contract terms to effectively accompany the Common European Sales Law, the Commission's work should start as soon as possible. [Am. 21] |
| --- | --- |

(34c)

To help facilitate the use of the Common European Sales Law, the Commission should work towards the development of European model contract terms with the assistance of a working group, composed mainly of groups representing consumers and businesses and supported by academics and practitioners. Such model contract terms could usefully complement the Common Sales Law rules when describing the specific features of a given contract, and should take into account the particularities of relevant commercial sectors. They should respond to stakeholders' needs and draw lessons from the initial practical experience of the use of the Common European Sales Law. The model contract terms should be made available to the public as they would provide added value to traders who choose to conclude cross-border contracts using the Common European Sales Law. In order for those model contract terms to effectively accompany the Common European Sales Law, the Commission's work should start as soon as possible. [Am. 21]

| (35) | It is also appropriate to review the functioning of the Common European Sales Law or any other provision of this Regulation after five years of operation. The review should take into account, amongst other things, the need to extend

  include
  further the scope in relation to business-to-business contracts

  rules relating to retention of title clauses
  , market and technological developments in respect of digital content and future developments of the Union acquis.
  Particular consideration should be given, in addition, to the question whether the limitation to distance contracts, and in particular online contracts, remains appropriate or whether a wider scope, including on-premises contracts, may be feasible. [Am. 22] |
| --- | --- |

(35)

It is also appropriate to review the functioning of the Common European Sales Law or any other provision of this Regulation after five years of operation. The review should take into account, amongst other things, the need to extend

  include
  further the scope in relation to business-to-business contracts

  rules relating to retention of title clauses
  , market and technological developments in respect of digital content and future developments of the Union acquis.
  Particular consideration should be given, in addition, to the question whether the limitation to distance contracts, and in particular online contracts, remains appropriate or whether a wider scope, including on-premises contracts, may be feasible. [Am. 22]

| (36) | Since the objective of this Regulation, namely to contribute to the proper functioning of the internal market by making available a uniform set of contract law rules that can be used for cross-border transactions throughout the Union, cannot be sufficiently achieved by the Member States and can therefore be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
| --- | --- |

(36)

Since the objective of this Regulation, namely to contribute to the proper functioning of the internal market by making available a uniform set of contract law rules that can be used for cross-border transactions throughout the Union, cannot be sufficiently achieved by the Member States and can therefore be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective.

| (37) | This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and specifically Articles 16, 38 and 47 thereof, |
| --- | --- |

(37)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and specifically Articles 16, 38 and 47 thereof,

HAVE ADOPTED THIS REGULATION:

Table of contents

   (*1)

[Am. 23]

Title I

General provisions [Am. 24]

Part -I: Application of the instrument [Am. 25]

Article 1

Objective and subject matter

1.   The purpose of this Regulation is to improve the conditions for the establishment and the functioning of the internal market by making available
  , within the legal order of each Member State,
  a uniform set of contract law rules as set out in Title II (‘the Common European Sales Law’). These rules can be used for cross-border transactions for the sale of goods, for the supply of digital content and for related services
  which are conducted at a distance, in particular online,
  where the parties to a contract agree to do so. [Am. 26]

2.   This Regulation enables traders
  , in particular small or medium-sized enterprises (‘SMEs’),
  to rely on a common set of rules and use the same contract terms for all their cross-border transactions thereby reducing unnecessary costs while providing a high degree of legal certainty. [Am. 27]

3.   In relation to contracts between traders and consumers, this Regulation comprises a comprehensive set of consumer protection rules to ensure a high level of consumer protection, to enhance consumer confidence in the internal market and encourage consumers to shop across borders.

Article 2

Definitions

For the purpose of this Regulation, the following definitions shall apply:

| (a) | ‘contract’ means an agreement intended to give rise to obligations or other legal effects; |
| --- | --- |

(a)

‘contract’ means an agreement intended to give rise to obligations or other legal effects;

| (b) | ‘good faith and fair dealing’ means a standard of conduct characterised by honesty, openness and consideration for the interests of the other party to the transaction or relationship in question;
  [Am. 28] |
| --- | --- |

(b)

‘good faith and fair dealing’ means a standard of conduct characterised by honesty, openness and consideration for the interests of the other party to the transaction or relationship in question;
  [Am. 28]

| (c) | ‘loss’ means economic loss and non-economic loss in the form of pain and suffering, excluding other forms of non-economic loss such as impairment of the quality of life and loss of enjoyment;
  [Am. 29] |
| --- | --- |

(c)

‘loss’ means economic loss and non-economic loss in the form of pain and suffering, excluding other forms of non-economic loss such as impairment of the quality of life and loss of enjoyment;
  [Am. 29]

| (d) | ‘standard contract terms’ means contract terms which have been drafted in advance for several transactions involving different parties, and which have not been individually negotiated by the parties within the meaning of Article 7 of the Common European Sales Law;
  [Am. 30] |
| --- | --- |

(d)

‘standard contract terms’ means contract terms which have been drafted in advance for several transactions involving different parties, and which have not been individually negotiated by the parties within the meaning of Article 7 of the Common European Sales Law;
  [Am. 30]

| (e) | ‘trader’ means any natural or

  person or any
  legal person
  , irrespective of whether privately or publicly owned,
  who is acting for purposes relating to that person’s trade, business, craft, or profession
  in relation to contracts
  ; [Am. 31] |
| --- | --- |

(e)

‘trader’ means any natural or

  person or any
  legal person
  , irrespective of whether privately or publicly owned,
  who is acting for purposes relating to that person’s trade, business, craft, or profession
  in relation to contracts
  ; [Am. 31]

| (f) | ‘consumer’ means any natural person who is acting for purposes which are outside that person's trade, business, craft, or profession;
  where the contract is concluded for purposes partly within and partly outside that person's trade and the trade purpose is so limited as not to be predominant in the overall context of the contract, that person shall also be considered to be a consumer; [Am. 32] |
| --- | --- |

(f)

‘consumer’ means any natural person who is acting for purposes which are outside that person's trade, business, craft, or profession;
  where the contract is concluded for purposes partly within and partly outside that person's trade and the trade purpose is so limited as not to be predominant in the overall context of the contract, that person shall also be considered to be a consumer; [Am. 32]

| (fa) | ‘service provider’ means a seller of goods or supplier of digital content who undertakes to provide a customer with a service related to those goods or that digital content; [Am. 33] |
| --- | --- |

(fa)

‘service provider’ means a seller of goods or supplier of digital content who undertakes to provide a customer with a service related to those goods or that digital content; [Am. 33]

| (fb) | ‘customer’ means any person who purchases a related service; [Am. 34] |
| --- | --- |

(fb)

‘customer’ means any person who purchases a related service; [Am. 34]

| (fc) | ‘creditor’ means a person who has a right to performance of an obligation, whether monetary or non-monetary, by another person, the debtor; [Am. 35] |
| --- | --- |

(fc)

‘creditor’ means a person who has a right to performance of an obligation, whether monetary or non-monetary, by another person, the debtor; [Am. 35]

| (fd) | ‘debtor’ means a person who has an obligation, whether monetary or non-monetary, to another person, the creditor; [Am. 36] |
| --- | --- |

(fd)

‘debtor’ means a person who has an obligation, whether monetary or non-monetary, to another person, the creditor; [Am. 36]

| (fe) | ‘good faith and fair dealing’ means a standard of conduct characterised by honesty, openness and, in so far as may be appropriate, reasonable consideration for the interests of the other party to the transaction or relationship in question; [Am. 37] |
| --- | --- |

(fe)

‘good faith and fair dealing’ means a standard of conduct characterised by honesty, openness and, in so far as may be appropriate, reasonable consideration for the interests of the other party to the transaction or relationship in question; [Am. 37]

| (ff) | ‘standard contract terms’ means contract terms which have been drafted in advance for several transactions involving different parties, and which have not been individually negotiated by the parties within the meaning of Article 7 of the Common European Sales Law; [Am. 38] |
| --- | --- |

(ff)

‘standard contract terms’ means contract terms which have been drafted in advance for several transactions involving different parties, and which have not been individually negotiated by the parties within the meaning of Article 7 of the Common European Sales Law; [Am. 38]

| (fg) | ‘loss’ means economic loss and non-economic loss in the form of pain and suffering, excluding other forms of non-economic loss such as impairment of quality of life and loss of enjoyment; [Am. 39] |
| --- | --- |

(fg)

‘loss’ means economic loss and non-economic loss in the form of pain and suffering, excluding other forms of non-economic loss such as impairment of quality of life and loss of enjoyment; [Am. 39]

| (g) | ‘damages’ means a sum of money to which a person may be entitled as compensation for loss, injury or damage; |
| --- | --- |

(g)

‘damages’ means a sum of money to which a person may be entitled as compensation for loss, injury or damage;

| (ga) | ‘mandatory rule’ means any provision the application of which the parties cannot exclude, or derogate from, or the effect of which they cannot vary; [Am. 40] |
| --- | --- |

(ga)

‘mandatory rule’ means any provision the application of which the parties cannot exclude, or derogate from, or the effect of which they cannot vary; [Am. 40]

| (gb) | ‘obligation’ means a duty to perform which one party to a legal relationship owes to another party and which that other party is entitled to enforce as such; [Am. 41] |
| --- | --- |

(gb)

‘obligation’ means a duty to perform which one party to a legal relationship owes to another party and which that other party is entitled to enforce as such; [Am. 41]

| (gc) | ‘express’ means, in relation to a statement or agreement, that it is made separately from other statements or agreements and by way of active and unequivocal conduct, including by ticking a box or activating a button or similar function; [Am. 42] |
| --- | --- |

(gc)

‘express’ means, in relation to a statement or agreement, that it is made separately from other statements or agreements and by way of active and unequivocal conduct, including by ticking a box or activating a button or similar function; [Am. 42]

| (h) | ‘goods’ means any tangible movable items; it excludes:






  (i) | electricity and natural gas; and |
| --- | --- | --- |

(h)

‘goods’ means any tangible movable items; it excludes:

(i)

electricity and natural gas; and

| (ii) | water and other types of gas unless they are put up for sale in a limited volume or set quantity; |
| --- | --- |

(ii)

water and other types of gas unless they are put up for sale in a limited volume or set quantity;

| (i) | ‘price’ means money that is due in exchange for goods sold, digital content supplied or a related service provided; |
| --- | --- |

(i)

‘price’ means money that is due in exchange for goods sold, digital content supplied or a related service provided;

| (j) | ‘digital content’ means data which are produced and supplied in digital form, whether or not according to the buyer's specifications, including video, audio, picture or written digital content, digital games, software and digital content which makes it possible to personalise existing hardware or software; it excludes:






  (i) | financial services, including online banking services; |
| --- | --- | --- |

(j)

‘digital content’ means data which are produced and supplied in digital form, whether or not according to the buyer's specifications, including video, audio, picture or written digital content, digital games, software and digital content which makes it possible to personalise existing hardware or software; it excludes:

(i)

financial services, including online banking services;

| (ii) | legal or financial advice provided in electronic form; |
| --- | --- |

(ii)

legal or financial advice provided in electronic form;

| (iii) | electronic healthcare services; |
| --- | --- |

(iii)

electronic healthcare services;

| (iv) | electronic communications services and networks, and associated facilities and services; |
| --- | --- |

(iv)

electronic communications services and networks, and associated facilities and services;

| (v) | gambling; |
| --- | --- |

(v)

gambling;

| (vi) | the creation of new digital content and the amendment of existing digital content by consumers or any other interaction with the creations of other users; |
| --- | --- |

(vi)

the creation of new digital content and the amendment of existing digital content by consumers or any other interaction with the creations of other users;

| (k) | ‘sales contract’ means any contract under which the trader (‘the seller’) transfers or undertakes to transfer the ownership of the goods to another person (‘the buyer’), and the buyer pays or undertakes to pay the price thereof; it includes a contract for the supply of goods to be manufactured or produced and excludes contracts for sale on execution or otherwise involving the exercise of public authority; |
| --- | --- |

(k)

‘sales contract’ means any contract under which the trader (‘the seller’) transfers or undertakes to transfer the ownership of the goods to another person (‘the buyer’), and the buyer pays or undertakes to pay the price thereof; it includes a contract for the supply of goods to be manufactured or produced and excludes contracts for sale on execution or otherwise involving the exercise of public authority;

| (l) | ‘consumer sales contract’ means a sales contract where the seller is a trader and the buyer is a consumer; |
| --- | --- |

(l)

‘consumer sales contract’ means a sales contract where the seller is a trader and the buyer is a consumer;

| (m) | ‘related service’ means any service related to goods or digital content, such as
  storage or any other processing, including
  installation, maintenance,
  or
  repair or any other processing, provided by the seller of the goods or the supplier of the digital content under the sales contract, the contract for the supply of digital content or a separate related service contract which was concluded at the same time as the sales contract or the contract for the supply of digital content
  or provided for, even if only as an option, in the sales contract or in the contract for the supply of digital content
  ; it excludes: [Am. 44]







  (i) | transport services, |
| --- | --- | --- |

(m)

‘related service’ means any service related to goods or digital content, such as
  storage or any other processing, including
  installation, maintenance,
  or
  repair or any other processing, provided by the seller of the goods or the supplier of the digital content under the sales contract, the contract for the supply of digital content or a separate related service contract which was concluded at the same time as the sales contract or the contract for the supply of digital content
  or provided for, even if only as an option, in the sales contract or in the contract for the supply of digital content
  ; it excludes: [Am. 44]

(i)

transport services,

| (ii) | training services,
  [Am. 45] |
| --- | --- |

(ii)

training services,
  [Am. 45]

| (iii) | telecommunications support services; and |
| --- | --- |

(iii)

telecommunications support services; and

| (iv) | financial services
  , including payment services and the issue of electronic money and insurance of any kind, whether for goods and digital content or otherwise
  ; [Am. 46] |
| --- | --- |

(iv)

financial services
  , including payment services and the issue of electronic money and insurance of any kind, whether for goods and digital content or otherwise
  ; [Am. 46]

| (n) | ‘service provider’ means a seller of goods or supplier of digital content who undertakes to provide a customer with a service related to those goods or that digital content;
  [Am. 47] |
| --- | --- |

(n)

‘service provider’ means a seller of goods or supplier of digital content who undertakes to provide a customer with a service related to those goods or that digital content;
  [Am. 47]

| (o) | ‘customer’ means any person who purchases a related service;
  [Am. 48] |
| --- | --- |

(o)

‘customer’ means any person who purchases a related service;
  [Am. 48]

| (p) | ‘distance contract’ means any contract between the trader and the consumer
  or another trader
  under an organised distance sales scheme concluded without the simultaneous physical presence of the trader or, in case the trader is a legal person, a natural person representing the trader and the consumer
  or the other trader
  , with the exclusive use of one or more means of distance communication up to and including the time at which the contract is concluded; [Am. 49] |
| --- | --- |

(p)

‘distance contract’ means any contract between the trader and the consumer
  or another trader
  under an organised distance sales scheme concluded without the simultaneous physical presence of the trader or, in case the trader is a legal person, a natural person representing the trader and the consumer
  or the other trader
  , with the exclusive use of one or more means of distance communication up to and including the time at which the contract is concluded; [Am. 49]

| (q) | ‘off-premises contract’ means any contract between a trader and a consumer:








  (i) | concluded in the simultaneous physical presence of the trader or, where the trader is a legal person, the natural person representing the trader and the consumer in a place which is not the trader's business premises, or concluded on the basis of an offer made by the consumer in the same circumstances; or |
| --- | --- | --- |

(q)

‘off-premises contract’ means any contract between a trader and a consumer:

(i)

concluded in the simultaneous physical presence of the trader or, where the trader is a legal person, the natural person representing the trader and the consumer in a place which is not the trader's business premises, or concluded on the basis of an offer made by the consumer in the same circumstances; or

| (ii) | concluded on the trader's business premises or through any means of distance communication immediately after the consumer was personally and individually addressed in a place which is not the trader's business premises in the simultaneous physical presence of the trader or, where the trader is a legal person, a natural person representing the trader and the consumer; or |
| --- | --- |

(ii)

concluded on the trader's business premises or through any means of distance communication immediately after the consumer was personally and individually addressed in a place which is not the trader's business premises in the simultaneous physical presence of the trader or, where the trader is a legal person, a natural person representing the trader and the consumer; or

| (iii) | concluded during an excursion organised by the trader or, where the trader is a legal person, the natural person representing the trader with the aim or effect of promoting and selling goods or supplying digital content or related services to the consumer;
  [Am. 50] |
| --- | --- |

(iii)

concluded during an excursion organised by the trader or, where the trader is a legal person, the natural person representing the trader with the aim or effect of promoting and selling goods or supplying digital content or related services to the consumer;
  [Am. 50]

| (r) | ‘business premises’ means:








  (i) | any immovable retail premises where a trader carries out activity on a permanent basis, or |
| --- | --- | --- |

(r)

‘business premises’ means:

(i)

any immovable retail premises where a trader carries out activity on a permanent basis, or

| (ii) | any movable retail premises where a trader carries out activity on a usual basis;
  [Am. 51] |
| --- | --- |

(ii)

any movable retail premises where a trader carries out activity on a usual basis;
  [Am. 51]

| (s) | ‘commercial guarantee’ means any undertaking by the trader or a producer
  (the guarantor)
  to the consumer, in addition to
  his
  legal obligations under Article 106 in case of lack

  obligation relating to the guarantee
  of conformity to reimburse the price paid or to replace or repair, or service goods or digital content

  contents
  in any way if they do not meet the specifications or any other requirements not related to conformity set out in the guarantee statement or in the relevant advertising available at the time of, or before the conclusion of the contract; [Am. 52] |
| --- | --- |

(s)

‘commercial guarantee’ means any undertaking by the trader or a producer
  (the guarantor)
  to the consumer, in addition to
  his
  legal obligations under Article 106 in case of lack

  obligation relating to the guarantee
  of conformity to reimburse the price paid or to replace or repair, or service goods or digital content

  contents
  in any way if they do not meet the specifications or any other requirements not related to conformity set out in the guarantee statement or in the relevant advertising available at the time of, or before the conclusion of the contract; [Am. 52]

| (sa) | ‘repair’ means, in the event of lack of conformity, the act of processing non-conforming goods or digital content to bring them into conformity with the contract; [Am. 53] |
| --- | --- |

(sa)

‘repair’ means, in the event of lack of conformity, the act of processing non-conforming goods or digital content to bring them into conformity with the contract; [Am. 53]

| (t) | ‘durable medium’ means any medium which enables a party to store information addressed personally to that party in a way accessible for future reference for a period of time adequate for the purposes of the information and which allows the unchanged reproduction of the information stored; |
| --- | --- |

(t)

‘durable medium’ means any medium which enables a party to store information addressed personally to that party in a way accessible for future reference for a period of time adequate for the purposes of the information and which allows the unchanged reproduction of the information stored;

| (u) | ‘public auction’ means a method of sale where goods or digital content are offered by the trader to the consumer who attends or is given the possibility to attend the auction in person, through a transparent, competitive bidding procedure run by an auctioneer and where the successful bidder is bound to purchase the goods or digital content; |
| --- | --- |

(u)

‘public auction’ means a method of sale where goods or digital content are offered by the trader to the consumer who attends or is given the possibility to attend the auction in person, through a transparent, competitive bidding procedure run by an auctioneer and where the successful bidder is bound to purchase the goods or digital content;

| (v) | ‘mandatory rule’ means any provision the application of which the parties cannot exclude, or derogate from or the effect of which they cannot vary;
  [Am. 54] |
| --- | --- |

(v)

‘mandatory rule’ means any provision the application of which the parties cannot exclude, or derogate from or the effect of which they cannot vary;
  [Am. 54]

| (w) | ‘creditor’ means a person who has a right to performance of an obligation, whether monetary or non-monetary, by another person, the debtor;
  [Am. 55] |
| --- | --- |

(w)

‘creditor’ means a person who has a right to performance of an obligation, whether monetary or non-monetary, by another person, the debtor;
  [Am. 55]

| (x) | ‘debtor’ means a person who has an obligation, whether monetary or non-monetary, to another person, the creditor;
  [Am. 56] |
| --- | --- |

(x)

‘debtor’ means a person who has an obligation, whether monetary or non-monetary, to another person, the creditor;
  [Am. 56]

| (y) | ‘obligation’ means a duty to perform which one party to a legal relationship owes to another party.
  [Am. 57] |
| --- | --- |

(y)

‘obligation’ means a duty to perform which one party to a legal relationship owes to another party.
  [Am. 57]

| (ya) | ‘free of charge’ means free of the costs necessarily incurred in order to bring the goods into conformity, particularly the cost of postage, labour and materials. [Am. 58] |
| --- | --- |

(ya)

‘free of charge’ means free of the costs necessarily incurred in order to bring the goods into conformity, particularly the cost of postage, labour and materials. [Am. 58]

Article 3

Optional nature of the Common European Sales Law

The parties may agree
  , subject to the requirements laid down in Articles 8 and 9,
  that the Common European Sales Law governs their cross-border contracts for the sale of goods, for the supply of digital content and for the provision of related services within the territorial, material and personal scope as set out in Articles 4 to 7. [Am. 59]

Article 4

Cross-border contracts

1.   The Common European Sales Law may be used for
  distance contracts which are
  cross-border contracts. [Am. 60]

2.   For the purposes of this Regulation, a contract between traders is a cross-border contract if the parties have their habitual residence in different countries of which at least one is a Member State.

3.   For the purposes of this Regulation, a contract between a trader and a consumer is a cross-border contract if:

| (a) | either the address indicated by the consumer, the delivery address for goods or the billing address are located in a country other than the country of the trader's habitual residence; and |
| --- | --- |

(a)

either the address indicated by the consumer, the delivery address for goods or the billing address are located in a country other than the country of the trader's habitual residence; and

| (b) | at least one of these countries is a Member State. |
| --- | --- |

(b)

at least one of these countries is a Member State.

4.   For the purposes of this Regulation, the habitual residence of companies and other bodies, corporate or unincorporated, shall be the place of central administration. The habitual residence of a trader who is a natural person shall be that person's principal place of business.

5.   Where the contract is concluded in the course of the operations of a branch, agency or any other establishment of a trader, the place where the branch, agency or any other establishment is located shall be treated as the place of the trader's habitual residence.

6.   For the purpose of determining whether a contract is a cross-border contract the relevant point in time is the time of the agreement on the use of the Common European Sales Law.

Article 5

Contracts for which the Common European Sales Law can be used

The Common European Sales Law may be used for
  distance contracts, including online contracts, which are
  : [Am. 61]

| (a) | sales contracts; |
| --- | --- |

(a)

sales contracts;

| (b) | contracts for the supply of digital content whether or not supplied on a tangible medium
  or through any other means,
  which can be stored, processed or accessed, and re-used by the user, irrespective of whether the digital content is supplied in exchange for the payment of a price
  or in exchange for a counter-performance other than the payment of a price, or is not supplied in exchange for any other counter-performance
  ; [Am. 62] |
| --- | --- |

(b)

contracts for the supply of digital content whether or not supplied on a tangible medium
  or through any other means,
  which can be stored, processed or accessed, and re-used by the user, irrespective of whether the digital content is supplied in exchange for the payment of a price
  or in exchange for a counter-performance other than the payment of a price, or is not supplied in exchange for any other counter-performance
  ; [Am. 62]

| (c) | related service contracts, irrespective of whether a separate price was agreed for the related service. |
| --- | --- |

(c)

related service contracts, irrespective of whether a separate price was agreed for the related service.

Article 6

Exclusion of mixed-purpose

  Linked
  contracts and contracts linked to a consumer credit

  mixed-purpose contracts [Am. 63]

1.   The Common European Sales Law may not

  also
  be used for mixed-purpose contracts including

| a) | cases where a contract governed by the Common European Sales Law is linked to a contract other than a sales contract, a contract for the supply of digital content or a related service contract, or |
| --- | --- |

a)

cases where a contract governed by the Common European Sales Law is linked to a contract other than a sales contract, a contract for the supply of digital content or a related service contract, or

| (b) | cases where a contract includes
  any elements other than the sale of goods, the supply of digital content and

  or
  the provision of related services within the meaning of Article 5
  , provided those elements are divisible and their price can be apportioned
  . [Am. 64] |
| --- | --- |

(b)

cases where a contract includes
  any elements other than the sale of goods, the supply of digital content and

  or
  the provision of related services within the meaning of Article 5
  , provided those elements are divisible and their price can be apportioned
  . [Am. 64]

1a.
     
  In the cases referred to in point (a) of paragraph 1, the linked contract shall be governed by the otherwise applicable law. [Am. 65]

1b.
     
  In the cases referred to in point (a) of paragraph 1, and

| (a) | where, in the context of the contract governed by the Common European Sales Law, either of the parties exercises any right, remedy or defence, or that contract is invalid or not binding, the national law applicable to the linked contract shall determine the effects on the linked contract; [Am. 66] |
| --- | --- |

(a)

where, in the context of the contract governed by the Common European Sales Law, either of the parties exercises any right, remedy or defence, or that contract is invalid or not binding, the national law applicable to the linked contract shall determine the effects on the linked contract; [Am. 66]

| (b) | where, in the context of the linked contract, either of the parties exercises any right, remedy or defence, or that contract is invalid or not binding under the national law applicable to that contract, the obligations of the parties under the contract governed by the Common European Sales Law shall be unaffected unless a party would not have concluded that contract governed by the Common European Sales Law but for the linked contract, or would have done so only on fundamentally different contract terms, in which case that party shall be entitled to terminate the contract governed by the Common European Sales Law. [Am. 67] |
| --- | --- |

(b)

where, in the context of the linked contract, either of the parties exercises any right, remedy or defence, or that contract is invalid or not binding under the national law applicable to that contract, the obligations of the parties under the contract governed by the Common European Sales Law shall be unaffected unless a party would not have concluded that contract governed by the Common European Sales Law but for the linked contract, or would have done so only on fundamentally different contract terms, in which case that party shall be entitled to terminate the contract governed by the Common European Sales Law. [Am. 67]

1c.
     
  In the cases referred to in point (b) in paragraph 1, the other elements included in the contract shall be deemed to have been agreed upon under a linked contract. [Am. 68]

2.   The Common European Sales Law may not be used for contracts between a trader and a consumer where the trader grants or promises to grant to the consumer credit in the form of a deferred payment, loan or other similar financial accommodation. The Common European Sales Law may be used for contracts between a trader and a consumer where goods, digital content or related services of the same kind are supplied on a continuing basis and the consumer pays for such goods, digital content or related services for the duration of the supply by means of instalments.
  [Am. 69]

Article 7

Parties to the contract

1.   The Common European Sales Law may be used only if the seller of goods or the supplier of digital content is a trader. Where all the parties to a contract are traders, the Common European Sales Law may be used if at least one of those parties is a small or medium-sized enterprise (‘SME’).

2.   For the purposes of this Regulation, an SME is a trader which

| (a) | employs fewer than 250 persons; and |
| --- | --- |

(a)

employs fewer than 250 persons; and

| (b) | has an annual turnover not exceeding EUR 50 million or an annual balance sheet total not exceeding EUR 43 million, or, for an SME which has its habitual residence in a Member State whose currency is not the euro or in a third country, the equivalent amounts in the currency of that Member State or third country.
  [Am. 70] |
| --- | --- |

(b)

has an annual turnover not exceeding EUR 50 million or an annual balance sheet total not exceeding EUR 43 million, or, for an SME which has its habitual residence in a Member State whose currency is not the euro or in a third country, the equivalent amounts in the currency of that Member State or third country.
  [Am. 70]

Article 8

Agreement on the use of the Common European Sales Law

1.   The use of the Common European Sales Law requires an agreement of the parties to that effect. The existence of such an agreement and its validity shall be determined on the basis of paragraphs 2 and 3 of this Article and Article 9, as well as the relevant provisions in the Common European Sales Law.

2.   In relations between a trader and a consumer the agreement on the use of the Common European Sales Law shall be valid only if the consumer's consent is given by an explicit statement which is separate from the statement indicating the agreement to conclude a contract
  and if the requirements under Article 9 are fulfilled
  . The trader shall provide the consumer with a confirmation of that agreement on a durable medium. [Am. 71]

3.   In relations between a trader and a consumer the Common European Sales Law may not be chosen partially, but only in its entirety.
  In relations between traders, the Common European Sales Law may be chosen partially, provided that exclusion of the respective provisions is not prohibited therein. [Am. 72]

Article 9

Standard Information Notice in contracts between a trader and a consumer

1.   In addition to the pre-contractual information duties laid down in the Common European Sales Law, in relations between a trader and a consumer the trader shall draw the consumer's attention to the intended application of the Common European Sales Law before the agreement by providing the consumer with the information notice in Annex in a prominent manner. Where the agreement to use the Common European Sales Law is concluded by telephone or by any other means that do not make it possible to provide the consumer with the information notice, or where the trader has failed to provide the information notice, the consumer shall not be bound by the agreement until the consumer has received the confirmation referred to in Article 8(2) accompanied by the information notice and has expressly consented subsequently to the use of the Common European Sales Law.

2.   The information notice referred to in paragraph 1 shall, if given in electronic form, contain a hyperlink or, in all other circumstances, include the indication of a website through which the text of the Common European Sales Law can be obtained free of charge.

Article 10

Penalties for breach of specific requirements

Member States shall lay down penalties for breaches by traders in relations with consumers of the requirements set out in Articles 8 and 9 and shall take all the measures necessary to ensure that those penalties are applied. The penalties thus provided shall be effective, proportionate and dissuasive. Member States shall notify the relevant provisions to the Commission no later than ... (*2) and shall notify any subsequent changes as soon as possible.

Article 11

Consequences of the use of the Common European Sales Law

1.
     Where the parties have validly agreed to use the Common European Sales Law for a contract, only the Common European Sales Law shall govern the matters addressed in its rules. Provided that

  , instead of
  the contract
  -law regime that would, in the absence of such an agreement,

  was actually concluded, the Common European Sales Law shall also govern the compliance with and remedies for failure to comply with the pre-contractual information duties

  contract within the legal order determined as the applicable law
  . [Am. 73]

1a.
     
  Where the parties enter into negotiations, or otherwise take preparatory steps for the conclusion of a contract, with reference to the Common European Sales Law, the Common European Sales Law shall also govern compliance with and remedies for failure to comply with the pre-contractual duty to provide information, and other matters that are relevant prior to the conclusion of a contract.

The application of the Common European Sales Law as referred to in the first subparagraph shall be without prejudice to the law applicable under the relevant conflict-of-laws rules, where the trader has also made reference to other legal regimes. [Am. 74]

Article 11a

Matters covered by the Common European Sales Law

1.
     
  The Common European Sales Law addresses in its rules the following matters:

| (a) | pre-contractual duties to provide information; |
| --- | --- |

(a)

pre-contractual duties to provide information;

| (b) | the conclusion of a contract including formal requirements; |
| --- | --- |

(b)

the conclusion of a contract including formal requirements;

| (c) | the right of withdrawal and its consequences; |
| --- | --- |

(c)

the right of withdrawal and its consequences;

| (d) | avoidance of the contract as a result of mistake, fraud, threat or unfair exploitation and the consequences of such avoidance; |
| --- | --- |

(d)

avoidance of the contract as a result of mistake, fraud, threat or unfair exploitation and the consequences of such avoidance;

| (e) | interpretation; |
| --- | --- |

(e)

interpretation;

| (f) | contents and effects, including those of the relevant contract; |
| --- | --- |

(f)

contents and effects, including those of the relevant contract;

| (g) | the assessment and the effects of unfairness of contract terms; |
| --- | --- |

(g)

the assessment and the effects of unfairness of contract terms;

| (h) | the rights and obligations of the parties; |
| --- | --- |

(h)

the rights and obligations of the parties;

| (i) | remedies for non-performance; |
| --- | --- |

(i)

remedies for non-performance;

| (j) | restitution after avoidance or termination or in the case of a non-binding contract; |
| --- | --- |

(j)

restitution after avoidance or termination or in the case of a non-binding contract;

| (k) | prescription and preclusion of rights; |
| --- | --- |

(k)

prescription and preclusion of rights;

| (l) | sanctions available in the event of breach of the obligations and duties arising under its application. [Am. 75] |
| --- | --- |

(l)

sanctions available in the event of breach of the obligations and duties arising under its application. [Am. 75]

2.
     
  Matters not addressed in the Common European Sales law are governed by the relevant rules of the national law applicable under Regulations (EC) No 593/2008 and (EC) No 864/2007 or any other relevant conflict-of-law rule. Such matters include:

| (a) | legal personality; |
| --- | --- |

(a)

legal personality;

| (b) | the invalidity of a contract arising from lack of capacity, illegality or immorality, except where the grounds giving rise to illegality or immorality are addressed in the Common European Sales Law; |
| --- | --- |

(b)

the invalidity of a contract arising from lack of capacity, illegality or immorality, except where the grounds giving rise to illegality or immorality are addressed in the Common European Sales Law;

| (c) | determination of the language of the contract; |
| --- | --- |

(c)

determination of the language of the contract;

| (d) | matters of non-discrimination; |
| --- | --- |

(d)

matters of non-discrimination;

| (e) | representation; |
| --- | --- |

(e)

representation;

| (f) | plurality of debtors and creditors and change of parties, including assignment; |
| --- | --- |

(f)

plurality of debtors and creditors and change of parties, including assignment;

| (g) | set-off and merger; |
| --- | --- |

(g)

set-off and merger;

| (h) | the creation, acquisition or transfer of immovable property or of rights in immovable property; |
| --- | --- |

(h)

the creation, acquisition or transfer of immovable property or of rights in immovable property;

| (i) | intellectual property law; and |
| --- | --- |

(i)

intellectual property law; and

| (j) | the law of torts, including the issue of whether concurrent contractual and non-contractual liability claims can be pursued together. [Am. 76] |
| --- | --- |

(j)

the law of torts, including the issue of whether concurrent contractual and non-contractual liability claims can be pursued together. [Am. 76]

3.
     
  This Article is without prejudice to any mandatory rules of a non-Member State which may be applicable according to the relevant rules governing the conflict of laws. [Am. 77]

Article 12

Information requirements resulting from the Services Directive

This Regulation is without prejudice to the information requirements laid down by national laws which transpose the provisions of Directive 2006/123/EC and which complement the information requirements laid down in the Common European Sales Law.

Article 13

Member States' options

A Member State may decide to make the Common European Sales Law available for:

| (a) | contracts where the habitual residence of the traders or, in the case of a contract between a trader and a consumer, the habitual residence of the trader, the address indicated by the consumer, the delivery address for goods and the billing address, are located in that Member State; and/or |
| --- | --- |

(a)

contracts where the habitual residence of the traders or, in the case of a contract between a trader and a consumer, the habitual residence of the trader, the address indicated by the consumer, the delivery address for goods and the billing address, are located in that Member State; and/or

| (b) | contracts where all the parties are traders but none of them is an SME within the meaning of Article 7(2). |
| --- | --- |

(b)

contracts where all the parties are traders but none of them is an SME within the meaning of Article 7(2).

Article 14

Communication of judgments applying this Regulation

1.   Member States shall ensure that final judgments of their courts applying the rules of this Regulation are communicated without undue delay to the Commission.

2.   The Commission shall set up a system which allows the information concerning the judgments referred to in paragraph 1 and relevant judgements of the Court of Justice of the European Union to be consulted. That system shall be accessible to the public.
  [Am. 78]

Article 15

Review

1.   By ... [4 years after the date of application of this Regulation], Member States shall provide the Commission with information relating to the application of this Regulation, in particular on the level of acceptance of the Common European Sales Law, the extent to which its provisions have given rise to litigation and on the state of play concerning differences in the level of consumer protection between the Common European Sales Law and national law. That information shall include a comprehensive overview of the case law of the national courts interpreting the provisions of the Common European Sales Law.

2.   By ... [5 years after the date of application of this Regulation], the Commission shall present to the European Parliament, the Council and the Economic and Social Committee a detailed report reviewing the operation of this Regulation, and taking account of, amongst others, the need to extend the scope in relation to business-to-business contracts, market and technological developments in respect of digital content and future developments of the Union acquis.
  [Am. 79]

Article 16

Entry into force and application

1.   This Regulation shall enter into force on the 20th day following that of its publication in the Official Journal of the European Union.

2.   It shall apply from [6 months after its the entry into force].

This Regulation shall be binding in its entirety and directly applicable in the Member States.
  [Am. 80]

ANNEX I

COMMON EUROPEAN SALES LAW

TABLE OF CONTENTS

| Part I: Introductory provisions | 36 |
| --- | --- |

| Chapter 1: General principles and application | 36 |
| --- | --- |

| Section 1: General principles | 36 |
| --- | --- |

| Section 2: Application | 36 |
| --- | --- |

| Part II: Making a binding contract | 42 |
| --- | --- |

| Chapter 2: Pre-contractual information | 42 |
| --- | --- |

| Section 1: Pre-contractual information to be given by a trader dealing with a consumer | 42 |
| --- | --- |

| Section 2: Pre-contractual information to be given by a trader dealing with another trader | 48 |
| --- | --- |

| Section 3: Contracts to be concluded by electronic means | 48 |
| --- | --- |

| Section 4: Duty to ensure that information supplied is correct | 50 |
| --- | --- |

| Section 5: Remedies for breach of information duties | 50 |
| --- | --- |

| Chapter 3: Conclusion of contract | 52 |
| --- | --- |

| Chapter 4: Right to withdraw in distance and off-premises contracts between traders and consumers | 56 |
| --- | --- |

| Chapter 5: Defects in consent | 62 |
| --- | --- |

| Part III: Assessing what is in the contract | 65 |
| --- | --- |

| Chapter 6: Interpretation | 65 |
| --- | --- |

| Chapter 7: Contents and effects | 67 |
| --- | --- |

| Chapter 8: Unfair contract terms | 72 |
| --- | --- |

| Section 1: General provisions | 72 |
| --- | --- |

| Section 2: Unfair contract terms in contracts between a trader and a consumer | 72 |
| --- | --- |

| Section 3: Unfair contract terms in contracts between traders | 76 |
| --- | --- |

| Part IV: Obligations and remedies of the parties to a sales contract or a contract for the supply of digital content | 78 |
| --- | --- |

| Chapter 9: General provisions | 78 |
| --- | --- |

| Chapter 10: The seller's obligations | 81 |
| --- | --- |

| Section 1: General provisions | 81 |
| --- | --- |

| Section 2: Delivery | 81 |
| --- | --- |

| Section 3: Conformity of the goods and digital content | 84 |
| --- | --- |

| Chapter 11: The buyer’s remedies | 87 |
| --- | --- |

| Section 1: General provisions | 87 |
| --- | --- |

| Section 2: Cure by the seller | 88 |
| --- | --- |

| Section 3: Requiring performance | 89 |
| --- | --- |

| Section 4: Withholding performance of buyer’s obligations | 90 |
| --- | --- |

| Section 5: Termination | 90 |
| --- | --- |

| Section 6: Price reduction | 92 |
| --- | --- |

| Section 7: Requirements of examination and notification in a contract between traders | 92 |
| --- | --- |

| Chapter 12: The buyer's obligations | 94 |
| --- | --- |

| Section 1: General provisions | 94 |
| --- | --- |

| Section 2: Payment of the price 4 | 94 |
| --- | --- |

| Section 3: Taking delivery | 96 |
| --- | --- |

| Chapter 13: The seller’s remedies | 98 |
| --- | --- |

| Section 1: General provisions | 98 |
| --- | --- |

| Section 2: Requiring performance | 98 |
| --- | --- |

| Section 3: Withholding performance of seller’s obligations | 99 |
| --- | --- |

| Section 4: Termination | 99 |
| --- | --- |

| Chapter 14: Passing of risk | 101 |
| --- | --- |

| Section 1: General provisions | 101 |
| --- | --- |

| Section 2:Passing of risk in consumer sales contracts | 101 |
| --- | --- |

| Section 3:Passing of risk in contracts between traders | 102 |
| --- | --- |

| Part V: Obligations and remedies of the parties to a related service contract | 104 |
| --- | --- |

| Chapter 15: Obligations and remedies of the parties | 104 |
| --- | --- |

Section 1: Application of certain general rules on sales contracts

| Section 2: Obligations of the service provider | 104 |
| --- | --- |

| Section 3: Obligations of the customer | 106 |
| --- | --- |

| Section 4: Remedies | 106 |
| --- | --- |

| Part VI: Damages and interest | 109 |
| --- | --- |

| Chapter 16: Damages and interest | 109 |
| --- | --- |

| Section 1: Damages | 109 |
| --- | --- |

| Section 2: Interest on late payments: general provisions | 110 |
| --- | --- |

| Section 3: Late payments by traders | 111 |
| --- | --- |

| Part VII: Restitution | 114 |
| --- | --- |

| Chapter 17: Restitution | 114 |
| --- | --- |

| Part VIII: Prescription | 117 |
| --- | --- |

| Chapter 18: Prescription | 117 |
| --- | --- |

| Section 1: General provision | 117 |
| --- | --- |

| Section 2: Periods of prescription and their commencement | 117 |
| --- | --- |

| Section 3: Extension of periods of prescription | 118 |
| --- | --- |

| Section 4: Renewal of periods of prescription | 119 |
| --- | --- |

| Section 5: Effects of prescription | 119 |
| --- | --- |

| Section 6: Modification by agreement | 119 |
| --- | --- |

| Appendix 1 | 119 |
| --- | --- |

| Appendix 2 | 121 |
| --- | --- |

[Am. 81]

Title II

Provisions of the Common European Sales Law [Am. 82]

Part I

Introductory provisions

Chapter 1

General principles and application

Section 1

General principles

Article 1

Freedom of contract

1.   Parties are free to conclude a contract and to determine its contents, subject to any applicable mandatory rules.

2.   Parties may exclude the application of any of the provisions of the Common European Sales Law, or derogate from or vary their effects, unless otherwise stated in those provisions.

Article 2

Good faith and fair dealing

1.   Each party has a duty to act in accordance with good faith and fair dealing.

2.   Breach of this duty may preclude the party in breach from exercising or relying on a right, remedy or defence which that party would otherwise have, or may make the party liable for any loss thereby caused to the other party

  but shall not give rise directly to remedies for non-performance of an obligation
  . [Am. 83]

3.   The parties may not exclude the application of this Article or derogate from or vary its effects.

Article 3

Co-operation

The parties are obliged to co-operate with each other to the extent that this can be expected for the performance of their contractual obligations.

Section 2

Application

Article 4

Interpretation

1.   The Common European Sales Law is to be interpreted autonomously and in accordance with its objectives and the principles underlying it.

2.   Issues within the scope of the Common European Sales Law but not expressly settled by it are to be settled in accordance with the objectives and the principles underlying it and all its provisions, without recourse to the national law that would be applicable in the absence of an agreement to use the Common European Sales Law or to any other law.

3.   Where there is a general rule and a special rule applying to a particular situation within the scope of the general rule, the special rule prevails in any case of conflict.

Article 5

Reasonableness

1.   Reasonableness is to be objectively ascertained, having regard to the nature and purpose of the contract, to the circumstances of the case and to the usages and practices of the trades or professions involved.

2.   Any reference to what can be expected of or by a person, or in a particular situation, is a reference to what can reasonably be expected.

Article 6

No form required

Unless otherwise stated in the Common European Sales Law, a contract, statement or any other act which is governed by it need not be made in or evidenced by a particular form.

Article 7

Not individually negotiated contract terms

1.   A contract term is not individually negotiated if it has been supplied by one party and the other party has not been able to influence its content.

2.   Where one party supplies a selection of contract terms to the other party, a term will not be regarded as individually negotiated merely because the other party chooses that term from that selection.

3.   A party who claims that a contract term supplied as part of standard contract terms has since been individually negotiated bears the burden of proving that it has been.

4.   In a contract between a trader and a consumer, the trader bears the burden of proving that a contract term supplied by the trader has been individually negotiated.

5.   In a contract between a trader and a consumer, contract terms drafted by a third party are considered to have been supplied by the trader, unless the consumer introduced them to the contract.

Article 8

Termination of a contract

1.   To ‘terminate a contract’ means to bring to an end the rights and obligations of the parties under the contract with the exception of those arising under any contract term providing for the settlement of disputes or any other contract term which is to operate even after termination.

2.   Payments due and damages for any non-performance before the time of termination remain payable. Where the termination is for non-performance or for anticipated non-performance, the terminating party is also entitled to damages in lieu of the other party’s future performance.

3.   The effects of termination on the repayment of the price and the return of the goods or the digital content, and other restitutionary effects, are governed by the rules on restitution set out in Chapter 17.

Article 9

Mixed-purpose contracts

  Contracts including the provision of related services [Am. 84]

1.   Where a contract provides both for the sale of goods or the supply of digital content and for the provision of a related service, the rules of Part IV apply to the obligations and remedies of the parties as seller and buyer of goods or digital content and the rules of Part V apply to the obligations and remedies of the parties as service provider and customer.

2.   Where, in a contract falling under paragraph 1, the obligations of the seller and the service provider under the contract are to be performed in separate parts or are otherwise divisible, then if there is a ground for termination for non-performance of a part to which a part of the price can be apportioned, the buyer and customer may terminate only in relation to that part.

3.   Paragraph 2 does not apply where the buyer and customer cannot be expected to accept performance of the other parts or the non-performance is such as to justify termination of the contract as a whole.

4.   Where the obligations of the seller and the service provider under the contract are not divisible or a part of the price cannot be apportioned, the buyer and the customer may terminate only if the non-performance is such as to justify termination of the contract as a whole.

Article 10

Notice

1.   This Article applies in relation to the giving of notice for any purpose under the rules of the Common European Sales Law and the contract.‘Notice’ includes the communication of any statement which is intended to have legal effect or to convey information for a legal purpose. [Am. 85]

2.   A notice may be given by any means appropriate to the circumstances.

3.   A notice becomes effective when it reaches the addressee, unless it provides for a delayed effect.

4.   A notice reaches the addressee:

| (a) | when it is delivered to the addressee; |
| --- | --- |

(a)

when it is delivered to the addressee;

| (b) | when it is delivered to the addressee’s place of business or, where there is no such place of business or the notice is addressed to a consumer, to the addressee’s habitual residence; |
| --- | --- |

(b)

when it is delivered to the addressee’s place of business or, where there is no such place of business or the notice is addressed to a consumer, to the addressee’s habitual residence;

| (c) | in the case of a notice transmitted by electronic mail or other individual communication, when it can be accessed by the addressee; or |
| --- | --- |

(c)

in the case of a notice transmitted by electronic mail or other individual communication, when it can be accessed by the addressee; or

| (d) | when it is otherwise made available to the addressee at such a place and in such a way that the addressee could be expected to obtain access to it without undue delay. |
| --- | --- |

(d)

when it is otherwise made available to the addressee at such a place and in such a way that the addressee could be expected to obtain access to it without undue delay.

The notice has reached the addressee after one of the requirements in point (a), (b), (c) or (d) is fulfilled, whichever is the earliest.

5.   A notice has no effect if a revocation of it reaches the addressee before or at the same time as the notice.

6.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of paragraphs 3 and 4 or derogate from or vary its effects.

Article 11

Computation of time

1.   The provisions of this Article apply in relation to the computation of time for any purpose under the Common European Sales Law.
  [Am. 86]

1a.
     
  Where a period expressed in days, weeks, months or years is to be calculated from a specified event, action or time, the day during which the event occurs, the action takes place or the specified time arrives shall not be considered as falling within the period in question. [Am. 87]

2.   Subject to paragraphs 4, 5 and 7:

| (a) | a period expressed in days starts at the beginning of the first hour of the first day and ends with the expiry of the last hour of the last day of the period; |
| --- | --- |

(a)

a period expressed in days starts at the beginning of the first hour of the first day and ends with the expiry of the last hour of the last day of the period;

| (b) | a period expressed in weeks, months or years starts at the beginning of the first hour of the first day of the period, and ends with the expiry of the last hour of whichever day in the last week, month or year is the same day of the week, or falls on the same date, as the day from which the period runs; with the qualification that if, in a period expressed in months or in years, the day on which the period should expire does not occur in the last month, it ends with the expiry of the last hour of the last day of that month. |
| --- | --- |

(b)

a period expressed in weeks, months or years starts at the beginning of the first hour of the first day of the period, and ends with the expiry of the last hour of whichever day in the last week, month or year is the same day of the week, or falls on the same date, as the day from which the period runs; with the qualification that if, in a period expressed in months or in years, the day on which the period should expire does not occur in the last month, it ends with the expiry of the last hour of the last day of that month.

3.   Where a period expressed in days, weeks, months or years is to be calculated from a specified event, action or time the day during which the event occurs, the action takes place or the specified time arrives does not fall within the period in question.
  [Am. 88]

4.   The periods concerned include Saturdays, Sundays and public holidays, save where these are expressly excepted or where the periods are expressed in working days.

5.   Where the last day of a period is a Saturday, Sunday or public holiday at the place where a prescribed act is to be done, the period ends with the expiry of the last hour of the following working day. This provision does not apply to periods calculated retroactively from a given date or event.

6.   Where a person sends another person a document which sets a period of time within which the addressee has to reply or take other action but does not state when the period is to begin, then, in the absence of indications to the contrary, the period is calculated from the moment the document reaches the addressee.
  [Am. 89]

7.   For the purposes of this Article:

| (a) | ‘public holiday’ with reference to a Member State, or part of a Member State, of the European Union means any day designated as such for that Member State or part in a list published in the Official Journal of the European Union; and |
| --- | --- |

(a)

‘public holiday’ with reference to a Member State, or part of a Member State, of the European Union means any day designated as such for that Member State or part in a list published in the Official Journal of the European Union; and

| (b) | ‘working days’ means all days other than Saturdays, Sundays and public holidays. |
| --- | --- |

(b)

‘working days’ means all days other than Saturdays, Sundays and public holidays.

7a.
     
  Where a person sends another person a document which sets a period of time within which the addressee has to reply or take other action but does not state when that period is to begin, then, in the absence of indications to the contrary, the period shall be calculated from the moment the document reaches the addressee. [Am. 90]

Article 12

Unilateral statements or conduct

1.   A unilateral statement indicating intention is to be interpreted in the way in which the person to whom it is addressed could be expected to understand it.

2.   Where the person making the statement intended an expression used in it to have a particular meaning and the other party was aware, or could be expected to have been aware, of that intention, the expression is to be interpreted in the way intended by the person making the statement.

3.   Articles 59 to 65 apply with appropriate adaptations to the interpretation of unilateral statements indicating intention.
  [Am. 91]

4.   The rules on defects in consent in Chapter 5 apply with appropriate adaptations to unilateral statements indicating intention.
  [Am. 92]

5.   Any reference to a statement referred to in this Article includes a reference to conduct which can be regarded as the equivalent of a statement.

Part II

Making a binding contract

Chapter 2

Pre-contractual information

Section 1

Pre-contractual information to be given by a trader dealing with a consumer

Article 13

Duty to provide information when concluding a distance or off-premises contract
  [Am. 93]

1.   A trader concluding a distance contract or off-premises contract has a duty to provide the following information to the consumer, in a clear and comprehensible manner before the contract is concluded or the consumer is bound by any offer:

| (a) | the main characteristics of the goods, digital content or related services to be supplied, to an extent appropriate to the medium of communication and to the goods, digital content or related services; |
| --- | --- |

(a)

the main characteristics of the goods, digital content or related services to be supplied, to an extent appropriate to the medium of communication and to the goods, digital content or related services;

| (b) | the total price and additional charges and costs, in accordance with Article 14; |
| --- | --- |

(b)

the total price and additional charges and costs, in accordance with Article 14;

| (c) | the identity and address of the trader, in accordance with Article 15; |
| --- | --- |

(c)

the identity and address of the trader, in accordance with Article 15;

| (d) | the contract terms, in accordance with Article 16; |
| --- | --- |

(d)

the contract terms, in accordance with Article 16;

| (e) | the rights of withdrawal, in accordance with Article 17; |
| --- | --- |

(e)

the rights of withdrawal, in accordance with Article 17;

| (f) | where applicable, the existence and the conditions of the trader's after-sale customer assistance, after-sale services, commercial guarantees and complaints handling policy; |
| --- | --- |

(f)

where applicable, the existence and the conditions of the trader's after-sale customer assistance, after-sale services, commercial guarantees and complaints handling policy;

| (g) | where applicable, the possibility of having recourse to an Alternative Dispute Resolution mechanism to which the trader is subject and the methods for having access to it; |
| --- | --- |

(g)

where applicable, the possibility of having recourse to an Alternative Dispute Resolution mechanism to which the trader is subject and the methods for having access to it;

| (h) | where applicable, the functionality, including applicable technical protection measures, of digital content; and |
| --- | --- |

(h)

where applicable, the functionality, including applicable technical protection measures, of digital content; and

| (i) | where applicable, any relevant interoperability of digital content with hardware and software which the trader is aware of or can be expected to have been aware of. [Am. 94] |
| --- | --- |

(i)

where applicable, any relevant interoperability of digital content with hardware and software which the trader is aware of or can be expected to have been aware of. [Am. 94]

2.   The information provided, except for the addresses required by point (c) of paragraph 1, forms an integral part of the contract and shall not be altered unless the parties expressly agree otherwise.

3.   For a distance contract, the

  The
  information required by this Article must:

| (a) | be given or made available to the consumer in a way that is appropriate to the means of distance communication used; |
| --- | --- |

(a)

be given or made available to the consumer in a way that is appropriate to the means of distance communication used;

| (b) | be in plain and intelligible language; and |
| --- | --- |

(b)

be in plain and intelligible language; and

| (c) | insofar as it is provided on a durable medium, be legible. [Am. 95] |
| --- | --- |

(c)

insofar as it is provided on a durable medium, be legible. [Am. 95]

4.   For an off-premises contract, the information required by this Article must:

| (a) | be given on paper or, if the consumer agrees, on another durable medium; and |
| --- | --- |

(a)

be given on paper or, if the consumer agrees, on another durable medium; and

| (b) | be legible and in plain, intelligible language.
  [Am. 96] |
| --- | --- |

(b)

be legible and in plain, intelligible language.
  [Am. 96]

5.   This Article does not apply where the contract is:

| (a) | for the supply of foodstuffs, beverages or other goods which are intended for current consumption in the household, and which are physically supplied by a trader on frequent and regular rounds to the consumer's home, residence or workplace; |
| --- | --- |

(a)

for the supply of foodstuffs, beverages or other goods which are intended for current consumption in the household, and which are physically supplied by a trader on frequent and regular rounds to the consumer's home, residence or workplace;

| (b) | concluded by means of an automatic vending machine or automated commercial premises;
  [Am. 97] |
| --- | --- |

(b)

concluded by means of an automatic vending machine or automated commercial premises;
  [Am. 97]

| (c) | an off-premises contract if the price or, where multiple contracts were concluded at the same time, the total price of the contracts does not exceed EUR 50 or the equivalent sum in the currency agreed for the contract price.
  [Am. 98] |
| --- | --- |

(c)

an off-premises contract if the price or, where multiple contracts were concluded at the same time, the total price of the contracts does not exceed EUR 50 or the equivalent sum in the currency agreed for the contract price.
  [Am. 98]

| (ca) | in accordance with the laws of Member States, established by a public office-holder who has a statutory obligation to be independent and impartial and who must ensure, by providing comprehensive legal information, that the consumer only concludes the contract on the basis of careful legal consideration and with knowledge of its legal scope. [Am. 99] |
| --- | --- |

(ca)

in accordance with the laws of Member States, established by a public office-holder who has a statutory obligation to be independent and impartial and who must ensure, by providing comprehensive legal information, that the consumer only concludes the contract on the basis of careful legal consideration and with knowledge of its legal scope. [Am. 99]

Article 14

Information about price and additional charges and costs

1.   The information to be provided under point (b) of Article 13(1) must include:

| (a) | the total price of the goods, digital content or related services, inclusive of taxes, or where the nature of the goods, digital content or related services is such that the price cannot reasonably be calculated in advance, the manner in which the price is to be calculated; and |
| --- | --- |

(a)

the total price of the goods, digital content or related services, inclusive of taxes, or where the nature of the goods, digital content or related services is such that the price cannot reasonably be calculated in advance, the manner in which the price is to be calculated; and

| (b) | where applicable, any additional freight, delivery or postal charges and any other costs or, where these cannot reasonably be calculated in advance, the fact that such additional charges and costs may be payable. |
| --- | --- |

(b)

where applicable, any additional freight, delivery or postal charges and any other costs or, where these cannot reasonably be calculated in advance, the fact that such additional charges and costs may be payable.

2.   In the case of a contract of indeterminate duration or a contract containing a subscription, the total price must include the total price per billing period. Where such contracts are charged at a fixed rate, the total price must include the total monthly price. Where the total price cannot be reasonably calculated in advance, the manner in which the price is to be calculated must be provided.

3.   Where applicable, the trader must inform the consumer of the cost of using the means of distance communication for the conclusion of the contract where that cost is calculated other than at the basic rate.

Article 15

Information about the identity and address of the trader

The information to be provided under point (c) of Article 13(1) must include:

| (a) | the identity of the trader, such as its trading name; |
| --- | --- |

(a)

the identity of the trader, such as its trading name;

| (b) | the geographical address at which the trader is established; |
| --- | --- |

(b)

the geographical address at which the trader is established;

| (c) | the telephone number, fax number and e-mail address of the trader, where available, to enable the consumer to contact the trader quickly and communicate with the trader efficiently; |
| --- | --- |

(c)

the telephone number, fax number and e-mail address of the trader, where available, to enable the consumer to contact the trader quickly and communicate with the trader efficiently;

| (d) | where applicable, the identity and geographical address of any other trader on whose behalf the trader is acting; and |
| --- | --- |

(d)

where applicable, the identity and geographical address of any other trader on whose behalf the trader is acting; and

| (e) | where different from the address given pursuant to points (b) and (d) of this Article, the geographical address of the trader, and where applicable that of the trader on whose behalf it is acting, where the consumer can address any complaints. |
| --- | --- |

(e)

where different from the address given pursuant to points (b) and (d) of this Article, the geographical address of the trader, and where applicable that of the trader on whose behalf it is acting, where the consumer can address any complaints.

Article 16

Information about the contract terms

The information to be provided under point (d) of Article 13(1) must include:

| (a) | the arrangements for payment, delivery of the goods, supply of the digital content or performance of the related services and the time by which the trader undertakes to deliver the goods, to supply the digital content or to perform the related services; |
| --- | --- |

(a)

the arrangements for payment, delivery of the goods, supply of the digital content or performance of the related services and the time by which the trader undertakes to deliver the goods, to supply the digital content or to perform the related services;

| (b) | where applicable, the duration of the contract, the minimum duration of the consumer's obligations or, if the contract is of indeterminate duration or is to be extended automatically, the conditions for terminating the contract; and |
| --- | --- |

(b)

where applicable, the duration of the contract, the minimum duration of the consumer's obligations or, if the contract is of indeterminate duration or is to be extended automatically, the conditions for terminating the contract; and

| (c) | where applicable, the existence and conditions for deposits or other financial guarantees to be paid or provided by the consumer at the request of the trader; |
| --- | --- |

(c)

where applicable, the existence and conditions for deposits or other financial guarantees to be paid or provided by the consumer at the request of the trader;

| (d) | where applicable, the existence of relevant codes of conduct and how copies of them can be obtained. |
| --- | --- |

(d)

where applicable, the existence of relevant codes of conduct and how copies of them can be obtained.

Article 17

Information about rights of withdrawal when concluding a distance or off-premises contract
  [Am. 100]

1.   Where the consumer has a right of withdrawal under Chapter 4, the information to be provided under point (e) of Article 13(1) must include the conditions, time limit and procedures for exercising that right in accordance with Appendix 1, as well as the model withdrawal form set out in Appendix 2.

2.   Where applicable, the information to be provided under point (e) of Article 13(1) must include the fact that the consumer will have to bear the cost of returning the goods in case of withdrawal and, for distance contracts, that the consumer will have to bear the cost of returning the goods in the event of withdrawal if the goods by their nature cannot be normally returned by post.

3.   Where the consumer can exercise the right of withdrawal after having made a request for the provision of related services to begin during the withdrawal period, the information to be provided under point (e) of Article 13(1) must include the fact that the consumer would be liable to pay the trader the amount referred to in Article 45(5).

4.   The duty to provide the information required by paragraphs 1, 2 and 3 may be fulfilled by supplying the Model instructions on withdrawal set out in Appendix 1 to the consumer. The trader will be deemed to have fulfilled these information requirements if he has supplied these instructions to the consumer correctly filled in.

5.   Where a right of withdrawal is not provided for in accordance with points (c) to (i) of Article 40(2) and paragraph 3 of that Article, the information to be provided under point (e) of Article 13(1) must include a statement that the consumer will not benefit from a right of withdrawal or, where applicable, the circumstances under which the consumer loses the right of withdrawal.

Article 18

Off-premises contracts: additional information requirements and confirmation

1.   The trader must provide the consumer with a copy of the signed contract or the confirmation of the contract, including where applicable, the confirmation of the consumer's consent and acknowledgment as provided for in point (d) of Article 40(3) on paper or, if the consumer agrees, on a different durable medium.

2.   Where the consumer wants the provision of related services to begin during the withdrawal period provided for in Article 42(2), the trader must require that the consumer makes such an express request on a durable medium.
  [Am. 101]

Article 19

Distance contracts: additional

  Additional
  information and other requirements [Am. 102]

1.   When a trader makes a telephone call to a consumer, with a view to concluding a distance contract, the trader must, at the beginning of the conversation with the consumer, disclose its identity and, where applicable, the identity of the person on whose behalf it is making the call and the commercial purpose of the call.

2.   If the distance contract is concluded through a means of distance communication which allows limited space or time to display the information, the trader must provide at least the information referred to in paragraph 3 of this Article on that particular means prior to the conclusion of such a contract. The other information referred to in Article 13 shall be provided by the trader to the consumer in an appropriate way in accordance with Article 13(3).

3.   The information required under paragraph 2 is:

| (a) | the main characteristics of the goods, digital content or related services, as required by point (a) of Article 13(1); |
| --- | --- |

(a)

the main characteristics of the goods, digital content or related services, as required by point (a) of Article 13(1);

| (b) | the identity of the trader, as required by point (a) of Article 15; |
| --- | --- |

(b)

the identity of the trader, as required by point (a) of Article 15;

| (c) | the total price, including all items referred to in point (b) of Article 13(1) and Article 14(1) and (2); |
| --- | --- |

(c)

the total price, including all items referred to in point (b) of Article 13(1) and Article 14(1) and (2);

| (d) | the right of withdrawal; and |
| --- | --- |

(d)

the right of withdrawal; and

| (e) | where relevant, the duration of the contract, and if the contract is for an indefinite period, the requirements for terminating the contract, referred to in point (b) of Article 16. |
| --- | --- |

(e)

where relevant, the duration of the contract, and if the contract is for an indefinite period, the requirements for terminating the contract, referred to in point (b) of Article 16.

4.   A distance contract concluded by telephone is valid only if the consumer has signed the offer or has sent his written consent indicating the agreement to conclude a contract. The trader must provide the consumer with a confirmation of that agreement on a durable medium.

5.   The trader must give the consumer a confirmation of the contract concluded, including where applicable, of the consent and acknowledgement of the consumer referred to in point (d) of Article 40(3), and all the information referred to in Article 13 on a durable medium. The trader must give that information in reasonable time after the conclusion of the distance contract, and at the latest at the time of the delivery of the goods or before the supply of digital content or the provision of the related service begins, unless the information has already been given to the consumer prior to the conclusion of the distance contract on a durable medium.

6.   Where the consumer wants the provision of related services to begin during the withdrawal period provided for in Article 42(2), the trader must require that the consumer makes an express request to that effect on a durable medium.

Article 20

Duty to provide information when concluding contracts other than distance and off-premises contracts

1.   In contracts other than distance and off-premises contracts, a trader has a duty to provide the following information to the consumer, in a clear and comprehensible manner before the contract is concluded or the consumer is bound by any offer, if that information is not already apparent from the context:

| (a) | the main characteristics of the goods, digital content or related services to be supplied, to an extent appropriate to the medium of communication and to the goods, digital content or related services; |
| --- | --- |

(a)

the main characteristics of the goods, digital content or related services to be supplied, to an extent appropriate to the medium of communication and to the goods, digital content or related services;

| (b) | the total price and additional charges and costs, in accordance with Article 14(1); |
| --- | --- |

(b)

the total price and additional charges and costs, in accordance with Article 14(1);

| (c) | the identity of the trader, such as the trader's trading name, the geographical address at which it is established and its telephone number; |
| --- | --- |

(c)

the identity of the trader, such as the trader's trading name, the geographical address at which it is established and its telephone number;

| (d) | the contract terms in accordance with points (a) and (b) of Article 16; |
| --- | --- |

(d)

the contract terms in accordance with points (a) and (b) of Article 16;

| (e) | where applicable, the existence and the conditions of the trader's after-sale services, commercial guarantees and complaints handling policy; |
| --- | --- |

(e)

where applicable, the existence and the conditions of the trader's after-sale services, commercial guarantees and complaints handling policy;

| (f) | where applicable, the functionality, including applicable technical protection measures of digital content; and |
| --- | --- |

(f)

where applicable, the functionality, including applicable technical protection measures of digital content; and

| (g) | where applicable, any relevant interoperability of digital content with hardware and software which the trader is aware of or can be expected to have been aware of. |
| --- | --- |

(g)

where applicable, any relevant interoperability of digital content with hardware and software which the trader is aware of or can be expected to have been aware of.

2.   This Article does not apply where the contract involves a day-to-day transaction and is performed immediately at the time of its conclusion.
  [Am. 103]

Article 21

Burden of proof

The trader bears the burden of proof that it has provided the information required by this Section.

Article 22

Mandatory nature

The parties may not, to the detriment of the consumer, exclude the application of this Section or derogate from or vary its effects.

Section 2

Pre-contractual information to be given by a trader dealing with another trader

Article 23

Duty to disclose information about goods and related services

1.   Before the conclusion of a contract for the sale of goods, supply of digital content or provision of related services by a trader to another trader, the supplier has a duty to disclose by any appropriate means to the other trader any information concerning the main characteristics of the goods, digital content or related services to be supplied which the supplier has or can be expected to have and which it would be contrary to good faith and fair dealing not to disclose to the other party.

2.   In determining whether paragraph 1 requires the supplier to disclose any information, regard is to be had to all the circumstances, including:

| (a) | whether the supplier had special expertise; |
| --- | --- |

(a)

whether the supplier had special expertise;

| (b) | the cost to the supplier of acquiring the relevant information; |
| --- | --- |

(b)

the cost to the supplier of acquiring the relevant information;

| (c) | the ease with which the other trader could have acquired the information by other means; |
| --- | --- |

(c)

the ease with which the other trader could have acquired the information by other means;

| (d) | the nature of the information; |
| --- | --- |

(d)

the nature of the information;

| (e) | the likely importance of the information to the other trader; and |
| --- | --- |

(e)

the likely importance of the information to the other trader; and

| (f) | good commercial practice in the situation concerned. |
| --- | --- |

(f)

good commercial practice in the situation concerned.

Section 3

Contracts concluded by electronic means

Article 24

Additional duties to provide information in distance contracts concluded by electronic means

1.   This Article applies where a trader provides the means for concluding a contract and where those means are electronic and do not involve the exclusive exchange of electronic mail or other individual communication.

2.   The trader must make available to the other party appropriate, effective and accessible technical means for identifying and correcting input errors before the other party makes or accepts an offer.

3.   The trader must provide information about the following matters before the other party makes or accepts an offer:

| (a) | the technical steps to be taken in order to conclude the contract; |
| --- | --- |

(a)

the technical steps to be taken in order to conclude the contract;

| (b) | whether or not a contract document will be filed by the trader and whether it will be accessible; |
| --- | --- |

(b)

whether or not a contract document will be filed by the trader and whether it will be accessible;

| (c) | the technical means for identifying and correcting input errors before the other party makes or accepts an offer; |
| --- | --- |

(c)

the technical means for identifying and correcting input errors before the other party makes or accepts an offer;

| (d) | the languages offered for the conclusion of the contract; |
| --- | --- |

(d)

the languages offered for the conclusion of the contract;

| (e) | the contract terms
  on the basis of which the trader is prepared to conclude the contract
  . [Am. 104] |
| --- | --- |

(e)

the contract terms
  on the basis of which the trader is prepared to conclude the contract
  . [Am. 104]

4.   
  Without prejudice to any stricter requirements for a trader dealing with a consumer under Section 1,

  The

  the
  trader must ensure that the contract terms referred to in point (e) of paragraph 3 are made available in alphabetical or other intelligible characters and on a durable medium by means of any support which permits reading, recording of the information contained in the text and its reproduction in tangible form. [Am. 105]

5.   The trader must acknowledge by electronic means and without undue delay the receipt of an offer or an acceptance sent by the other party.
  Such acknowledgement shall display the content of the offer or of the acceptance. [Am. 106]

Article 25

Additional requirements in distance contracts concluded by electronic means

1.   Where a distance contract which is concluded by electronic means would oblige the consumer to make a payment, the trader must make the consumer aware in a clear and prominent manner, and immediately before the consumer places the order, of the information required by point (a) of Article 13(1), Article 14(1) and (2), and point (b) of Article 16.

2.   The trader must ensure that the consumer, when placing the order, explicitly acknowledges that the order implies an obligation to pay. Where placing an order entails activating a button or a similar function, the button or similar function must be labelled in an easily legible manner only with the words ‘order with obligation to pay’ or similar unambiguous wording indicating that placing the order entails an obligation to make a payment to the trader. Where the trader has not complied with this paragraph, the consumer is not bound by the contract or order.

3.   The trader must indicate clearly and legibly on its trading website at the latest at the beginning of the ordering process whether any delivery restrictions apply and what means of payment are accepted.

Article 26

Burden of proof

In relations between a trader and a consumer, the trader bears the burden of proof that it has provided the information required by this Section.

Article 27

Mandatory nature

In relations between a trader and a consumer, the parties may not, to the detriment of the consumer, exclude the application of this Section or derogate from or vary its effects.

Section 4

Duty to ensure that information supplied is correct

Article 28

Duty to ensure that information supplied is correct

1.   A party who supplies information before or at the time a contract is concluded, whether in order to comply with the duties imposed by this Chapter or otherwise, has a duty to take reasonable care to ensure that the information supplied is correct and is not misleading.

2.   A party to whom incorrect or misleading information has been supplied in breach of the duty referred to in paragraph 1, and who reasonably relies on that information in concluding a contract with the party who supplied it, has the remedies set out in Article 29.

3.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Section 5

Remedies for breach of information duties

Article 29

Remedies for breach of information duties

1.   A party which has failed to comply with any duty imposed by this Chapter is liable
  under Chapter 16
  for any loss caused to the other party by such failure. [Am. 107]

2.   Where the trader has not complied with the information requirements relating to additional charges or other costs as referred to in Article 14 or on the costs of returning the goods as referred to in Article 17(2) the consumer is not liable to pay the additional charges and other costs.

3.   The remedies provided under this Article are without prejudice to any remedy which may be available under Article 42(2), Article 48 or Article 49.

4.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Chapter 3

Conclusion of contract

Article 30

Requirements for the conclusion of a contract

1.   A contract is concluded if:

| (a) | the parties reach an agreement; |
| --- | --- |

(a)

the parties reach an agreement;

| (b) | they intend the agreement to have legal effect; and |
| --- | --- |

(b)

they intend the agreement to have legal effect; and

| (c) | the agreement, supplemented if necessary by rules of the Common European Sales Law, has sufficient content and certainty to be given legal effect. |
| --- | --- |

(c)

the agreement, supplemented if necessary by rules of the Common European Sales Law, has sufficient content and certainty to be given legal effect.

2.   Agreement is reached by acceptance of an offer. Acceptance may be made explicitly or by other statements or conduct.
  [Am. 108]

3.   Whether the parties intend the agreement to have legal effect is to be determined from their statements and conduct.

4.   Where one of the parties makes agreement on some specific matter a requirement for the conclusion of a contract, there is no contract unless agreement on that matter has been reached.

Article 31

Offer

1.   A proposal is an offer if:

| (a) | it is intended to result in a contract if it is accepted; and |
| --- | --- |

(a)

it is intended to result in a contract if it is accepted; and

| (b) | it has sufficient content and certainty for there to be a contract.
  In relations between a trader and a consumer, an offer shall only be considered to have sufficient content and certainty if it contains an object, a quantity or duration, and a price. [Am. 109] |
| --- | --- |

(b)

it has sufficient content and certainty for there to be a contract.
  In relations between a trader and a consumer, an offer shall only be considered to have sufficient content and certainty if it contains an object, a quantity or duration, and a price. [Am. 109]

2.   An offer may be made to one or more specific persons.

3.   A proposal made to the public is not an offer, unless the circumstances indicate otherwise.

Article 32

Revocation of offer

1.   An offer may be revoked if the revocation reaches the offeree before the offeree has sent an acceptance or, in cases of acceptance by conduct, before the contract has been concluded.

2.   Where a proposal made to the public is an offer, it can be revoked by the same means as were used to make the offer.

3.   A revocation of an offer is ineffective if:

| (a) | the offer indicates that it is irrevocable; |
| --- | --- |

(a)

the offer indicates that it is irrevocable;

| (b) | the offer states a fixed time period for its acceptance; or |
| --- | --- |

(b)

the offer states a fixed time period for its acceptance; or

| (c) | it was otherwise reasonable for the offeree to rely on the offer as being irrevocable and the offeree has acted in reliance on the offer. |
| --- | --- |

(c)

it was otherwise reasonable for the offeree to rely on the offer as being irrevocable and the offeree has acted in reliance on the offer.

Article 33

Rejection of offer

When a rejection of an offer reaches the offeror, the offer lapses.

Article 34

Acceptance

1.   Any form of statement or conduct by the offeree is an acceptance if it indicates assent to the offer.

2.   Silence or inactivity does not in itself constitute acceptance.
  In particular, in cases of unsolicited delivery of goods, supply of digital content or provision of related services, the absence of a response from the consumer shall not constitute acceptance. [Am. 110]

Article 35

Time of conclusion of the contract

1.   Where an acceptance is sent by the offeree the contract is concluded when the acceptance reaches the offeror.

2.   Where an offer is accepted by conduct, the contract is concluded when notice of the conduct reaches the offeror.

3.   Notwithstanding paragraph 2, where by virtue of the offer, of practices which the parties have established between themselves, or of a usage, the offeree may accept the offer by conduct without notice to the offeror, the contract is concluded when the offeree begins to act.

Article 36

Time limit for acceptance

1.   An acceptance of an offer is effective only if it reaches the offeror within any time limit stipulated in the offer by the offeror.

2.   Where no time limit has been fixed by the offeror the acceptance is effective only if it reaches the offeror within a reasonable time after the offer was made.

3.   Where an offer may be accepted by doing an act without notice to the offeror, the acceptance is effective only if the act is done within the time for acceptance fixed by the offeror or, if no such time is fixed, within a reasonable time.

Article 37

Late acceptance

1.   A late acceptance is effective as an acceptance if without undue delay the offeror informs the offeree that the offeror is treating it as an effective acceptance.

2.   Where a letter or other communication containing a late acceptance shows that it has been sent in such circumstances that if its transmission had been normal it would have reached the offeror in due time, the late acceptance is effective as an acceptance unless, without undue delay, the offeror informs the offeree that the offer has lapsed.

Article 38

Modified acceptance

1.   A reply by the offeree which states or implies additional or different contract terms which materially alter the terms of the offer is a rejection and a new offer.

2.   Additional or different contract terms relating, among other things, to the price, payment, quality and quantity of the goods, place and time of delivery, extent of one party's liability to the other or the settlement of disputes are presumed to alter the terms of the offer materially.

3.   A reply which gives a definite assent to an offer is an acceptance even if it states or implies additional or different contract terms, provided that these do not materially alter the terms of the offer. The additional or different terms then become part of the contract.

4.   A reply which states or implies additional or different contract terms is always a rejection of the offer if:

| (a) | the offer expressly limits acceptance to the terms of the offer; |
| --- | --- |

(a)

the offer expressly limits acceptance to the terms of the offer;

| (b) | the offeror objects to the additional or different terms without undue delay; or |
| --- | --- |

(b)

the offeror objects to the additional or different terms without undue delay; or

| (c) | the offeree makes the acceptance conditional upon the offeror’s assent to the additional or different terms, and the assent does not reach the offeree within a reasonable time. |
| --- | --- |

(c)

the offeree makes the acceptance conditional upon the offeror’s assent to the additional or different terms, and the assent does not reach the offeree within a reasonable time.

4a.
     
  In relations between a trader and a consumer, a reply by the offeree which states or implies additional or different contract terms shall in any event constitute a rejection and a new offer. [Am. 111]

Article 39

Conflicting standard contract terms

1.   Where the parties have reached agreement except that the offer and acceptance refer to conflicting standard contract terms, a contract is nonetheless concluded. The standard contract terms are part of the contract to the extent that they are common in substance.

2.   Notwithstanding paragraph 1, no contract is concluded if one party:

| (a) | has indicated in advance, explicitly, and not by way of standard contract terms, an intention not to be bound by a contract on the basis of paragraph 1; or |
| --- | --- |

(a)

has indicated in advance, explicitly, and not by way of standard contract terms, an intention not to be bound by a contract on the basis of paragraph 1; or

| (b) | without undue delay, informs the other party of such an intention. |
| --- | --- |

(b)

without undue delay, informs the other party of such an intention.

Chapter 4

Right to withdraw in distance and off-premises contracts between traders and consumers
  [Am. 112]

Article 40

Right to withdraw

1.   During the period provided for in Article 42, the consumer has a right to withdraw from the contract without giving any reason, and at no cost to the consumer except as provided in Article 45, from:

| (a) | a distance contract; |
| --- | --- |

(a)

a distance contract;

| (b) | an off-premises contract, provided that the price or, where multiple contracts were concluded at the same time, the total price of the contracts exceeds EUR 50 or the equivalent sum in the currency agreed for the contract price at the time of the conclusion of the contract. |
| --- | --- |

(b)

an off-premises contract, provided that the price or, where multiple contracts were concluded at the same time, the total price of the contracts exceeds EUR 50 or the equivalent sum in the currency agreed for the contract price at the time of the conclusion of the contract.

2.   Paragraph 1 does not apply to:

| (a) | a contract concluded by means of an automatic vending machine or automated commercial premises; |
| --- | --- |

(a)

a contract concluded by means of an automatic vending machine or automated commercial premises;

| (b) | a contract for the supply of foodstuffs, beverages or other goods which are intended for current consumption in the household and which are physically supplied by the trader on frequent and regular rounds to the consumer's home, residence or workplace; |
| --- | --- |

(b)

a contract for the supply of foodstuffs, beverages or other goods which are intended for current consumption in the household and which are physically supplied by the trader on frequent and regular rounds to the consumer's home, residence or workplace;

| (c) | a contract for the supply of goods or related services for which the price depends on fluctuations in the financial market which cannot be controlled by the trader and which may occur within the withdrawal period; |
| --- | --- |

(c)

a contract for the supply of goods or related services for which the price depends on fluctuations in the financial market which cannot be controlled by the trader and which may occur within the withdrawal period;

| (d) | a contract for the supply of goods or digital content which are made to the consumer’s specifications, or are clearly personalised; |
| --- | --- |

(d)

a contract for the supply of goods or digital content which are made to the consumer’s specifications, or are clearly personalised;

| (e) | a contract for the supply of goods which are liable to deteriorate or expire rapidly; |
| --- | --- |

(e)

a contract for the supply of goods which are liable to deteriorate or expire rapidly;

| (f) | a contract for the supply of alcoholic beverages, the price of which has been agreed upon at the time of the conclusion of the sales contract, the delivery of which can only take place after 30 days from the time of conclusion of the contract and the actual value of which is dependent on fluctuations in the market which cannot be controlled by the trader; |
| --- | --- |

(f)

a contract for the supply of alcoholic beverages, the price of which has been agreed upon at the time of the conclusion of the sales contract, the delivery of which can only take place after 30 days from the time of conclusion of the contract and the actual value of which is dependent on fluctuations in the market which cannot be controlled by the trader;

| (g) | a contract for the sale of a newspaper, periodical or magazine with the exception of subscription contracts for the supply of such publications; |
| --- | --- |

(g)

a contract for the sale of a newspaper, periodical or magazine with the exception of subscription contracts for the supply of such publications;

| (h) | a contract concluded at a public auction; and |
| --- | --- |

(h)

a contract concluded at a public auction; and

| (i) | a contract for catering or services related to leisure activities which provides for a specific date or period of performance. |
| --- | --- |

(i)

a contract for catering or services related to leisure activities which provides for a specific date or period of performance.

| (ia) | a contract which, in accordance with the laws of Member States, is established by a public office-holder who has a statutory obligation to be independent and impartial and who must ensure, by providing comprehensive legal information, that the consumer only concludes the contract on the basis of careful legal consideration and with knowledge of its legal scope. [Am. 113] |
| --- | --- |

(ia)

a contract which, in accordance with the laws of Member States, is established by a public office-holder who has a statutory obligation to be independent and impartial and who must ensure, by providing comprehensive legal information, that the consumer only concludes the contract on the basis of careful legal consideration and with knowledge of its legal scope. [Am. 113]

3.   Paragraph 1 does not apply in the following situations:

| (a) | where the goods supplied were sealed, have been unsealed by the consumer and are not then suitable for return due to health protection or hygiene reasons; |
| --- | --- |

(a)

where the goods supplied were sealed, have been unsealed by the consumer and are not then suitable for return due to health protection or hygiene reasons;

| (b) | where the goods supplied have, according to their nature, been inseparably mixed with other items after delivery; |
| --- | --- |

(b)

where the goods supplied have, according to their nature, been inseparably mixed with other items after delivery;

| (c) | where the goods supplied were sealed audio or video recordings or computer software and have been unsealed after delivery; |
| --- | --- |

(c)

where the goods supplied were sealed audio or video recordings or computer software and have been unsealed after delivery;

| (d) | where the supply of digital content which is not supplied on a tangible medium has begun with the consumer's prior express consent and with the acknowledgement by the consumer of losing the right to withdraw; |
| --- | --- |

(d)

where the supply of digital content which is not supplied on a tangible medium has begun with the consumer's prior express consent and with the acknowledgement by the consumer of losing the right to withdraw;

| (e) | the consumer has specifically requested a visit from the trader for the purpose of carrying out urgent repairs or maintenance. Where on the occasion of such a visit the trader provides related services in addition to those specifically requested by the consumer or goods other than replacement parts necessarily used in performing the maintenance or in making the repairs, the right of withdrawal applies to those additional related services or goods. |
| --- | --- |

(e)

the consumer has specifically requested a visit from the trader for the purpose of carrying out urgent repairs or maintenance. Where on the occasion of such a visit the trader provides related services in addition to those specifically requested by the consumer or goods other than replacement parts necessarily used in performing the maintenance or in making the repairs, the right of withdrawal applies to those additional related services or goods.

4.   Where the consumer has made an offer which, if accepted, would lead to the conclusion of a contract from which there would be a right to withdraw under this Chapter, the consumer may withdraw the offer even if it would otherwise be irrevocable.

Article 41

Exercise of right to withdraw

1.   The consumer may exercise the right to withdraw at any time before the end of the period of withdrawal provided for in Article 42.

2.   The consumer exercises the right to withdraw by notice to the trader. For this purpose, the consumer may use either the Model withdrawal form set out in Appendix 2 or any other unequivocal statement setting out the decision to withdraw.

3.   Where the trader gives the consumer the option to withdraw electronically on its trading website, and the consumer does so, the trader has a duty to communicate to the consumer an acknowledgement of receipt of such a withdrawal on a durable medium without delay. The trader is liable for any loss caused to the other party by a breach of this duty.

4.   A communication of withdrawal is timely if sent before the end of the withdrawal period.

5.   The consumer bears the burden of proof that the right of withdrawal has been exercised in accordance with this Article.

Article 42

Withdrawal period

1.   The withdrawal period expires after fourteen days from:

| (a) | the day on which the consumer has taken delivery of the goods in the case of a sales contract, including a sales contract under which the seller also agrees to provide related services; |
| --- | --- |

(a)

the day on which the consumer has taken delivery of the goods in the case of a sales contract, including a sales contract under which the seller also agrees to provide related services;

| (b) | the day on which the consumer has taken delivery of the last item in the case of a contract for the sale of multiple goods ordered by the consumer in one order and delivered separately, including a contract under which the seller also agrees to provide related services; |
| --- | --- |

(b)

the day on which the consumer has taken delivery of the last item in the case of a contract for the sale of multiple goods ordered by the consumer in one order and delivered separately, including a contract under which the seller also agrees to provide related services;

| (c) | the day on which the consumer has taken delivery of the last lot or piece in the case of a contract where the goods consist of multiple lots or pieces, including a contract under which the seller also agrees to provide related services; |
| --- | --- |

(c)

the day on which the consumer has taken delivery of the last lot or piece in the case of a contract where the goods consist of multiple lots or pieces, including a contract under which the seller also agrees to provide related services;

| (d) | the day on which the consumer has taken delivery of the first item where the contract is for regular delivery of goods during a defined period of time, including a contract under which the seller also agrees to provide related services; |
| --- | --- |

(d)

the day on which the consumer has taken delivery of the first item where the contract is for regular delivery of goods during a defined period of time, including a contract under which the seller also agrees to provide related services;

| (e) | the day of the conclusion of the contract in the case of a contract for related services concluded after the goods have been delivered; |
| --- | --- |

(e)

the day of the conclusion of the contract in the case of a contract for related services concluded after the goods have been delivered;

| (f) | the day when the consumer has taken delivery of the tangible medium in accordance with point (a) in the case of a contract for the supply of digital content where the digital content is supplied on a tangible medium; |
| --- | --- |

(f)

the day when the consumer has taken delivery of the tangible medium in accordance with point (a) in the case of a contract for the supply of digital content where the digital content is supplied on a tangible medium;

| (g) | the day of the conclusion of the contract in the case of a contract where the digital content is not supplied on a tangible medium. |
| --- | --- |

(g)

the day of the conclusion of the contract in the case of a contract where the digital content is not supplied on a tangible medium.

2.   Where the trader has not provided the consumer with the information referred to in Article 17(1), the withdrawal period expires:

| (a) | after one year from the end of the initial withdrawal period, as determined in accordance with paragraph 1; or |
| --- | --- |

(a)

after one year from the end of the initial withdrawal period, as determined in accordance with paragraph 1; or

| (b) | where the trader provides the consumer with the information required within one year from the end of the withdrawal period as determined in accordance with paragraph 1, after fourteen days from the day the consumer receives the information. |
| --- | --- |

(b)

where the trader provides the consumer with the information required within one year from the end of the withdrawal period as determined in accordance with paragraph 1, after fourteen days from the day the consumer receives the information.

Article 43

Effects of withdrawal

Withdrawal terminates the obligations of both parties under the contract:

| (a) | to perform the contract; or |
| --- | --- |

(a)

to perform the contract; or

| (b) | to conclude the contract in cases where an offer was made by the consumer. |
| --- | --- |

(b)

to conclude the contract in cases where an offer was made by the consumer.

Article 44

Obligations of the trader in the event of withdrawal

1.   The trader must reimburse all payments received from the consumer, including, where applicable, the costs of delivery without undue delay and in any event not later than fourteen days from the day on which the trader is informed of the consumer's decision to withdraw from the contract in accordance with Article 41. The trader must carry out such reimbursement using the same means of payment as the consumer used for the initial transaction, unless the consumer has expressly agreed otherwise and provided that the consumer does not incur any fees as a result of such reimbursement.

2.   Notwithstanding paragraph 1, the trader is not required to reimburse the supplementary costs, if the consumer has expressly opted for a type of delivery other than the least expensive type of standard delivery offered by the trader.

3.   In the case of a contract for the sale of goods, the trader may withhold the reimbursement until it has received the goods back, or the consumer has supplied evidence of having sent back the goods, whichever is earlier, unless the trader has offered to collect the goods.

4.   In the case of an off-premises contract where the goods have been delivered to the consumer’s home at the time of the conclusion of the contract, the trader must collect the goods at its own cost if the goods by their nature cannot be normally returned by post.

Article 45

Obligations of the consumer in the event of withdrawal

1.   The consumer must send back the goods or hand them over to the trader or to a person authorised by the trader without undue delay and in any event not later than fourteen days from the day on which the consumer communicates the decision to withdraw from the contract to the trader in accordance with Article 41, unless the trader has offered to collect the goods. This deadline is met if the consumer sends back the goods before the period of fourteen days has expired.

2.   The consumer must bear the direct costs of returning the goods, unless the trader has agreed to bear those costs or the trader failed to inform the consumer that the consumer has to bear them.

3.   The consumer is liable for any diminished value of the goods only where that results from handling of the goods in any way other than what is necessary to establish the nature, characteristics and functioning of the goods. The consumer is not liable for diminished value where the trader has not provided all the information about the right to withdraw in accordance with Article 17(1).

4.   Without prejudice to paragraph 3, the consumer is not liable to pay any compensation for the use of the goods during the withdrawal period.

5.   Where the consumer exercises the right of withdrawal after having made an express request for the provision of related services to begin during the withdrawal period, the consumer must pay to the trader an amount which is in proportion to what has been provided before the consumer exercised the right of withdrawal, in comparison with the full coverage of the contract. The proportionate amount to be paid by the consumer to the trader must be calculated on the basis of the total price agreed in the contract. Where the total price is excessive, the proportionate amount must be calculated on the basis of the market value of what has been provided.

6.   The consumer is not liable for the cost for:

| (a) | the provision of related services, in full or in part, during the withdrawal period, where:






  (i) | the trader has failed to provide information in accordance with Article 17(1) and (3); or |
| --- | --- | --- |

(a)

the provision of related services, in full or in part, during the withdrawal period, where:

(i)

the trader has failed to provide information in accordance with Article 17(1) and (3); or

| (ii) | the consumer has not expressly requested performance to begin during the withdrawal period in accordance with Article 18(2) and Article 19(6); |
| --- | --- |

(ii)

the consumer has not expressly requested performance to begin during the withdrawal period in accordance with Article 18(2) and Article 19(6);

| (b) | for the supply, in full or in part, of digital content which is not supplied on a tangible medium where:






  (i) | the consumer has not given prior express consent for the supply of digital content to begin before the end of the period of withdrawal referred to in Article 42(1); |
| --- | --- | --- |

(b)

for the supply, in full or in part, of digital content which is not supplied on a tangible medium where:

(i)

the consumer has not given prior express consent for the supply of digital content to begin before the end of the period of withdrawal referred to in Article 42(1);

| (ii) | the consumer has not acknowledged losing the right of withdrawal when giving the consent; or |
| --- | --- |

(ii)

the consumer has not acknowledged losing the right of withdrawal when giving the consent; or

| (iii) | the trader has failed to provide the confirmation in accordance with Article 18(1) and Article 19(5). |
| --- | --- |

(iii)

the trader has failed to provide the confirmation in accordance with Article 18(1) and Article 19(5).

7.   Except as provided for in this Article, the consumer does not incur any liability through the exercise of the right of withdrawal.

Article 46

Ancillary contracts

1.   Where a consumer exercises the right of withdrawal from a distance or an off-premises contract in accordance with Articles 41 to 45, any ancillary contracts are automatically terminated at no cost to the consumer except as provided in paragraphs 2 and 3. For the purpose of this Article an ancillary contract means a contract by which a consumer acquires goods, digital content or related services in connexion to a distance contract or an off-premises contract and these goods, digital content or related services are provided by the trader or a third party on the basis of an arrangement between that third party and the trader.

2.   The provisions of Articles 43, 44 and 45 apply accordingly to ancillary contracts to the extent that those contracts are governed by the Common European Sales Law.

3.   For ancillary contracts which are not governed by the Common European Sales Law the applicable law governs the obligations of the parties in the event of withdrawal.

Article 47

Mandatory nature

The parties may not, to the detriment of the consumer, exclude the application of this Chapter or derogate from or vary its effects.

Chapter 5

Defects in consent

Article - 48

Scope

1.
     
  This Chapter shall apply to the avoidance of a contract on account of defects in consent and similar defects.

2.
     
  The rules laid down in this Chapter shall apply, with appropriate adaptations, to the avoidance of an offer, acceptance or other unilateral statement indicating intention, or equivalent conduct. [Am. 114]

Article 48

Mistake

1.   A party may avoid a contract for mistake of fact or law existing when the contract was concluded if:

| (a) | the party, but for the mistake, would not have concluded the contract or would have done so only on fundamentally different contract terms and the other party knew or could be expected to have known this; and [Am. 115] |
| --- | --- |

(a)

the party, but for the mistake, would not have concluded the contract or would have done so only on fundamentally different contract terms and the other party knew or could be expected to have known this; and [Am. 115]

| (b) | the other party:






  (i) | caused the mistake;
  or [Am. 116] |
| --- | --- | --- |

(b)

the other party:

(i)

caused the mistake;
  or [Am. 116]

| (ii) | caused the contract to be concluded in mistake by failing to comply with any pre-contractual information duty under Chapter 2, Sections 1 to 4;
  or [Am. 117] |
| --- | --- |

(ii)

caused the contract to be concluded in mistake by failing to comply with any pre-contractual information duty under Chapter 2, Sections 1 to 4;
  or [Am. 117]

| (iii) | knew or could be expected to have known of the mistake and caused the contract to be concluded in mistake by not pointing out the relevant information, provided that good faith and fair dealing would have required a party aware of the mistake to point it out; or |
| --- | --- |

(iii)

knew or could be expected to have known of the mistake and caused the contract to be concluded in mistake by not pointing out the relevant information, provided that good faith and fair dealing would have required a party aware of the mistake to point it out; or

| (iv) | made the same mistake. |
| --- | --- |

(iv)

made the same mistake.

2.   A party may not avoid a contract for mistake if the risk of the mistake was assumed, or in the circumstances should be borne, by that party.

3.   An inaccuracy in the expression or transmission of a statement is treated as a mistake of the person who made or sent the statement.

Article 49

Fraud

1.   A party may avoid a contract if the other party has induced the conclusion of the contract by fraudulent misrepresentation, whether by words or conduct, or fraudulent non-disclosure of any information which good faith and fair dealing, or any pre-contractual information duty, required that party to disclose.

2.   Misrepresentation is fraudulent if it is made with knowledge or belief that the representation is false, or recklessly as to whether it is true or false, and is intended to induce the recipient to make a mistake. Non-disclosure is fraudulent if it is intended to induce the person from whom the information is withheld to make a mistake.

3.   In determining whether good faith and fair dealing require a party to disclose particular information, regard should

  is to
  be had to all the circumstances, including [Am. 118]:

| (a) | whether the party had special expertise; |
| --- | --- |

(a)

whether the party had special expertise;

| (b) | the cost to the party of acquiring the relevant information; |
| --- | --- |

(b)

the cost to the party of acquiring the relevant information;

| (c) | the ease with which the other party could have acquired the information by other means; |
| --- | --- |

(c)

the ease with which the other party could have acquired the information by other means;

| (d) | the nature of the information; |
| --- | --- |

(d)

the nature of the information;

| (e) | the apparent

  likely
  importance of the information to the other party; and [Am. 119] |
| --- | --- |

(e)

the apparent

  likely
  importance of the information to the other party; and [Am. 119]

| (f) | in contracts between traders good commercial practice in the situation concerned. |
| --- | --- |

(f)

in contracts between traders good commercial practice in the situation concerned.

Article 50

Threats

A party may avoid a contract if the other party has induced the conclusion of the contract by the threat of wrongful, imminent and serious harm, or of a wrongful act.

Article 50a

Third parties

1.
     
  Where a third party for whose acts a person is responsible or who, with that person's assent, is involved in the making of a contract:

| (a) | causes a mistake, or knows of, or could be expected to know of, a mistake, or |
| --- | --- |

(a)

causes a mistake, or knows of, or could be expected to know of, a mistake, or

| (b) | is guilty of fraud or threats or unfair exploitation, |
| --- | --- |

(b)

is guilty of fraud or threats or unfair exploitation,

remedies under this Chapter shall be available as if the behaviour or knowledge had been that of the person with responsibility or giving assent.

2.
     
  Where a third party for whose acts a person is not responsible and who does not have the person's assent to be involved in the making of a contract is guilty of fraud or threats, remedies under this Chapter shall be available if that person knew or could reasonably be expected to have known of the relevant facts, or at the time of avoidance did not act in reliance on the contract. [Am. 120]

Article 51

Unfair exploitation

A party may avoid a contract if, at the time of the conclusion of the contract:

| (a) | that party was dependent on, or had a relationship of trust with, the other party, was in economic distress or had urgent needs, was improvident, ignorant, or inexperienced; and |
| --- | --- |

(a)

that party was dependent on, or had a relationship of trust with, the other party, was in economic distress or had urgent needs, was improvident, ignorant, or inexperienced; and

| (b) | the other party knew or could be expected to have known this and, in the light of the circumstances and purpose of the contract, exploited the first party’s situation by taking an excessive benefit or unfair advantage. |
| --- | --- |

(b)

the other party knew or could be expected to have known this and, in the light of the circumstances and purpose of the contract, exploited the first party’s situation by taking an excessive benefit or unfair advantage.

Article 52

Notice of avoidance

1.   Avoidance is effected by notice to the other party.

2.   A notice of avoidance is effective only if it is given within the following period after the avoiding party becomes aware of the relevant circumstances or becomes capable of acting freely:

| (a) | six months in case of mistake; and |
| --- | --- |

(a)

six months in case of mistake; and

| (b) | one year in case of fraud, threats and unfair exploitation. |
| --- | --- |

(b)

one year in case of fraud, threats and unfair exploitation.

Article 53

Confirmation

Where the party who has the right to avoid a contract under this Chapter confirms it, expressly or impliedly, after becoming aware of the relevant circumstances, or becoming capable of acting freely, that party may no longer avoid the contract.

Article 54

Effects of avoidance

1.   A contract which may be avoided is valid until avoided but, once avoided, is retrospectively invalid from the beginning.

2.   Where a ground of avoidance affects only certain contract terms, the effect of avoidance is limited to those terms unless it is unreasonable to uphold the remainder of the contract.

3.   The question whether either party has a right to the return of whatever has been transferred or supplied under a contract which has been avoided, or to a monetary equivalent, is regulated by the rules on restitution in Chapter 17.

Article 55

Damages for loss

A party who has the right to avoid a contract under this Chapter or who had such a right before it was lost by the effect of time limits or confirmation is entitled, whether or not the contract is avoided, to damages
  under Chapter 16
  from the other party for loss suffered as a result of the mistake, fraud, threats or unfair exploitation, provided that the other party knew or could be expected to have known of the relevant circumstances. [Am. 121]

Article 56

Exclusion or restriction of remedies

1.   Remedies for fraud, threats and unfair exploitation cannot be directly or indirectly excluded or restricted.

2.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, directly or indirectly exclude or restrict remedies for mistake.

Article 57

Choice of remedy

A party who is entitled to a remedy under this Chapter in circumstances which afford that party a remedy for non-performance may pursue either of those remedies.

Part III

Assessing what is in the contract

Chapter 6

Interpretation

Article 58

General rules on interpretation of contracts

1.   A contract is to be interpreted according to the common intention of the parties even if this differs from the normal meaning of the expressions used in it.

2.   Where one party intended an expression used in the contract
  or equivalent conduct
  to have a particular meaning, and at the time of the conclusion of the contract the other party was aware, or could be expected to have been aware, of that intention, the expression
  or equivalent conduct
  is to be interpreted in the way intended by the first party. [Am. 122]

3.   Unless otherwise provided in paragraphs 1 and 2, the contract is to be interpreted according to the meaning which a reasonable person would give to it.

3a.
     
  Expressions used in a contract shall be interpreted in the light of the contract as a whole. [Am. 123]

3b.
     
  The rules in this Chapter shall apply to the interpretation of an offer, acceptance or other unilateral statement indicating intention, or equivalent conduct, with appropriate adaptations. [Am. 124]

Article 59

Relevant matters

In interpreting a contract, regard may be had, in particular, to:

| (a) | the circumstances in which it was concluded, including the preliminary negotiations; [Am. 125] |
| --- | --- |

(a)

the circumstances in which it was concluded, including the preliminary negotiations; [Am. 125]

| (b) | the conduct of the parties, even

  prior, during and
  subsequent to the conclusion of the contract; [Am. 126] |
| --- | --- |

(b)

the conduct of the parties, even

  prior, during and
  subsequent to the conclusion of the contract; [Am. 126]

| (c) | the interpretation which has already been given by the parties

  the parties have previously given
  to expressions which are identical to or similar to those used in the contract; [Am. 127] |
| --- | --- |

(c)

the interpretation which has already been given by the parties

  the parties have previously given
  to expressions which are identical to or similar to those used in the contract; [Am. 127]

| (d) | usages which would be considered generally applicable by parties in the same situation; |
| --- | --- |

(d)

usages which would be considered generally applicable by parties in the same situation;

| (e) | practices which the parties have established between themselves; |
| --- | --- |

(e)

practices which the parties have established between themselves;

| (f) | the meaning commonly given to expressions in the branch of activity concerned; |
| --- | --- |

(f)

the meaning commonly given to expressions in the branch of activity concerned;

| (g) | the nature and purpose of the contract; and |
| --- | --- |

(g)

the nature and purpose of the contract; and

| (h) | good faith and fair dealing. |
| --- | --- |

(h)

good faith and fair dealing.

Article 60

Reference to contract as a whole

Expressions used in a contract are to be interpreted in the light of the contract as a whole.
  [Am. 128]

Article 61

Language discrepancies

Where a contract document is in two or more language versions none of which is stated to be authoritative and where there is a discrepancy between the versions, the version in which the contract was originally drawn up is to be treated as the authoritative one.

Where a contract document in the consumer's national language has been used, that version shall be considered as the authoritative one. The parties may not, to the detriment of the consumer, exclude the application of this paragraph or derogate from or vary its effects. [Am. 129]

Article 61a

Preference for interpretation which gives effect to contract terms

An interpretation which gives effect to contract terms shall prevail over one which does not. [Am. 130]

Article 61b

Interpretation in favour of consumers

1.
     
  Where there exists any doubt about the meaning of a contract term in a contract between a trader and a consumer, the interpretation most favourable to the consumer shall prevail unless the term in question was supplied by the consumer.

2.
     
  The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from, or vary, its effects. [Am. 131]

Article 62

Preference for

  Contract terms which are not
  individually negotiated contract terms
  [Am. 132]

1.
     To the extent that there is an inconsistency, contract terms which have been individually negotiated prevail over those which have not been individually negotiated within the meaning of Article 7.

1a.
     
  Where, despite Article 61b, there exists doubt about the meaning of a contract term which has not been individually negotiated within the meaning of Article 7, an interpretation of the term against the party who supplied it shall prevail. [Am. 133]

Article 63

Preference for interpretation which gives contract terms effect

An interpretation which renders the contract terms effective prevails over one which does not.
  [Am. 134]

Article 64

Interpretation in favour of consumers

1.   Where there is doubt about the meaning of a contract term in a contract between a trader and a consumer, the interpretation most favourable to the consumer shall prevail unless the term was supplied by the consumer.

2.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.
  [Am. 135]

Article 65

Interpretation against supplier of a contract term

Where, in a contract which does not fall under Article 64, there is doubt about the meaning of a contract term which has not been individually negotiated within the meaning of Article 7, an interpretation of the term against the party who supplied it shall prevail.
  [Am. 136]

Chapter 7

Contents and effects

Section 1

General provisions [Am. 137]

Article 66

Contract terms

The terms of the contract are derived from:

| (a) | the agreement of the parties, subject to any mandatory rules of the Common European Sales Law; |
| --- | --- |

(a)

the agreement of the parties, subject to any mandatory rules of the Common European Sales Law;

| (b) | any usage or practice by which parties are bound by virtue of Article 67; |
| --- | --- |

(b)

any usage or practice by which parties are bound by virtue of Article 67;

| (c) | any rule of the Common European Sales Law which applies in the absence of an agreement of the parties to the contrary; and |
| --- | --- |

(c)

any rule of the Common European Sales Law which applies in the absence of an agreement of the parties to the contrary; and

| (d) | any contract term implied by virtue of Article 68. |
| --- | --- |

(d)

any contract term implied by virtue of Article 68.

Article 67

Usages and practices in contracts between traders

1.   In a contract between traders, the parties are bound by any usage which they have agreed should be applicable and by any practice they have established between themselves.

2.   The parties are bound by a usage which would be considered generally applicable by traders in the same situation as the parties.

3.   Usages and practices do not bind the parties to the extent to which they conflict with contract terms which have been individually negotiated

  the agreement of the parties
  or any mandatory rules of the Common European Sales Law. [Am. 138]

Article 68

Contract terms which may be implied

1.   Where it is necessary to provide for a matter which is not explicitly regulated by the agreement of the parties, any usage or practice or any rule of the Common European Sales Law, an additional contract term may be implied, having regard in particular to:

| (a) | the nature and purpose of the contract; |
| --- | --- |

(a)

the nature and purpose of the contract;

| (b) | the circumstances in which the contract was concluded; and |
| --- | --- |

(b)

the circumstances in which the contract was concluded; and

| (c) | good faith and fair dealing. |
| --- | --- |

(c)

good faith and fair dealing.

2.   Any contract term implied under paragraph 1 is, as far as possible, to be such as to give effect to what the parties would probably have agreed, had they provided for the matter. [Am. 139]

3.   Paragraph 1 does not apply if the parties have deliberately left a matter unregulated, accepting that one or other party would bear the risk.

Article 69

Contract terms derived from certain pre-contractual statements

1.   Where the trader
  , or a person engaged in advertising or marketing for the trader,
  makes a statement before the contract is concluded, either to the other party or publicly, about the characteristics of what is to be supplied by that trader under the contract, the statement is incorporated as a term of the contract unless
  the trader shows that
  :

| (a) | the other party was aware, or could be expected to have been aware when the contract was concluded that the statement was incorrect or could not otherwise be relied on as such a term; or |
| --- | --- |

(a)

the other party was aware, or could be expected to have been aware when the contract was concluded that the statement was incorrect or could not otherwise be relied on as such a term; or

| (aa) | the statement had been corrected by the time of conclusion of the contract; or |
| --- | --- |

(aa)

the statement had been corrected by the time of conclusion of the contract; or

| (b) | the other party’s decision to conclude the contract could not have been influenced by the statement. [Am. 140] |
| --- | --- |

(b)

the other party’s decision to conclude the contract could not have been influenced by the statement. [Am. 140]

2.   For the purposes of paragraph 1, a statement made by a person engaged in advertising or marketing for the trader is regarded as being made by the trader.
  [Am. 141]

3.   Where the other party is a consumer then, for the purposes of paragraph 1, a public statement made by or on behalf of a producer or other person in earlier links of the chain of transactions leading to the contract is regarded as being made by the trader unless the trader
  shows that
  , at the time of conclusion of the contract,
  the trader
  did not know and could not be expected to have known of it. [Am. 142]

4.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 70

Duty to raise awareness of not individually negotiated contract terms

1.   Contract terms supplied by one party and not individually negotiated within the meaning of Article 7 may be invoked against the other party only if the other party was aware of them, or if the party supplying them took reasonable steps to draw the other party's attention to them, before or when the contract was concluded.

2.   For the purposes of this Article, in relations between a trader and a consumer contract terms are not sufficiently brought to the consumer's attention by a mere reference to them in a contract document, even if the consumer signs the document.

3.   The parties may not exclude the application of this Article or derogate from or vary its effects.
  [Am. 143]

Article 71

Additional payments in contracts between a trader and a consumer

1.   In a contract between a trader and a consumer, a contract term which obliges the consumer to make any payment in addition to the remuneration stated for the trader’s main contractual obligation, in particular where it has been incorporated by the use of default options which the consumer is required to reject in order to avoid the additional payment, is not binding on the consumer unless, before the consumer is bound by the contract, the consumer has expressly consented to the additional payment. If the consumer has made the additional payment, the consumer may recover it.

2.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.
  [Am. 144]

Article 72

Merger clauses

1.   Where a contract in writing includes a term stating that the document contains all contract terms (a merger clause), any prior statements, undertakings or agreements which are not contained in the document do not form part of the contract.

2.   Unless the contract otherwise provides, a merger clause does not prevent the parties’ prior statements from being used to interpret the contract.

3.   In a contract between a trader and a consumer, the consumer is not bound by a merger clause.

4.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 73

Determination of price

Where the amount of the price payable under a contract cannot be otherwise determined, the price payable is, in the absence of any indication to the contrary, the price normally charged in comparable circumstances at the time of the conclusion of the contract or, if no such price is available, a reasonable price.

Article 74

Unilateral determination by a party

1.   Where the price or any other contract term is to be determined by one party and that party’s determination is grossly unreasonable then the price normally charged or term normally used in comparable circumstances at the time of the conclusion of the contract or, if no such price or term is available, a reasonable price or a reasonable term is substituted.

2.   
  In relations between a trader and a consumer,

  The

  the
  parties may not
  , to the detriment of the consumer,
  exclude the application of this Article or derogate from or vary its effects. [Am. 145]

Section 2

Specific provisions governing contracts between traders and consumers [Am. 146]

Article 75

Determination by a third party

1.   Where a third party is to determine the price or any other contract term and cannot or will not do so, a court may, unless this is inconsistent with the contract terms, appoint another person to determine it.

2.   Where a price or other contract term determined by a third party is grossly unreasonable, the price normally charged or term normally used in comparable circumstances at the time of the conclusion of the contract or, if no such price is available, a reasonable price, or a reasonable term is substituted.

3.   For the purpose of paragraph 1 a ‘court’ includes an arbitral tribunal.

4.   In relations between a trader and a consumer the parties may not to the detriment of the consumer exclude the application of paragraph 2 or derogate from or vary its effects.

Article 76

Language

Where the language to be used for communications relating to the contract or the rights or obligations arising from it cannot be otherwise determined, the language to be used is that used for the conclusion of the contract.

Article 76a

Duty to raise awareness of contract terms which have not been individually negotiated [Am. 147]

1.
     
  Contract terms supplied by a trader and not individually negotiated within the meaning of Article 7 may be invoked against a consumer only if the consumer was aware of them, or if the trader took reasonable steps to draw the consumer's attention to them, before or when the contract was concluded. [Am. 148]

2.
     
  For the purposes of this Article, contract terms are not sufficiently brought to the consumer's attention unless they are:

| (a) | presented in a way which is suitable to attract the attention of a consumer to their existence; and |
| --- | --- |

(a)

presented in a way which is suitable to attract the attention of a consumer to their existence; and

| (b) | given or made available to a consumer by a trader in a manner which provides the consumer with an opportunity to comprehend them before the contract is concluded. [Am. 149] |
| --- | --- |

(b)

given or made available to a consumer by a trader in a manner which provides the consumer with an opportunity to comprehend them before the contract is concluded. [Am. 149]

3.
     
  Contract terms shall not be considered as having been sufficiently brought to the consumer's attention by a mere reference to them in a contract document, even if the consumer signs that document. [Am. 150]

4.
     
  The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from, or vary, its effects. [Am. 151]

Article 76b

Additional payments in contracts between a trader and a consumer

1.
     
  In a contract between a trader and a consumer, a contract term which obliges the consumer to make any payment in addition to the remuneration stated for the trader's main contractual obligation, in particular where it has been incorporated by the use of default options which the consumer is required to reject in order to avoid the additional payment, shall not be binding on the consumer unless, before the consumer is bound by the contract, the consumer has expressly consented to the additional payment. If the consumer makes the additional payment without having expressly consented to it, the consumer may recover it.

2.
     
  The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from, or vary, its effects. [Am. 152]

Article 77

Contracts of indeterminate duration

1.   Where, in a case involving continuous or repeated performance of a contractual obligation, the contract terms do not stipulate when the contractual relationship is to end or provide for it to be terminated upon giving notice to that effect, it may be terminated by either party by giving a reasonable period of notice not exceeding two months.

2.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 78

Contract terms in favour of third parties

1.   The contracting parties may, by the contract, confer a right on a third party. The third party need not be in existence or identified at the time the contract is concluded but needs to be identifiable.

2.   The nature and content of the third party’s right are determined by the contract. The right may take the form of an exclusion or limitation of the third party’s liability to one of the contracting parties.

3.   When one of the contracting parties is bound to render a performance to the third party under the contract, then:

| (a) | the third party has the same rights to performance and remedies for non-performance as if the contracting party was bound to render the performance under a contract with the third party; and |
| --- | --- |

(a)

the third party has the same rights to performance and remedies for non-performance as if the contracting party was bound to render the performance under a contract with the third party; and

| (b) | the contracting party who is bound may assert against the third party all defences which the contracting party could assert against the other party to the contract. |
| --- | --- |

(b)

the contracting party who is bound may assert against the third party all defences which the contracting party could assert against the other party to the contract.

4.   The third party may reject a right conferred upon them by notice to either of the contracting parties, if that is done before it has been expressly or impliedly accepted. On such rejection, the right is treated as never having accrued to the third party.

5.   The contracting parties may remove or modify the contract term conferring the right if this is done before either of them has given the third party notice that the right has been conferred.

Chapter 8

Unfair contract terms

Section 1

General provisions

Article 79

Effects of unfair contract terms

1.   A contract term which is supplied by one party and which is unfair under Sections 2 and 3 of this Chapter is not binding on the other party.

2.   Where the contract can be maintained without the unfair contract term, the other contract terms remain binding.

Article 80

Exclusions from unfairness test

1.   Sections 2 and 3 do not apply to contract terms which reflect rules of the Common European Sales Law which would apply if the terms did not regulate the matter.

2.   Section 2 does not apply to the definition of the main subject matter of the contract, or to the appropriateness of the price to be paid in so far as the trader has complied with the duty of transparency set out in Article 82.
  [Am. 153]

3.   Section 3 does not apply to the definition of the main subject matter of the contract or to the appropriateness of the price to be paid.

Article 81

Mandatory nature

The parties may not exclude the application of this Chapter or derogate from or vary its effects.

Section 2

Unfair contract terms in contracts between a trader and a consumer

Article 82

Duty of transparency in contract terms not individually negotiated

Where a trader supplies contract terms which have not been individually negotiated with the consumer within the meaning of Article 7, it has a duty to ensure that they are drafted and communicated in plain,
  clear and
  intelligible language. [Am. 154]

Article 83

Meaning of ‘unfair’ in contracts between a trader and a consumer

1.   In a contract between a trader and a consumer, a contract term supplied by the trader which has not been individually negotiated within the meaning of Article 7 is unfair for the purposes of this Section if it causes a significant imbalance in the parties' rights and obligations arising under the contract, to the detriment of the consumer, contrary to good faith and fair dealing. [Am. 155]

2.   When assessing the unfairness of a contract term for the purposes of this Section, regard is to be had to:

| (a) | whether the trader complied with the duty of transparency set out in Article 82; |
| --- | --- |

(a)

whether the trader complied with the duty of transparency set out in Article 82;

| (b) | the nature of what is to be provided under the contract; |
| --- | --- |

(b)

the nature of what is to be provided under the contract;

| (c) | the circumstances prevailing during the conclusion of the contract; |
| --- | --- |

(c)

the circumstances prevailing during the conclusion of the contract;

| (ca) | whether it is of such a surprising nature that the consumer could not have expected the proposed term; [Am. 156] |
| --- | --- |

(ca)

whether it is of such a surprising nature that the consumer could not have expected the proposed term; [Am. 156]

| (d) | to the other contract terms; and |
| --- | --- |

(d)

to the other contract terms; and

| (e) | to the terms of any other contract on which the contract depends. |
| --- | --- |

(e)

to the terms of any other contract on which the contract depends.

Article 84

Contract terms which are always unfair

A contract term is always unfair for the purposes of this Section if its object or effect is to:

| (a) | exclude or limit the liability of the trader for death or personal injury caused to the consumer through an act or omission of the trader or of someone acting on behalf of the trader; |
| --- | --- |

(a)

exclude or limit the liability of the trader for death or personal injury caused to the consumer through an act or omission of the trader or of someone acting on behalf of the trader;

| (b) | exclude or limit the liability of the trader for any loss or damage to the consumer caused deliberately or as a result of gross negligence; |
| --- | --- |

(b)

exclude or limit the liability of the trader for any loss or damage to the consumer caused deliberately or as a result of gross negligence;

| (ba) | inappropriately exclude or limit the remedies available to the consumer against the trader or a third party for non-performance by the trader of obligations under the contract; [Am. 157] |
| --- | --- |

(ba)

inappropriately exclude or limit the remedies available to the consumer against the trader or a third party for non-performance by the trader of obligations under the contract; [Am. 157]

| (c) | limit the trader's obligation to be bound by commitments undertaken by its authorised agents or make its commitments subject to compliance with a particular condition the fulfilment of which depends exclusively on the trader; |
| --- | --- |

(c)

limit the trader's obligation to be bound by commitments undertaken by its authorised agents or make its commitments subject to compliance with a particular condition the fulfilment of which depends exclusively on the trader;

| (ca) | restrict the evidence available to the consumer or impose on the consumer a burden of proof which legally lies with the trader; [Am. 158] |
| --- | --- |

(ca)

restrict the evidence available to the consumer or impose on the consumer a burden of proof which legally lies with the trader; [Am. 158]

| (d) | exclude or hinder the consumer's right to take legal action or exercise any other legal remedy, particularly by requiring the consumer to take disputes exclusively to an arbitration system not foreseen generally in legal provisions that apply to contracts between a trader and a consumer; |
| --- | --- |

(d)

exclude or hinder the consumer's right to take legal action or exercise any other legal remedy, particularly by requiring the consumer to take disputes exclusively to an arbitration system not foreseen generally in legal provisions that apply to contracts between a trader and a consumer;

| (e) | confer exclusive jurisdiction for all disputes arising under the contract to a court for the place where the trader is domiciled unless the chosen court is also the court for the place where the consumer is domiciled; |
| --- | --- |

(e)

confer exclusive jurisdiction for all disputes arising under the contract to a court for the place where the trader is domiciled unless the chosen court is also the court for the place where the consumer is domiciled;

| (f) | give the trader the exclusive right to determine whether the goods, digital content or related services supplied are in conformity with the contract or gives the trader the exclusive right to interpret any contract term; |
| --- | --- |

(f)

give the trader the exclusive right to determine whether the goods, digital content or related services supplied are in conformity with the contract or gives the trader the exclusive right to interpret any contract term;

| (fa) | enable a trader to alter contract terms unilaterally without a valid reason which is specified in the contract; this does not affect contract terms under which a trader reserves the right to alter unilaterally the terms of a contract of indeterminate duration, provided that the trader is required to inform the consumer of the alteration with reasonable notice, and that the consumer is free to terminate the contract at no cost to the consumer; [Am. 159] |
| --- | --- |

(fa)

enable a trader to alter contract terms unilaterally without a valid reason which is specified in the contract; this does not affect contract terms under which a trader reserves the right to alter unilaterally the terms of a contract of indeterminate duration, provided that the trader is required to inform the consumer of the alteration with reasonable notice, and that the consumer is free to terminate the contract at no cost to the consumer; [Am. 159]

| (fb) | enable a trader to alter unilaterally, without a valid reason, any characteristics of the goods, digital content or related services to be provided or any other features of performance; [Am. 160] |
| --- | --- |

(fb)

enable a trader to alter unilaterally, without a valid reason, any characteristics of the goods, digital content or related services to be provided or any other features of performance; [Am. 160]

| (fc) | allow a trader to demand a higher price for his services than that which was fixed when the contract was concluded, unless the contract also allows for a price reduction if price change requirements have been agreed upon, the circumstances required for a price change are set out in the contract and are objectively justified and a price change cannot be brought about arbitrarily by the trader; [Am. 161] |
| --- | --- |

(fc)

allow a trader to demand a higher price for his services than that which was fixed when the contract was concluded, unless the contract also allows for a price reduction if price change requirements have been agreed upon, the circumstances required for a price change are set out in the contract and are objectively justified and a price change cannot be brought about arbitrarily by the trader; [Am. 161]

| (g) | provide that the consumer is bound by the contract when the trader is not; |
| --- | --- |

(g)

provide that the consumer is bound by the contract when the trader is not;

| (ga) | oblige a consumer to perform all his obligations under the contract where the trader fails to perform its own; [Am. 162] |
| --- | --- |

(ga)

oblige a consumer to perform all his obligations under the contract where the trader fails to perform its own; [Am. 162]

| (gb) | entitle a trader to withdraw from or terminate the contract within the meaning of Article 8 on a discretionary basis without giving the same right to the consumer, or entitle a trader to keep money paid for related services not yet supplied in the event that the trader withdraws from or terminates the contract; [Am. 163] |
| --- | --- |

(gb)

entitle a trader to withdraw from or terminate the contract within the meaning of Article 8 on a discretionary basis without giving the same right to the consumer, or entitle a trader to keep money paid for related services not yet supplied in the event that the trader withdraws from or terminates the contract; [Am. 163]

| (h) | require the consumer to use a more formal method for terminating the contract within the meaning of Article 8 than was used for conclusion of the contract; |
| --- | --- |

(h)

require the consumer to use a more formal method for terminating the contract within the meaning of Article 8 than was used for conclusion of the contract;

| (ha) | impose an excessive burden on the consumer in order to terminate a contract of indeterminate duration; [Am. 164] |
| --- | --- |

(ha)

impose an excessive burden on the consumer in order to terminate a contract of indeterminate duration; [Am. 164]

| (i) | grant the trader a shorter notice period to terminate the contract than the one required of the consumer; |
| --- | --- |

(i)

grant the trader a shorter notice period to terminate the contract than the one required of the consumer;

| (j) | oblige the consumer to pay for goods, digital content or related services not actually delivered, supplied or rendered; |
| --- | --- |

(j)

oblige the consumer to pay for goods, digital content or related services not actually delivered, supplied or rendered;

| (k) | determine that non-individually negotiated contract terms within the meaning of Article 7 prevail or have preference over contract terms which have been individually negotiated. |
| --- | --- |

(k)

determine that non-individually negotiated contract terms within the meaning of Article 7 prevail or have preference over contract terms which have been individually negotiated.

Article 85

Contract terms which are presumed to be unfair

A contract term is presumed to be unfair for the purposes of this Section if its object or effect is to:

| (a) | restrict the evidence available to the consumer or impose on the consumer a burden of proof which should legally lie with the trader;
  [Am. 165] |
| --- | --- |

(a)

restrict the evidence available to the consumer or impose on the consumer a burden of proof which should legally lie with the trader;
  [Am. 165]

| (b) | inappropriately exclude or limit the remedies available to the consumer against the trader or a third party for non-performance by the trader of obligations under the contract;
  [Am. 166] |
| --- | --- |

(b)

inappropriately exclude or limit the remedies available to the consumer against the trader or a third party for non-performance by the trader of obligations under the contract;
  [Am. 166]

| (c) | inappropriately exclude or limit the right to set-off claims that the consumer may have against the trader against what the consumer may owe to the trader; |
| --- | --- |

(c)

inappropriately exclude or limit the right to set-off claims that the consumer may have against the trader against what the consumer may owe to the trader;

| (d) | permit a trader to keep money paid by the consumer if the latter decides not to conclude the contract, or perform obligations under it, without providing for the consumer to receive compensation of an equivalent amount from the trader in the reverse situation; |
| --- | --- |

(d)

permit a trader to keep money paid by the consumer if the latter decides not to conclude the contract, or perform obligations under it, without providing for the consumer to receive compensation of an equivalent amount from the trader in the reverse situation;

| (e) | require a consumer who fails to perform obligations under the contract to pay a disproportionately high amount by way of damages or a stipulated payment for non-performance; |
| --- | --- |

(e)

require a consumer who fails to perform obligations under the contract to pay a disproportionately high amount by way of damages or a stipulated payment for non-performance;

| (ea) | consider specific consumer behaviour equivalent to the issue or non-issue of a statement, unless the significance of the consumer's behaviour is specifically pointed out to him at the beginning of the period intended for this purpose and the consumer has an appropriate length of time in which to make an explicit statement; [Am. 167] |
| --- | --- |

(ea)

consider specific consumer behaviour equivalent to the issue or non-issue of a statement, unless the significance of the consumer's behaviour is specifically pointed out to him at the beginning of the period intended for this purpose and the consumer has an appropriate length of time in which to make an explicit statement; [Am. 167]

| (f) | entitle a trader to withdraw from or terminate the contract within the meaning of Article 8 on a discretionary basis without giving the same right to the consumer, or entitle a trader to keep money paid for related services not yet supplied in the case where the trader withdraws from or terminates the contract;
  [Am. 168] |
| --- | --- |

(f)

entitle a trader to withdraw from or terminate the contract within the meaning of Article 8 on a discretionary basis without giving the same right to the consumer, or entitle a trader to keep money paid for related services not yet supplied in the case where the trader withdraws from or terminates the contract;
  [Am. 168]

| (g) | enable a trader to terminate a contract of indeterminate duration without reasonable notice, except where there are serious grounds for doing so; |
| --- | --- |

(g)

enable a trader to terminate a contract of indeterminate duration without reasonable notice, except where there are serious grounds for doing so;

| (h) | automatically extend a contract of fixed duration unless the consumer indicates otherwise, in cases where contract terms provide for an unreasonably early deadline for giving notice; |
| --- | --- |

(h)

automatically extend a contract of fixed duration unless the consumer indicates otherwise, in cases where contract terms provide for an unreasonably early deadline for giving notice;

| (i) | enable a trader to alter contract terms unilaterally without a valid reason which is specified in the contract; this does not affect contract terms under which a trader reserves the right to alter unilaterally the terms of a contract of indeterminate duration, provided that the trader is required to inform the consumer with reasonable notice, and that the consumer is free to terminate the contract at no cost to the consumer;
  [Am. 169] |
| --- | --- |

(i)

enable a trader to alter contract terms unilaterally without a valid reason which is specified in the contract; this does not affect contract terms under which a trader reserves the right to alter unilaterally the terms of a contract of indeterminate duration, provided that the trader is required to inform the consumer with reasonable notice, and that the consumer is free to terminate the contract at no cost to the consumer;
  [Am. 169]

| (j) | enable a trader to alter unilaterally without a valid reason any characteristics of the goods, digital content or related services to be provided or any other features of performance;
  [Am. 170] |
| --- | --- |

(j)

enable a trader to alter unilaterally without a valid reason any characteristics of the goods, digital content or related services to be provided or any other features of performance;
  [Am. 170]

| (k) | provide that the price of goods, digital content or related services is to be determined at the time of delivery or supply, or allow a trader to increase the price without giving the consumer the right to withdraw if the increased price is too high in relation to the price agreed at the conclusion of the contract; this does not affect price-indexation clauses, where lawful, provided that the method by which prices vary is explicitly described;[Am. 171] |
| --- | --- |

(k)

provide that the price of goods, digital content or related services is to be determined at the time of delivery or supply, or allow a trader to increase the price without giving the consumer the right to withdraw if the increased price is too high in relation to the price agreed at the conclusion of the contract; this does not affect price-indexation clauses, where lawful, provided that the method by which prices vary is explicitly described;[Am. 171]

| (l) | oblige a consumer to perform all their obligations under the contract where the trader fails to perform its own;
  [Am. 172] |
| --- | --- |

(l)

oblige a consumer to perform all their obligations under the contract where the trader fails to perform its own;
  [Am. 172]

| (m) | allow a trader to transfer its rights and obligations under the contract without the consumer’s consent, unless it is to a subsidiary controlled by the trader, or as a result of a merger or a similar lawful company transaction, and such transfer is not likely to negatively affect any right of the consumer; |
| --- | --- |

(m)

allow a trader to transfer its rights and obligations under the contract without the consumer’s consent, unless it is to a subsidiary controlled by the trader, or as a result of a merger or a similar lawful company transaction, and such transfer is not likely to negatively affect any right of the consumer;

| (n) | allow a trader, where what has been ordered is unavailable, to supply an equivalent without having expressly informed the consumer of this possibility and of the fact that the trader must bear the cost of returning what the consumer has received under the contract if the consumer exercises a right to reject performance
  , and without the consumer having expressly required the supply of an equivalent
  ; [Am. 173] |
| --- | --- |

(n)

allow a trader, where what has been ordered is unavailable, to supply an equivalent without having expressly informed the consumer of this possibility and of the fact that the trader must bear the cost of returning what the consumer has received under the contract if the consumer exercises a right to reject performance
  , and without the consumer having expressly required the supply of an equivalent
  ; [Am. 173]

| (o) | allow a trader to reserve an unreasonably long or inadequately specified period to accept or refuse an offer; |
| --- | --- |

(o)

allow a trader to reserve an unreasonably long or inadequately specified period to accept or refuse an offer;

| (p) | allow a trader to reserve an unreasonably long or inadequately specified period to perform the obligations under the contract; |
| --- | --- |

(p)

allow a trader to reserve an unreasonably long or inadequately specified period to perform the obligations under the contract;

| (q) | inappropriately exclude or limit the remedies available to the consumer against the trader or the defences available to the consumer against claims by the trader; |
| --- | --- |

(q)

inappropriately exclude or limit the remedies available to the consumer against the trader or the defences available to the consumer against claims by the trader;

| (r) | subject performance of obligations under the contract by the trader, or subject other beneficial effects of the contract for the consumer, to particular formalities that are not legally required and are unreasonable; |
| --- | --- |

(r)

subject performance of obligations under the contract by the trader, or subject other beneficial effects of the contract for the consumer, to particular formalities that are not legally required and are unreasonable;

| (s) | require from the consumer excessive advance payments or excessive guarantees of performance of obligations; |
| --- | --- |

(s)

require from the consumer excessive advance payments or excessive guarantees of performance of obligations;

| (t) | unjustifiably prevent the consumer from obtaining supplies or repairs from third party sources; |
| --- | --- |

(t)

unjustifiably prevent the consumer from obtaining supplies or repairs from third party sources;

| (u) | unjustifiably bundle the contract with another one with the trader, a subsidiary of the trader, or a third party, in a way that cannot be expected by the consumer; |
| --- | --- |

(u)

unjustifiably bundle the contract with another one with the trader, a subsidiary of the trader, or a third party, in a way that cannot be expected by the consumer;

| (v) | impose an excessive burden on the consumer in order to terminate a contract of indeterminate duration;
  [Am. 174] |
| --- | --- |

(v)

impose an excessive burden on the consumer in order to terminate a contract of indeterminate duration;
  [Am. 174]

| (w) | make the initial contract period, or any renewal period, of a contract for the protracted provision of goods, digital content or related services longer than one year, unless the consumer may terminate the contract at any time with a termination period of no more than 30 days. |
| --- | --- |

(w)

make the initial contract period, or any renewal period, of a contract for the protracted provision of goods, digital content or related services longer than one year, unless the consumer may terminate the contract at any time with a termination period of no more than 30 days.

Section 3

Unfair contract terms in contracts between traders

Article 86

Meaning of ‘unfair’ in contracts between traders

1.   In a contract between traders, a contract term is unfair for the purposes of this Section only if:

| (a) | it forms part of not individually negotiated terms within the meaning of Article 7; and |
| --- | --- |

(a)

it forms part of not individually negotiated terms within the meaning of Article 7; and

| (b) | it is of such a nature that its use grossly deviates from good

  customary
  commercial practice, contrary to good faith and fair dealing. [Am. 175] |
| --- | --- |

(b)

it is of such a nature that its use grossly deviates from good

  customary
  commercial practice, contrary to good faith and fair dealing. [Am. 175]

2.   When assessing the unfairness of a contract term for the purposes of this Section, regard is to be had to:

| (a) | the nature of what is to be provided under the contract; |
| --- | --- |

(a)

the nature of what is to be provided under the contract;

| (b) | the circumstances prevailing during the conclusion of the contract; |
| --- | --- |

(b)

the circumstances prevailing during the conclusion of the contract;

| (c) | the other contract terms; and |
| --- | --- |

(c)

the other contract terms; and

| (d) | the terms of any other contract on which the contract depends. |
| --- | --- |

(d)

the terms of any other contract on which the contract depends.

Part IV

Obligations and remedies of the parties to a sales contract or a contract for the supply of digital content

Chapter 9

General provisions

Article 87

Non-performance and fundamental non-performance

1.   Non-performance of an obligation is any failure to perform that obligation, whether or not the failure is excused, and includes:

| (a) | non-delivery or delayed delivery of the goods; |
| --- | --- |

(a)

non-delivery or delayed delivery of the goods;

| (b) | non-supply or delayed supply of the digital content; |
| --- | --- |

(b)

non-supply or delayed supply of the digital content;

| (c) | delivery of goods which are not in conformity with the contract; |
| --- | --- |

(c)

delivery of goods which are not in conformity with the contract;

| (d) | supply of digital content which is not in conformity with the contract; |
| --- | --- |

(d)

supply of digital content which is not in conformity with the contract;

| (e) | non-payment or late payment of the price; and |
| --- | --- |

(e)

non-payment or late payment of the price; and

| (f) | any other purported performance which is not in conformity with the contract. |
| --- | --- |

(f)

any other purported performance which is not in conformity with the contract.

2.   Non-performance of an obligation by one party is fundamental if:

| (a) | it substantially deprives the other party of what that party was entitled to expect under the contract, unless at the time of conclusion of the contract the non-performing party did not foresee and could not be expected to have foreseen that result; or |
| --- | --- |

(a)

it substantially deprives the other party of what that party was entitled to expect under the contract, unless at the time of conclusion of the contract the non-performing party did not foresee and could not be expected to have foreseen that result; or

| (b) | it is of such a nature as to make it clear that the non-performing party’s future performance cannot be relied on. |
| --- | --- |

(b)

it is of such a nature as to make it clear that the non-performing party’s future performance cannot be relied on.

Article 88

Excused non-performance

1.   A party’s non-performance of an obligation is excused if it is due to an impediment beyond that party’s control and if that party could not be expected to have taken the impediment into account at the time of the conclusion of the contract, or to have avoided or overcome the impediment or its consequences.

2.   Where the impediment is only temporary the non-performance is excused for the period during which the impediment exists. However, if the delay amounts to a fundamental non-performance, the other party may treat it as such.

3.   The party who is unable to perform has a duty to ensure that notice of the impediment and of its effect on the ability to perform reaches the other party without undue delay after the first party becomes, or could be expected to have become, aware of these circumstances. The other party is entitled to damages
  under Chapter 16
  for any loss resulting from the breach of this duty. [Am. 176]

Article 89

Change of circumstances

1.   A party must perform its obligations even if performance has become more onerous, whether because the cost of performance has increased or because the value of what is to be received in return has diminished.

Where performance becomes excessively onerous because of an exceptional change of circumstances, the parties have a duty to enter into negotiations with a view to adapting or terminating the contract.

2.   If the parties fail to reach an agreement within a reasonable time, then, upon request by either party a court may:

| (a) | adapt the contract in order to bring it into accordance with what the parties would reasonably have agreed at the time of contracting if they had taken the change of circumstances into account; or |
| --- | --- |

(a)

adapt the contract in order to bring it into accordance with what the parties would reasonably have agreed at the time of contracting if they had taken the change of circumstances into account; or

| (b) | terminate the contract within the meaning of Article 8 at a date and on terms to be determined by the court. |
| --- | --- |

(b)

terminate the contract within the meaning of Article 8 at a date and on terms to be determined by the court.

3.   Paragraphs 1 and 2 apply only if:

| (a) | the change of circumstances occurred after the time when the contract was concluded; |
| --- | --- |

(a)

the change of circumstances occurred after the time when the contract was concluded;

| (b) | the party relying on the change of circumstances did not at that time take into account, and could not be expected to have taken into account, the possibility or scale of that change of circumstances; and |
| --- | --- |

(b)

the party relying on the change of circumstances did not at that time take into account, and could not be expected to have taken into account, the possibility or scale of that change of circumstances; and

| (c) | the aggrieved party
  , relying on the change of circumstances,
  did not assume, and cannot reasonably be regarded as having assumed, the risk of that change of circumstances.[Am. 177] |
| --- | --- |

(c)

the aggrieved party
  , relying on the change of circumstances,
  did not assume, and cannot reasonably be regarded as having assumed, the risk of that change of circumstances.[Am. 177]

4.   For the purpose of paragraphs 2 and 3 a ‘court’ includes an arbitral tribunal.

Article 90

Extended application of rules on payment and on goods or digital content not accepted

1.   Unless otherwise provided, the rules on payment of the price by the buyer in Chapter 12 apply with appropriate adaptations to other payments.

2.   Article 97 applies with appropriate adaptations to other cases where a person is left in possession of goods or digital content because of a failure by another person to take them when bound to do so.

Chapter 10

The seller's obligations

Section 1

General provisions

Article 91

Main obligations of the seller

The seller of goods or the supplier of digital content (in this part referred to as ‘the seller’) must:

| (a) | deliver the goods or supply the digital content; |
| --- | --- |

(a)

deliver the goods or supply the digital content;

| (b) | transfer or undertake to
  transfer the ownership of the goods, including the tangible medium on which the digital content is supplied; [Am. 178] |
| --- | --- |

(b)

transfer or undertake to
  transfer the ownership of the goods, including the tangible medium on which the digital content is supplied; [Am. 178]

| (c) | ensure that the goods or the digital content are in conformity with the contract; |
| --- | --- |

(c)

ensure that the goods or the digital content are in conformity with the contract;

| (d) | ensure that the buyer has the right to use the digital content in accordance with the contract; and |
| --- | --- |

(d)

ensure that the buyer has the right to use the digital content in accordance with the contract; and

| (e) | deliver such documents representing or relating to the goods or documents relating to the digital content as may be required by the contract. |
| --- | --- |

(e)

deliver such documents representing or relating to the goods or documents relating to the digital content as may be required by the contract.

Article 91a

Retention of title

If a retention of title clause has been agreed, the seller shall not be obliged to transfer ownership of the goods until the buyer has fulfilled the obligation to pay the price as agreed. [Am. 179]

Article 92

Performance by a third party

1.   A seller may entrust performance to another person, unless personal performance by the seller is required by the contract terms.

2.   A seller who entrusts performance to another person remains responsible for performance.

3.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of paragraph (2) or derogate from or vary its effects.

Section 2

Delivery

Article 93

Place of delivery

1.   Where the place of delivery cannot be otherwise determined, it is:

| (a) | in the case of a consumer sales contract or a contract
  between a trader and a consumer
  for the supply of digital content which is a distance or off-premises contract, or in which the seller has undertaken to arrange carriage to the buyer, the consumer’s place of residence at the time of the conclusion of the contract; [Am. 180] |
| --- | --- |

(a)

in the case of a consumer sales contract or a contract
  between a trader and a consumer
  for the supply of digital content which is a distance or off-premises contract, or in which the seller has undertaken to arrange carriage to the buyer, the consumer’s place of residence at the time of the conclusion of the contract; [Am. 180]

| (b) | in any other case,






  (i) | where the contract of sale involves carriage of the goods by a carrier or series of carriers, the nearest collection point of the first carrier; |
| --- | --- | --- |

(b)

in any other case,

(i)

where the contract of sale involves carriage of the goods by a carrier or series of carriers, the nearest collection point of the first carrier;

| (ii) | where the contract does not involve carriage, the seller’s place of business at the time of conclusion of the contract. |
| --- | --- |

(ii)

where the contract does not involve carriage, the seller’s place of business at the time of conclusion of the contract.

2.   If the seller has more than one place of business, the place of business for the purposes of point (b) of paragraph 1 is that which has the closest relationship to the obligation to deliver.

Article 94

Method of delivery

1.   Unless agreed otherwise, the seller fulfils the obligation to deliver:

| (a) | in the case of a consumer sales contract or a contract
  between a trader and a consumer
  for the supply of digital content which is a distance or off-premises contract or in which the seller has undertaken to arrange carriage to the buyer, by transferring the physical possession or control of the goods or the digital content to the consumer; [Am. 181] |
| --- | --- |

(a)

in the case of a consumer sales contract or a contract
  between a trader and a consumer
  for the supply of digital content which is a distance or off-premises contract or in which the seller has undertaken to arrange carriage to the buyer, by transferring the physical possession or control of the goods or the digital content to the consumer; [Am. 181]

| (b) | in other cases in which the contract involves carriage of the goods by a carrier, by handing over the goods to the first carrier for transmission to the buyer and by handing over to the buyer any document necessary to enable the buyer to take over the goods from the carrier holding the goods; or |
| --- | --- |

(b)

in other cases in which the contract involves carriage of the goods by a carrier, by handing over the goods to the first carrier for transmission to the buyer and by handing over to the buyer any document necessary to enable the buyer to take over the goods from the carrier holding the goods; or

| (c) | in cases that do not fall within points (a) or (b), by making the goods or the digital content, or where it is agreed that the seller need only deliver documents representing the goods, the documents, available to the buyer. |
| --- | --- |

(c)

in cases that do not fall within points (a) or (b), by making the goods or the digital content, or where it is agreed that the seller need only deliver documents representing the goods, the documents, available to the buyer.

2.   In points (a) and (c) of paragraph 1, any reference to the consumer or the buyer includes a third party, not being the carrier, indicated by the consumer or the buyer in accordance with the contract.

Article 95

Time of delivery

1.   Where the time of delivery cannot be otherwise determined, the goods or the digital content must be delivered without undue delay

  within a reasonable time
  after the conclusion of the contract

  contract was concluded
  . [Am. 182]

2.   In contracts between a trader and a consumer, unless agreed otherwise by the parties, the trader must deliver the goods or the digital content not later than 30 days from the conclusion of the contract.

Article 96

Seller’s obligations regarding carriage of the goods

1.   Where the contract requires the seller to arrange for carriage of the goods, the seller must conclude such contracts as are necessary for carriage to the place fixed by means of transportation appropriate in the circumstances and according to the usual terms for such transportation.

2.   Where the seller, in accordance with the contract, hands over the goods to a carrier and if the goods are not clearly identified as the goods to be supplied under the contract by markings on the goods, by shipping documents or otherwise, the seller must give the buyer notice of the consignment specifying the goods.

3.   Where the contract does not require the seller to effect insurance in respect of the carriage of the goods, the seller must, at the buyer’s request, provide the buyer with all available information necessary to enable the buyer to effect such insurance.

Article 97

Goods or digital content not accepted by the buyer

1.   A seller who is left in possession of the goods or the digital content because the buyer, when bound to do so, has failed to take delivery must take reasonable steps to protect and preserve them.

2.   The seller is discharged from the obligation to deliver if the seller:

| (a) | deposits the goods or the digital content on reasonable terms with a third party to be held to the order of the buyer, and notifies the buyer of this; or |
| --- | --- |

(a)

deposits the goods or the digital content on reasonable terms with a third party to be held to the order of the buyer, and notifies the buyer of this; or

| (b) | sells the goods or the digital content on reasonable terms after notice to the buyer, and pays the net proceeds to the buyer. |
| --- | --- |

(b)

sells the goods or the digital content on reasonable terms after notice to the buyer, and pays the net proceeds to the buyer.

3.   The seller is entitled to be reimbursed or to retain out of the proceeds of sale any costs reasonably incurred.

Article 98

Effect on passing of risk

The effect of delivery on the passing of risk is regulated by Chapter 14.
  [Am. 183]

Section 3

Conformity of the goods and digital content

Article 99

Conformity with the contract

1.   In order to conform with the contract, the goods or digital content must:

| (a) | be of the quantity, quality and description required by the contract; |
| --- | --- |

(a)

be of the quantity, quality and description required by the contract;

| (b) | be contained or packaged in the manner required by the contract; and |
| --- | --- |

(b)

be contained or packaged in the manner required by the contract; and

| (c) | be supplied along with any accessories, installation instructions or other instructions required by the contract. |
| --- | --- |

(c)

be supplied along with any accessories, installation instructions or other instructions required by the contract.

2.   In order to conform with the contract the goods or digital content must also meet the requirements of Articles 100, 101 and 102, save to the extent that the parties have agreed otherwise.

3.   In a consumer sales contract
  between a trader and a consumer
  , any agreement derogating from the requirements of Articles 100,
  101 and
  102 and 103 to the detriment of the consumer is valid only if, at the time of the conclusion of the contract, the consumer knew of the specific condition of the goods or the digital content and accepted the goods or the digital content as being in conformity with the contract when concluding it. [Am. 184]

4.   In a consumer sales contract, the parties may not, to the detriment of the consumer, exclude the application of paragraph 3 or derogate from or vary its effects.

Article 100

Criteria for conformity of the goods and digital content

The goods or digital content must:

| (a) | be fit for any particular purpose made known to the seller at the time of the conclusion of the contract, except where the circumstances show that the buyer did not rely, or that it was unreasonable for the buyer to rely, on the seller’s skill and judgement; |
| --- | --- |

(a)

be fit for any particular purpose made known to the seller at the time of the conclusion of the contract, except where the circumstances show that the buyer did not rely, or that it was unreasonable for the buyer to rely, on the seller’s skill and judgement;

| (b) | be fit for the purposes for which goods or digital content of the same description would ordinarily be used; |
| --- | --- |

(b)

be fit for the purposes for which goods or digital content of the same description would ordinarily be used;

| (c) | possess the qualities of goods or digital content which the seller held out to the buyer as a sample or model; |
| --- | --- |

(c)

possess the qualities of goods or digital content which the seller held out to the buyer as a sample or model;

| (d) | be contained or packaged in the manner usual for such goods or, where there is no such manner, in a manner adequate to preserve and protect the goods; |
| --- | --- |

(d)

be contained or packaged in the manner usual for such goods or, where there is no such manner, in a manner adequate to preserve and protect the goods;

| (e) | be supplied along with such accessories, installation instructions or other instructions as the buyer may expect to receive; |
| --- | --- |

(e)

be supplied along with such accessories, installation instructions or other instructions as the buyer may expect to receive;

| (f) | possess the qualities and performance capabilities indicated in any pre-contractual statement which forms part of the contract terms by virtue of Article 69; and |
| --- | --- |

(f)

possess the qualities and performance capabilities indicated in any pre-contractual statement which forms part of the contract terms by virtue of Article 69; and

| (g) | possess such qualities and performance capabilities as the buyer may expect
  , including appearance and the absence of defects
  . When determining what the consumer

  buyer
  may expect of the digital content regard is to be had to whether or not the digital content was supplied in exchange for the payment of a price
  or any counter-performance
  . [Am. 185] |
| --- | --- |

(g)

possess such qualities and performance capabilities as the buyer may expect
  , including appearance and the absence of defects
  . When determining what the consumer

  buyer
  may expect of the digital content regard is to be had to whether or not the digital content was supplied in exchange for the payment of a price
  or any counter-performance
  . [Am. 185]

Article 101

Incorrect installation under a consumer sales contract

1.   Where goods or digital content supplied under a consumer sales contract are incorrectly installed, any lack of conformity resulting from the incorrect installation is regarded as lack of conformity of the goods or the digital content if:

| (a) | the goods or the digital content were installed by the seller or under the seller’s responsibility; or |
| --- | --- |

(a)

the goods or the digital content were installed by the seller or under the seller’s responsibility; or

| (b) | the goods or the digital content were intended to be installed by the consumer and the incorrect installation was due to a shortcoming in the installation instructions. |
| --- | --- |

(b)

the goods or the digital content were intended to be installed by the consumer and the incorrect installation was due to a shortcoming in the installation instructions.

2.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 102

Third party rights or claims

1.   The goods must be free from and the digital content must be cleared of any right or not obviously unfounded claim of a third party.

2.   As regards rights or claims based on intellectual property, subject to paragraphs 3 and 4, the goods must be free from and the digital content must be cleared of any right or not obviously unfounded claim of a third party:

| (a) | under the law of the state where the goods or digital content will be used according to the contract or, in the absence of such an agreement, under the law of the state of the buyer's place of business or in contracts between a trader and a consumer the consumer's place of residence indicated by the consumer at the time of the conclusion of the contract; and |
| --- | --- |

(a)

under the law of the state where the goods or digital content will be used according to the contract or, in the absence of such an agreement, under the law of the state of the buyer's place of business or in contracts between a trader and a consumer the consumer's place of residence indicated by the consumer at the time of the conclusion of the contract; and

| (b) | which the seller knew of or could be expected to have known of at the time of the conclusion of the contract. |
| --- | --- |

(b)

which the seller knew of or could be expected to have known of at the time of the conclusion of the contract.

3.   In contracts between businesses, paragraph

  Paragraph
  2 does not apply

| (a) | in contracts between traders,
  where the buyer knew or could be expected to have known of the rights or claims based on intellectual property at the time of the conclusion of the contract.; |
| --- | --- |

(a)

in contracts between traders,
  where the buyer knew or could be expected to have known of the rights or claims based on intellectual property at the time of the conclusion of the contract.;

4.   
  (b)

  In

  in
  contracts between a trader and a consumer, paragraph 2 does not apply where the consumer knew of the rights or claims based on intellectual property at the time of the conclusion of the contract. [Am. 186]

5.   In contracts between a trader and a consumer, the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 103

Limitation on conformity of digital content

Digital content is not considered as not conforming to the contract for the sole reason that updated digital content has become available after the conclusion of the contract.
  [Am. 187]

Article 104

Buyer’s knowledge of lack of conformity in a contract between traders

In a contract between traders, the

  The
  seller is not liable for any lack of conformity of the goods if, at the time of the conclusion of the contract, the buyer knew or

  of that lack of conformity. In a contract between traders, that also applies if the buyer
  could not have been unaware of the lack of conformity. [Am. 188]

Article 105

Relevant time for establishing conformity

1.   The seller is liable for any lack of conformity which exists at the time when the risk passes to the buyer under Chapter 14.

2.   In a consumer sales contract
  between a trader and a consumer
  , any lack of conformity which becomes apparent within six months of the time when risk passes to the buyer is presumed to have existed at that time unless this is incompatible with the nature of the goods or digital content or with the nature of the lack of conformity. [Am. 189]

3.   In a case governed by point (a) of Article 101(1) any reference in paragraphs 1 or 2 of this Article to the time when risk passes to the buyer is to be read as a reference to the time when the installation is complete. In a case governed by point (b) of Article 101(1) it is to be read as a reference to the time when the consumer had reasonable time for the installation.

4.   Where the digital content must be subsequently updated by the trader,
  or where the trader supplies its components separately,
  the trader must ensure that the digital content remains in conformity with the contract throughout the duration of the contract. [Am. 190]

5.   In a contract between a trader and a consumer, the parties may not, to the detriment of a consumer, exclude the application of this Article or derogate from or vary its effect.

Chapter 11

The buyer’s remedies

Section 1

General provisions

Article 106

Overview of buyer’s remedies

1.   In the case of non-performance of an obligation by the seller, the buyer may
  , where the specific requirements for the respective remedies are met,
  do any of the following: [Am. 191]

| (a) | require performance, which includes specific performance, repair or replacement of the goods or digital content, under Section 3 of this Chapter; |
| --- | --- |

(a)

require performance, which includes specific performance, repair or replacement of the goods or digital content, under Section 3 of this Chapter;

| (b) | withhold the buyer’s own performance under Section 4 of this Chapter; |
| --- | --- |

(b)

withhold the buyer’s own performance under Section 4 of this Chapter;

| (c) | terminate the contract under Section 5 of this Chapter and claim the return of any price already paid, under Chapter 17; |
| --- | --- |

(c)

terminate the contract under Section 5 of this Chapter and claim the return of any price already paid, under Chapter 17;

| (d) | reduce the price under Section 6 of this Chapter; and |
| --- | --- |

(d)

reduce the price under Section 6 of this Chapter; and

| (e) | claim damages under Chapter 16. |
| --- | --- |

(e)

claim damages under Chapter 16.

2.   If the buyer is a trader:

| (a) | the buyer’s rights to exercise any remedy except withholding of performance are subject to cure by the seller as set out in Section 2 of this Chapter; and |
| --- | --- |

(a)

the buyer’s rights to exercise any remedy except withholding of performance are subject to cure by the seller as set out in Section 2 of this Chapter; and

| (b) | the buyer’s rights to rely on lack of conformity are subject to the requirements of examination and notification set out in Section 7 of this Chapter. |
| --- | --- |

(b)

the buyer’s rights to rely on lack of conformity are subject to the requirements of examination and notification set out in Section 7 of this Chapter.

3.   If the buyer is a consumer:

| (a) | the buyer’s rights are not subject to cure by the seller; and

  , except where they relate to goods or digital content which are manufactured, produced or modified in accordance with the consumer's specifications or which are clearly personalised; or [Am. 192] |
| --- | --- |

(a)

the buyer’s rights are not subject to cure by the seller; and

  , except where they relate to goods or digital content which are manufactured, produced or modified in accordance with the consumer's specifications or which are clearly personalised; or [Am. 192]

| (b) | the requirements of examination and notification set out in Section 7 of this Chapter do not apply. |
| --- | --- |

(b)

the requirements of examination and notification set out in Section 7 of this Chapter do not apply.

4.   If the seller’s non-performance is excused, the buyer may resort to any of the remedies referred to in paragraph 1 except requiring performance and damages.

5.   The buyer may not resort to any of the remedies referred to in paragraph 1 to the extent that the buyer caused the seller’s non-performance.

6.   Remedies which are not incompatible may be cumulated.

Article 107

Limitation of remedies for digital content not supplied in exchange for
  payment of
  a price
  or any other counter-performance

-
     
  1. Where digital content is supplied in exchange for a counter-performance other than the payment of a price, the buyer may resort to any of the remedies referred to in Article 106(1) except for price reduction under point (d) thereof.

1.
     Where digital content is not supplied in exchange for the payment of a price

  any counter-performance
  , the buyer may not resort to the remedies referred to in points (a) to (d) of Article 106(1) . The buyer may only claim damages under point (e) of Article 106 (1) for loss or damage caused to the buyer's property, including hardware, software and data, by the lack of conformity of the supplied digital content, except for any gain of which the buyer has been deprived by that damage. [Am. 193]

Article 108

Mandatory nature

In a contract between a trader and a consumer, the parties may not, to the detriment of the consumer, exclude the application of this Chapter, or derogate from or vary its effect before the lack of conformity is brought to the trader's attention by the consumer.

Section 2

Cure by the seller

Article 109

Cure by the seller

1.   A seller who has tendered performance early and who has been notified that the performance is not in conformity with the contract may make a new and conforming tender if that can be done within the time allowed for performance.

2.   In cases not covered by paragraph 1 a seller who has tendered a performance which is not in conformity with the contract may, without undue delay on being notified of the lack of conformity, offer to cure it at its own expense.

3.   An offer to cure is not precluded by notice of termination.

4.   The buyer may refuse an offer to cure only if:

| (-a) | where the buyer is a consumer, the buyer's remedies are not subject to cure by the seller under point (a) of Article 106(3); [Am. 194] |
| --- | --- |

(-a)

where the buyer is a consumer, the buyer's remedies are not subject to cure by the seller under point (a) of Article 106(3); [Am. 194]

| (a) | cure cannot be effected promptly and without significant inconvenience to the buyer; |
| --- | --- |

(a)

cure cannot be effected promptly and without significant inconvenience to the buyer;

| (b) | the buyer has reason to believe that the seller’s future performance cannot be relied on; or |
| --- | --- |

(b)

the buyer has reason to believe that the seller’s future performance cannot be relied on; or

| (c) | delay in performance would amount to a fundamental non-performance. |
| --- | --- |

(c)

delay in performance would amount to a fundamental non-performance.

5.   The seller has a reasonable period of time to effect cure.
  In contracts between a trader and a consumer, that reasonable period shall not exceed 30 days. [Am. 195]

6.   The buyer may withhold performance pending cure, but the rights of the buyer which are inconsistent with allowing the seller a period of time to effect cure are suspended until that period has expired.

7.   Notwithstanding cure, the buyer retains the right to claim damages
  under Chapter 16
  for delay as well as for any harm caused or not prevented by the cure. [Am. 196]

Section 3

Requiring performance

Article 110

Requiring performance of seller’s obligations

1.   The buyer is entitled to require performance of the seller’s obligations
  , which includes the remedying, free of charge, of a performance which is not in conformity with the contract
  . [Am. 197]

2.   The performance which may be required includes the remedying free of charge of a performance which is not in conformity with the contract.

3.   Performance cannot be required where:

| (a) | performance would be impossible or has become unlawful; or |
| --- | --- |

(a)

performance would be impossible or has become unlawful; or

| (b) | the burden or expense of performance would be disproportionate to the benefit that the buyer would obtain. |
| --- | --- |

(b)

the burden or expense of performance would be disproportionate to the benefit that the buyer would obtain.

Article 111

Consumer’s choice between repair and replacement

1.   Where, in a consumer sales contract, the trader is required to remedy a lack of conformity pursuant to Article 110(2)

  110,
  the consumer may choose between repair and replacement unless the option chosen would be unlawful or impossible or, compared to the other option available, would impose costs on the seller that would be disproportionate taking into account: [Am. 198]

| (a) | the value the goods would have if there were no lack of conformity; |
| --- | --- |

(a)

the value the goods would have if there were no lack of conformity;

| (b) | the significance of the lack of conformity; and |
| --- | --- |

(b)

the significance of the lack of conformity; and

| (c) | whether the alternative remedy could be completed without significant inconvenience to the consumer. |
| --- | --- |

(c)

whether the alternative remedy could be completed without significant inconvenience to the consumer.

2.   If the consumer has required the remedying of the lack of conformity by repair or replacement pursuant to paragraph 1, the consumer may resort to other remedies only if

| (a) | the trader has not completed repair or replacement within a reasonable time, not exceeding 30 days;. However, the consumer may withhold performance during that time. |
| --- | --- |

(a)

the trader has not completed repair or replacement within a reasonable time, not exceeding 30 days;. However, the consumer may withhold performance during that time.

| b) | the trader has implicitly or explicitly refused to remedy the lack of conformity; |
| --- | --- |

b)

the trader has implicitly or explicitly refused to remedy the lack of conformity;

| (c) | the same fault has occurred again following repair or replacement. [Am. 199] |
| --- | --- |

(c)

the same fault has occurred again following repair or replacement. [Am. 199]

Article 112

Return of replaced item

1.   Where the seller has remedied the lack of conformity by replacement, the seller has a right and an obligation to take back the replaced item at the seller’s expense.

2.   The buyer is not liable to pay for any use made of the replaced item in the period prior to the replacement.

Section 4

Withholding performance of buyer’s obligations

Article 113

Right to withhold performance

1.   A buyer who is to perform at the same time as, or after, the seller performs has a right to withhold performance until the seller has tendered performance or has performed.

2.   A buyer who is to perform before the seller performs and who reasonably believes that there will be non-performance by the seller when the seller’s performance becomes due may withhold performance for as long as the reasonable belief continues.

3.   The performance which may be withheld under this Article is the whole or part of the performance to the extent justified by the non-performance. Where the seller's obligations are to be performed in separate parts or are otherwise divisible, the buyer may withhold performance only in relation to that part which has not been performed, unless the seller's non-performance is such as to justify withholding the buyer's performance as a whole.

3a.
     
  In a contract between a trader and a consumer, the entire performance may be withheld, unless such withholding is disproportionate to the significance of the lack of conformity. [Am. 200]

Section 5

Termination

Article 114

Termination for non-performance

1.   A buyer may terminate the contract within the meaning of Article 8 if the seller’s non-performance under the contract is fundamental within the meaning of Article 87 (2).

2.   In a consumer sales contract and a contract for the supply of digital content between a trader and a consumer, where there is a non-performance because the goods do not conform to the contract, the consumer may terminate the contract unless the lack of conformity is insignificant.

Article 115

Termination for delay in delivery after notice fixing additional time for performance

1.   A buyer may terminate the contract in a case of delay in delivery which is not in itself fundamental if the buyer gives notice fixing an additional period of time of reasonable length for performance and the seller does not perform within that period.

2.   The additional period referred to in paragraph 1 is taken to be of reasonable length if the seller does not object to it without undue delay.

3.   Where the notice provides for automatic termination if the seller does not perform within the period fixed by the notice, termination takes effect after that period without further notice.

Article 116

Termination for anticipated non-performance

A buyer may terminate the contract before performance is due if the seller has declared, or it is otherwise clear, that there will be a non-performance, and if the non-performance would be such as to justify termination.

Article 117

Scope of right to terminate

1.   Where the seller’s obligations under the contract are to be performed in separate parts or are otherwise divisible, then if there is a ground for termination under this Section of a part to which a part of the price can be apportioned, the buyer may terminate only in relation to that part.

2.   Paragraph 1 does not apply if the buyer cannot be expected to accept performance of the other parts or the non-performance is such as to justify termination of the contract as a whole.

3.   Where the seller’s obligations under the contract are not divisible or a part of the price cannot be apportioned, the buyer may terminate only if the non-performance is such as to justify termination of the contract as a whole.

Article 118

Notice of termination

A right to terminate under this Section is exercised by notice to the seller.

Article 119

Loss of right to terminate

1.   The buyer loses the right to terminate under this Section if notice of termination is not given within a reasonable time

  two months
  from when the right arose or the buyer became, or
  , if the buyer is a trader that buyer
  could be expected to have become, aware of the non-performance, whichever is later.

2.   Paragraph 1 does not apply:

| (a) | where the buyer is a consumer; or |
| --- | --- |

(a)

where the buyer is a consumer; or

| (b) | where no performance at all has been tendered. [Am. 201] |
| --- | --- |

(b)

where no performance at all has been tendered. [Am. 201]

Section 6

Price reduction

Article 120

Right to reduce price

1.   A buyer who accepts a performance not conforming to the contract may reduce the price. The reduction is to be proportionate to the decrease in the value of what was received in performance at the time performance was made compared to the value of what would have been received by a conforming performance.

2.   A buyer who is entitled to reduce the price under paragraph 1 and who has already paid a sum exceeding the reduced price may recover the excess from the seller.

3.   A buyer who reduces the price cannot also recover damages
  under Chapter 16
  for the loss thereby compensated but remains entitled to damages for any further loss suffered. [Am. 202]

Section 7

Requirements of examination and notification in a contract between traders

Article 121

Examination of the goods in contracts between traders

1.   In a contract between traders the buyer is expected to examine the goods
  or digital content
  , or cause them to be examined, within as short a period as is reasonable not exceeding 14 days from the date of delivery of the goods, supply of digital content or provision of related services. [Am. 203]

2.   If the contract involves carriage of the goods, examination may be deferred until after the goods have arrived at their destination.

3.   If the goods are redirected in transit, or redispatched by the buyer before the buyer has had a reasonable opportunity to examine them, and at the time of the conclusion of the contract the seller knew or could be expected to have known of the possibility of such redirection or redispatch, examination may be deferred until after the goods have arrived at the new destination.

Article 122

Requirement of notification of lack of conformity in sales contracts between traders

1.   In a contract between traders the buyer may not rely on a lack of conformity if the buyer does not give notice to the seller within a reasonable time specifying the nature of the lack of conformity.
  However, the buyer may still reduce the price or claim damages, except for loss of profit, if he has a reasonable excuse for his failure to give the required notice. [Am. 204]

The time starts to run when the goods are supplied or when the buyer discovers or could be expected to discover the lack of conformity, whichever is later.

2.   The buyer loses the right to rely on a lack of conformity if the buyer does not give the seller notice of the lack of conformity within two years from the time at which the goods were actually handed over to the buyer in accordance with the contract.

3.   Where the parties have agreed that the goods must remain fit for a particular purpose or for their ordinary purpose during a fixed period of time, the period for giving notice under paragraph 2 does not expire before the end of the agreed period.

4.   Paragraph 2 does not apply in respect of the third party claims or rights referred to in Article 102.

5.   The buyer does not have to notify the seller that not all the goods have been delivered if the buyer has reason to believe that the remaining goods will be delivered.

6.   The seller is not entitled to rely on this Article if the lack of conformity relates to facts of which the seller knew or could be expected to have known and which the seller did not disclose to the buyer.

Chapter 12

The buyer's obligations

Section 1

General provisions

Article 123

Main obligations of the buyer

1.   The buyer must:

| (a) | pay the price; |
| --- | --- |

(a)

pay the price;

| (b) | take delivery of the goods or the digital content; and |
| --- | --- |

(b)

take delivery of the goods or the digital content; and

| (c) | take over documents representing or relating to the goods or documents relating to digital content as may be required by the contract. |
| --- | --- |

(c)

take over documents representing or relating to the goods or documents relating to digital content as may be required by the contract.

2.   
  For contracts for the supply of digital content:

| (a) | Point

  point
  (a) of paragraph 1 does not apply to contracts for the supply of digital content where the digital content is not supplied in exchange for the payment of a price; |
| --- | --- |

(a)

Point

  point
  (a) of paragraph 1 does not apply to contracts for the supply of digital content where the digital content is not supplied in exchange for the payment of a price;

| (b) | point (b) of paragraph 1 does not apply where the digital content is not supplied on a tangible medium
  . [Am. 205] |
| --- | --- |

(b)

point (b) of paragraph 1 does not apply where the digital content is not supplied on a tangible medium
  . [Am. 205]

Section 2

Payment of the price

Article 124

Means of payment

1.   Payment shall be made by the means of payment indicated by the contract terms or, if there is no such indication, by any means used in the ordinary course of business at the place of payment taking into account the nature of the transaction.

2.   A seller who accepts a cheque or other order to pay or a promise to pay is presumed to do so only on condition that it will be honoured. The seller may enforce the original obligation to pay if the order or promise is not honoured.

3.   The buyer’s original obligation is extinguished if the seller accepts a promise to pay from a third party with whom the seller has a pre-existing arrangement to accept the third party’s promise as a means of payment.

4.   In a contract between a trader and a consumer, the consumer is not liable, in respect of the use of a given means of payment, for fees that exceed the cost borne by the trader for the use of such means.

Article 125

Place of payment

1.   Where the place of payment cannot otherwise be determined it is the seller’s place of business at the time of conclusion of the contract.

2.   If the seller has more than one place of business, the place of payment is the place of business of the seller which has the closest relationship to the obligation to pay.

Article 126

Time of payment

1.   Payment of the price is due at the moment of delivery.

2.   The seller may reject an offer to pay before payment is due if it has a legitimate interest in so doing.

Article 127

Payment by a third party

1.   A buyer may entrust payment to another person. A buyer who entrusts payment to another person remains responsible for payment.

2.   The seller cannot refuse payment by a third party if:

| (a) | the third party acts with the assent of the buyer; or |
| --- | --- |

(a)

the third party acts with the assent of the buyer; or

| (b) | the third party has a legitimate interest in paying and the buyer has failed to pay or it is clear that the buyer will not pay at the time that payment is due. |
| --- | --- |

(b)

the third party has a legitimate interest in paying and the buyer has failed to pay or it is clear that the buyer will not pay at the time that payment is due.

3.   Payment by a third party in accordance with paragraphs 1 or 2 discharges the buyer from liability to the seller.

4.   Where the seller accepts payment by a third party in circumstances not covered by paragraphs 1 or 2 the buyer is discharged from liability to the seller but the seller is liable to the buyer
  under Chapter 16
  for any loss caused by that acceptance. [Am. 206]

Article 128

Imputation of payment

1.   Where a buyer has to make several payments to the seller and the payment made does not suffice to cover all of them, the buyer may at the time of payment notify the seller of the obligation to which the payment is to be imputed.

2.   If the buyer does not make a notification under paragraph 1 the seller may, by notifying the buyer within a reasonable time, impute the performance to one of the obligations.

3.   An imputation under paragraph 2 is not effective if it is to an obligation which is not yet due or is disputed.

4.   In the absence of an effective imputation by either party, the payment is imputed to that obligation which satisfies one of the following criteria in the sequence indicated:

| (a) | the obligation which is due or is the first to fall due; |
| --- | --- |

(a)

the obligation which is due or is the first to fall due;

| (b) | the obligation for which the seller has no or the least security; |
| --- | --- |

(b)

the obligation for which the seller has no or the least security;

| (c) | the obligation which is the most burdensome for the buyer; |
| --- | --- |

(c)

the obligation which is the most burdensome for the buyer;

| (d) | the obligation which arose first. |
| --- | --- |

(d)

the obligation which arose first.

If none of those criteria applies, the payment is imputed proportionately to all the obligations.

5.   The payment may be imputed under paragraph 2, 3 or 4 to an obligation which is unenforceable as a result of prescription only if there is no other obligation to which the payment could be imputed in accordance with those paragraphs.

6.   In relation to any one obligation a payment by the buyer is to be imputed, first, to expenses, secondly, to interest, and thirdly, to principal, unless the seller makes a different imputation.

Section 3

Taking delivery

Article 129

Taking delivery

The buyer fulfils the obligation to take delivery by:

| (a) | doing all the acts which could be expected in order to enable the seller to perform the obligation to deliver; and |
| --- | --- |

(a)

doing all the acts which could be expected in order to enable the seller to perform the obligation to deliver; and

| (b) | taking over the goods, or the documents representing the goods or digital content, as required by the contract. |
| --- | --- |

(b)

taking over the goods, or the documents representing the goods or digital content, as required by the contract.

Article 130

Early delivery and delivery of wrong quantity

1.   If the seller delivers the goods or supplies the digital content before the time fixed, the buyer must take delivery unless the buyer has a legitimate interest in refusing to do so.

2.   If the seller delivers a quantity of goods or digital content less than that provided for in the contract the buyer must take delivery unless the buyer has a legitimate interest in refusing to do so.

3.   If the seller delivers a quantity of goods or digital content greater than that provided for by the contract, the buyer may retain or refuse the excess quantity.

4.   If the buyer retains the excess quantity it is treated as having been supplied under the contract and must be paid for at the contractual rate.

5.   In a consumer sales contract paragraph 4 does not apply if the buyer reasonably believes that the seller has delivered the excess quantity intentionally and without error, knowing that it had not been ordered.

6.   This Article does not apply to contracts for the supply of digital content where the digital content is not supplied in exchange for the payment of a price.

Chapter 13

The seller’s remedies

Section 1

General provisions

Article 131

Overview of seller's remedies

1.   In the case of a non-performance of an obligation by the buyer, the seller may
  , where the specific criteria for the respective remedies are met,
  do any of the following: [Am. 207]

| (a) | require performance under Section 2 of this Chapter; |
| --- | --- |

(a)

require performance under Section 2 of this Chapter;

| (b) | withhold the seller’s own performance under Section 3 of this Chapter; |
| --- | --- |

(b)

withhold the seller’s own performance under Section 3 of this Chapter;

| (c) | terminate the contract under Section 4 of this Chapter; and |
| --- | --- |

(c)

terminate the contract under Section 4 of this Chapter; and

| (d) | claim interest on the price or damages under Chapter 16. |
| --- | --- |

(d)

claim interest on the price or damages under Chapter 16.

2.   If the buyer’s non-performance is excused, the seller may resort to any of the remedies referred to in paragraph 1 except requiring performance and damages. [Am. 208]

3.   The seller may not resort to any of the remedies referred to in paragraph 1 to the extent that the seller caused the buyer’s non-performance.

4.   Remedies which are not incompatible may be cumulated.

Section 2

Requiring performance

Article 132

Requiring performance of buyer’s obligations

1.   The seller is entitled to recover payment of the price when it is due, and to require performance of any other obligation undertaken by the buyer.

2.   Where the buyer has not yet taken over the goods or the digital content and it is clear that the buyer will be unwilling to receive performance, the seller may nonetheless require the buyer to take delivery, and may recover the price, unless the seller could have made a reasonable substitute transaction without significant effort or expense.

Section 3

Withholding performance of seller’s obligations

Article 133

Right to withhold performance

1.   A seller who is to perform at the same time as, or after, the buyer performs has a right to withhold performance until the buyer has tendered performance or has performed.

2.   A seller who is to perform before the buyer performs and who reasonably believes that there will be non-performance by the buyer when the buyer’s performance becomes due may withhold performance for as long as the reasonable belief continues. However, the right to withhold performance is lost if the buyer gives an adequate assurance of due performance or provides adequate security.

3.   The performance which may be withheld under this Article is the whole or part of the performance to the extent justified by the non-performance. Where the buyer's obligations are to be performed in separate parts or are otherwise divisible, the seller may withhold performance only in relation to that part which has not been performed, unless the buyer's non-performance is such as to justify withholding the seller's performance as a whole.

Section 4

Termination

Article 134

Termination for fundamental non-performance

A seller may terminate the contract within the meaning of Article 8 if the buyer’s non-performance under the contract is fundamental within the meaning of Article 87(2).

Article 135

Termination for delay after notice fixing additional time for performance

1.   A seller may terminate in a case of delay in performance which is not in itself fundamental if the seller gives a notice fixing an additional period of time of reasonable length for performance and the buyer does not perform within that period.

2.   The period is taken to be of reasonable length if the buyer does not object to it without undue delay. In relations between a trader and a consumer, the additional time for performance must not end before the 30 day period referred to Article 167(2).

3.   Where the notice provides for automatic termination if the buyer does not perform within the period fixed by the notice, termination takes effect after that period without further notice.

4.   In a consumer sales contract, the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Article 136

Termination for anticipated non-performance

A seller may terminate the contract before performance is due if the buyer has declared, or it is otherwise clear, that there will be a non-performance, and if the non-performance would be fundamental.

Article 137

Scope of right to terminate

1.   Where the buyer’s obligations under the contract are to be performed in separate parts or are otherwise divisible, then if there is a ground for termination under this Section of a part which corresponds to a divisible part of the seller’s obligations, the seller may terminate only in relation to that part.

2.   Paragraph 1 does not apply if the non-performance is fundamental in relation to the contract as a whole.

3.   Where the buyer’s obligations under the contract are not to be performed in separate parts, the seller may terminate only if the non-performance is fundamental in relation to the contract as a whole.

Article 138

Notice of termination

A right to terminate the contract under this Section is exercised by notice to the buyer.

Article 139

Loss of right to terminate

1.   Where performance has been tendered late or a tendered performance otherwise does not conform to the contract the seller loses the right to terminate under this Section unless notice of termination is given within a reasonable time from when the seller has become, or could be expected to have become, aware of the tender or the lack of conformity.

2.   A seller loses a right to terminate by notice under Articles 136 unless the seller gives notice of termination within a reasonable time after the right has arisen.

3.   Where the buyer has not paid the price or has not performed in some other way which is fundamental, the seller retains the right to terminate.

Chapter 14

Passing of risk

Section 1

General provisions

Article 140

Effect of passing of risk

Loss of, or damage to, the goods or the digital content after the risk has passed to the buyer does not discharge the buyer from the obligation to pay the price, unless the loss or damage is due to an act or omission of the seller.

Article 141

Identification of goods or digital content to contract

The risk does not pass to the buyer until the goods or the digital content are clearly identified as the goods or digital content to be supplied under the contract, whether by the initial agreement, by notice given to the buyer or otherwise.

Section 2

Passing of risk in consumer sales contracts

Article 142

Passing of risk in a consumer sales contract

1.   In a consumer sales contract, the risk passes at the time when the consumer or a third party designated by the consumer, not being the carrier, has acquired the physical possession of the goods or the tangible medium on which the digital content is supplied.

2.   In a contract for the supply of digital content not supplied on a tangible medium, the risk passes at the time when the consumer or a third party designated by the consumer for this purpose has obtained the control of the digital content.

3.   Except where the contract is a distance or off-premises contract, paragraphs 1 and 2 do not apply where the consumer fails to perform the obligation to take over the goods or the digital content and the non-performance is not excused under Article 88. In this case, the risk passes at the time when the consumer, or the third party designated by the consumer, would have acquired the physical possession of the goods or obtained the control of the digital content if the obligation to take them over had been performed.
  [Am. 209]

4.   Where the consumer arranges the carriage of the goods or the digital content supplied on a tangible medium and that choice was not offered by the trader, the risk passes when the goods or the digital content supplied on a tangible medium are handed over to the carrier, without prejudice to the rights of the consumer against the carrier.

5.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Section 3

Passing of risk in contracts between traders

Article 143

Time when risk passes

  Passing of risk in contracts between traders [Am. 210]

1.   In a contract between traders the risk passes when the buyer takes delivery of the goods or digital content or the documents representing the goods.

2.   Paragraph 1 is subject to Articles 144, 145 and 146

  If the goods or the digital content are placed at the buyer's disposal and the buyer is aware of this, the risk passes to the buyer at the time when the goods or digital content should have been taken over, unless the buyer was entitled to withhold taking of delivery pursuant to Article 113
  .

If the goods or the digital content are placed at the buyer's disposal at a place other than a place of business of the seller, the risk passes when delivery is due and the buyer is aware of the fact that the goods or digital content are placed at the buyer's disposal at that place. [Am. 211]

2a.
     
  In a contract of sale which involves the carriage of goods, regardless of whether the seller is authorised to retain documents controlling the disposition of the goods:

| (a) | if the seller is not bound to hand over the goods at a particular place, the risk passes to the buyer when the goods are handed over to the first carrier for transmission to the buyer in accordance with the contract; |
| --- | --- |

(a)

if the seller is not bound to hand over the goods at a particular place, the risk passes to the buyer when the goods are handed over to the first carrier for transmission to the buyer in accordance with the contract;

| (b) | if the seller is bound to hand over the goods to a carrier at a particular place, the risk does not pass to the buyer until the goods are handed over to the carrier at that place. [Am. 212] |
| --- | --- |

(b)

if the seller is bound to hand over the goods to a carrier at a particular place, the risk does not pass to the buyer until the goods are handed over to the carrier at that place. [Am. 212]

2b.
     
  Where goods are sold in transit the risk passes to the buyer as from the time when the goods were handed over to the first carrier or when the contract is concluded, depending on the circumstances. Risk does not pass to the buyer if, at the time of conclusion of the contract, the seller knew, or could be expected to have known, that the goods had been lost or damaged and did not disclose this to the buyer. [Am. 213]

Article 144

Goods placed at buyer’s disposal

1.   If the goods or the digital content are placed at the buyer’s disposal and the buyer is aware of this, the risk passes to the buyer at the time when the goods or digital content should have been taken over, unless the buyer was entitled to withhold taking of delivery pursuant to Article 113.

2.   If the goods or the digital content are placed at the buyer’s disposal at a place other than a place of business of the seller, the risk passes when delivery is due and the buyer is aware of the fact that the goods or digital content are placed at the buyer’s disposal at that place.
  [Am. 214]

Article 145

Carriage of the goods

1.   This Article applies to a contract of sale which involves carriage of goods.

2.   If the seller is not bound to hand over the goods at a particular place, the risk passes to the buyer when the goods are handed over to the first carrier for transmission to the buyer in accordance with the contract.

3.   If the seller is bound to hand over the goods to a carrier at a particular place, the risk does not pass to the buyer until the goods are handed over to the carrier at that place.

4.   The fact that the seller is authorised to retain documents controlling the disposition of the goods does not affect the passing of the risk.
  [Am. 215]

Article 146

Goods sold in transit

1.   This Article applies to a contract of sale which involves goods sold in transit.

2.   The risk passes to the buyer as from the time the goods were handed over to the first carrier. However, if the circumstances so indicate, the risk passes to the buyer when the contract is concluded.

3.   If at the time of the conclusion of the contract the seller knew or could be expected to have known that the goods had been lost or damaged and did not disclose this to the buyer, the loss or damage is at the risk of the seller.
  [Am. 216]

Part V

Obligations and remedies of the parties to a related service contract

Chapter 15

Obligations and remedies of the parties

Section 1

Application of certain general rules on sales contracts

Article 147

Application of certain general rules on sales contracts

1.   The rules in Chapter 9 apply for the purposes of this Part.

2.   Where a sales contract or a contract for the supply of digital content is terminated any related service contract is also terminated.

Section 2

Obligations of the service provider

Article 148

Obligation to achieve result and obligation of care and skill

1.   The service provider must achieve any specific result required by the contract.

2.   In the absence of any express or implied contractual obligation to achieve a specific result, the service provider must perform the related service with the care and skill which a reasonable service provider would exercise and in conformity with any statutory or other binding legal rules which are applicable to the related service.

3.   In determining the reasonable care and skill required of the service provider, regard is to be had, among other things, to:

| (a) | the nature, the magnitude, the frequency and the foreseeability of the risks involved in the performance of the related service for the customer; |
| --- | --- |

(a)

the nature, the magnitude, the frequency and the foreseeability of the risks involved in the performance of the related service for the customer;

| (b) | if damage has occurred, the costs of any precautions which would have prevented that damage or similar damage from occurring; and |
| --- | --- |

(b)

if damage has occurred, the costs of any precautions which would have prevented that damage or similar damage from occurring; and

| (c) | the time available for the performance of the related service. |
| --- | --- |

(c)

the time available for the performance of the related service.

4.   Where in a contract between a trader and a consumer the related service includes installation of the goods, the installation must be such that the installed goods conform to the contract as required by Article 101.

5.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of paragraph 2 or derogate from or vary its effects.

Article 149

Obligation to prevent damage

The service provider must take reasonable precautions in order to prevent any damage to the goods or the digital content, or physical injury or any other loss or damage in the course of or as a consequence of the performance of the related service.

Article 150

Performance by a third party

1.   A service provider may entrust performance to another person, unless personal performance by the service provider is required.

2.   A service provider who entrusts performance to another person remains responsible for performance.

3.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of paragraph 2 or derogate from or vary its effects.

Article 151

Obligation to provide invoice

Where a separate price is payable for the related service, and the price is not a lump sum agreed at the time of conclusion of the contract, the service provider must provide the customer with an invoice which explains, in a clear and intelligible way, how the price was calculated.

Article 152

Obligation to warn of unexpected or uneconomic cost

1.   The service provider must warn the customer and seek the consent of the customer to proceed if:

| (a) | the cost of the related service would be greater than already indicated by the service provider to the customer; or |
| --- | --- |

(a)

the cost of the related service would be greater than already indicated by the service provider to the customer; or

| (b) | the related service would cost more than the value of the goods or the digital content after the related service has been provided, so far as this is known to the service provider. |
| --- | --- |

(b)

the related service would cost more than the value of the goods or the digital content after the related service has been provided, so far as this is known to the service provider.

2.   A service provider who fails to obtain the consent of the customer in accordance with paragraph 1 is not entitled to a price exceeding the cost already indicated or, as the case may be, the value of the goods or digital content after the related service has been provided.

Section 3

Obligations of the customer

Article 153

Payment of the price

1.   The customer must pay any price that is payable for the related service in accordance with the contract.

2.   The price is payable when the related service is completed and the object of the related service is made available to the customer.

Article 154

Provision of access

Where it is necessary for the service provider to obtain access to the customer’s premises in order to perform the related service the customer must provide such access at reasonable hours.

Section 4

Remedies

Article 155

Remedies of the customer

1.   In the case of non-performance of an obligation by the service provider, the customer has, with the adaptations set out in this Article, the same remedies as are provided for the buyer in Chapter 11, namely:

| (a) | to require specific performance; |
| --- | --- |

(a)

to require specific performance;

| (b) | to withhold the customer’s own performance; |
| --- | --- |

(b)

to withhold the customer’s own performance;

| (c) | to terminate the contract; |
| --- | --- |

(c)

to terminate the contract;

| (d) | to reduce the price; and |
| --- | --- |

(d)

to reduce the price; and

| (e) | to claim damages
  under Chapter 16
  .[Am. 218] |
| --- | --- |

(e)

to claim damages
  under Chapter 16
  .[Am. 218]

2.   Without prejudice to paragraph 3, the customer's remedies are subject to a right of the service provider to cure whether or not the customer is a consumer. [Am. 219]

3.   In the case of incorrect installation under a consumer sales contract as referred to in Article 101 the consumer's remedies are not subject to a right of the service provider to cure.

4.   The customer, if a consumer, has the right to terminate the contract for any lack of conformity in the related service provided unless the lack of conformity is insignificant.

5.   Chapter 11 applies with the necessary adaptations, in particular:

| (a) | in relation to the right of the service provider to cure, in contracts between a trader and a consumer, the reasonable period under Article 109 (5) must not exceed 30 days;
  [Am. 220] |
| --- | --- |

(a)

in relation to the right of the service provider to cure, in contracts between a trader and a consumer, the reasonable period under Article 109 (5) must not exceed 30 days;
  [Am. 220]

| (b) | in relation to the remedying of a non-conforming performance Articles 111 and 112 do not apply; and
  [Am. 221] |
| --- | --- |

(b)

in relation to the remedying of a non-conforming performance Articles 111 and 112 do not apply; and
  [Am. 221]

| (c) | Article 156 applies instead of Article 122. |
| --- | --- |

(c)

Article 156 applies instead of Article 122.

Article 156

Requirement of notification of lack of conformity in related service contracts between traders

1.   In a related service contract between traders, the customer may rely on a lack of conformity only if the customer gives notice to the service provider within a reasonable time specifying the nature of the lack of conformity.

The time starts to run when the related service is completed or when the customer discovers or could be expected to discover the lack of conformity, whichever is later.

2.   The service provider is not entitled to rely on this Article if the lack of conformity relates to facts of which the service provider knew or could be expected to have known and which the service provider did not disclose to the customer.

Article 157

Remedies of the service provider

1.   In the case of a non-performance by the customer, the service provider has, with the adaptations set out in paragraph 2, the same remedies as are provided for the seller in Chapter 13, namely:

| (a) | to require performance; |
| --- | --- |

(a)

to require performance;

| (b) | to withhold the service provider’s own performance; |
| --- | --- |

(b)

to withhold the service provider’s own performance;

| (c) | to terminate the contract; and |
| --- | --- |

(c)

to terminate the contract; and

| (d) | to claim interest on the price or damages
  under Chapter 16
  . [Am. 222] |
| --- | --- |

(d)

to claim interest on the price or damages
  under Chapter 16
  . [Am. 222]

2.   Chapter 13 applies with the necessary adaptations. In particular Article 158 applies instead of Article 132(2).

Article 158

Customer’s right to decline performance

1.   The customer may at any time give notice to the service provider that performance, or further performance of the related service is no longer required.

2.   Where notice is given under paragraph 1:

| (a) | the service provider no longer has the right or obligation to provide the related service; and |
| --- | --- |

(a)

the service provider no longer has the right or obligation to provide the related service; and

| (b) | the customer, if there is no ground for termination under any other provision, remains liable to pay the price less the expenses that the service provider has saved or could be expected to have saved by not having to complete performance. |
| --- | --- |

(b)

the customer, if there is no ground for termination under any other provision, remains liable to pay the price less the expenses that the service provider has saved or could be expected to have saved by not having to complete performance.

3.   In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Part VI

Damages and interest

Chapter 16

Damages and interest

Section 1

Damages

Article 159

Right to damages

1.   A creditor is entitled to damages for loss caused by the non-performance of an obligation by the debtor, unless the non-performance is excused.

2.   The loss for which damages are recoverable includes future loss which the debtor could expect to occur.

Article 160

General measure of damages

The general measure of damages for loss caused by non-performance of an obligation is such sum as will put the creditor into the position in which the creditor would have been if the obligation had been duly performed, or, where that is not possible, as nearly as possible into that position. Such damages cover loss which the creditor has suffered and gain of which the creditor has been deprived.

Article 161

Foreseeability of loss

The debtor is liable only for loss which the debtor foresaw or could be expected to have foreseen at the time when the contract was concluded as a result of the non-performance.

Article 162

Loss attributable to creditor

The debtor is not liable for loss suffered by the creditor to the extent that the creditor contributed to the non-performance or its effects.

Article 163

Reduction of loss

1.   The debtor is not liable for loss suffered by the creditor to the extent that the creditor could have reduced the loss by taking reasonable steps.

2.   The creditor is entitled to recover any expenses reasonably incurred in attempting to reduce the loss.

Article 164

Substitute transaction

A creditor who has terminated a contract in whole or in part and has made a substitute transaction within a reasonable time and in a reasonable manner may, in so far as it is entitled to damages, recover the difference between the value of what would have been payable under the terminated contract and the value of what is payable under the substitute transaction, as well as damages for any further loss.

Article 165

Current price

Where the creditor has terminated the contract and has not made a substitute transaction but there is a current price for the performance, the creditor may, in so far as entitled to damages, recover the difference between the contract price and the price current at the time of termination as well as damages for any further loss.

Section 2

Interest on late payments: general provisions

Article 166

Interest on late payments

1.   Where payment of a sum of money is delayed, the creditor is entitled, without the need to give notice, to interest on that sum from the time when payment is due to the time of payment at the rate specified in paragraph 2.

2.   The interest rate for delayed payment is:

| (a) | where the creditor's habitual residence is in a Member State whose currency is the euro or in a third country, the rate applied by the European Central Bank to its most recent main refinancing operation carried out before the first calendar day of the half-year in question, or the marginal interest rate resulting from variable-rate tender procedures for the most recent main refinancing operations of the European Central Bank, plus two percentage points; |
| --- | --- |

(a)

where the creditor's habitual residence is in a Member State whose currency is the euro or in a third country, the rate applied by the European Central Bank to its most recent main refinancing operation carried out before the first calendar day of the half-year in question, or the marginal interest rate resulting from variable-rate tender procedures for the most recent main refinancing operations of the European Central Bank, plus two percentage points;

| (b) | where the creditor's habitual residence is in a Member State whose currency is not the euro, the equivalent rate set by the national central bank of that Member State, plus two percentage points. |
| --- | --- |

(b)

where the creditor's habitual residence is in a Member State whose currency is not the euro, the equivalent rate set by the national central bank of that Member State, plus two percentage points.

3.   The creditor may recover damages for any further loss.

Article 167

Interest when the debtor is a consumer

1.   When the debtor is a consumer, interest for delay in payment is due at the rate provided in Article 166 only when non-performance is not excused.

2.   Interest does not start to run until 30 days after the creditor has given notice to the debtor specifying the obligation to pay interest and its rate. Notice may be given before the date when payment is due.

3.   A term of the contract which fixes a rate of interest higher than that provided in Article 166, or accrual earlier than the time specified in paragraph 2 of this Article is not binding to the extent that this would be unfair according to Article 83.

4.   Interest for delay in payment cannot be added to capital in order to produce interest.

5.   The parties may not, to the detriment of the consumer, exclude the application of this Article or derogate from or vary its effects.

Section 3

Late payments by traders

Article 168

Rate of interest and accrual

1.   Where a trader delays the payment of a price due under a contract for the delivery of goods, supply of digital content or provision of related services without being excused by virtue of Article 88, interest is due at the rate specified in paragraph 5 of this Article.

2.   Interest at the rate specified in paragraph 5 starts to run on the day which follows the date or the end of the period for payment provided in the contract. If there is no such date or period, interest at that rate starts to run:

| (a) | 30 days after the date when the debtor receives the invoice or an equivalent request for payment; or |
| --- | --- |

(a)

30 days after the date when the debtor receives the invoice or an equivalent request for payment; or

| (b) | 30 days after the date of receipt of the goods, digital content or related services, if the date provided for in point (a) is earlier or uncertain, or if it is uncertain whether the debtor has received an invoice or equivalent request for payment. |
| --- | --- |

(b)

30 days after the date of receipt of the goods, digital content or related services, if the date provided for in point (a) is earlier or uncertain, or if it is uncertain whether the debtor has received an invoice or equivalent request for payment.

3.   Where conformity of goods, digital content or related services to the contract is to be ascertained by way of acceptance or examination, the 30 day period provided for in point (b) of paragraph 2 begins on the date of the acceptance or the date the examination procedure is finalised. The maximum duration of the examination procedure cannot exceed 30 days from the date of delivery of the goods, supply of digital content or provision of related services, unless the parties expressly agree otherwise and that agreement is not unfair according to Article 170.

4.   The period for payment determined under paragraph 2 cannot exceed 60 days, unless the parties expressly agree otherwise and that agreement is not unfair according to Article 170.

5.   The interest rate for delayed payment is:

| (a) | where the creditor's habitual residence is in a Member State whose currecy is the euro or in a third country, the interest rate applied by the European Central Bank to its most recent main refinancing operation carried out before the first calendar day of the half-year in question, or the marginal interest rate resulting from variable-rate tender procedures for the most recent main refinancing operations of the European Central Bank, plus eight percentage points; |
| --- | --- |

(a)

where the creditor's habitual residence is in a Member State whose currecy is the euro or in a third country, the interest rate applied by the European Central Bank to its most recent main refinancing operation carried out before the first calendar day of the half-year in question, or the marginal interest rate resulting from variable-rate tender procedures for the most recent main refinancing operations of the European Central Bank, plus eight percentage points;

| (b) | where the creditor's habitual residence is in a Member State whose currency is not the euro, the equivalent rate set by the national central bank of that Member State, plus eight percentage points. |
| --- | --- |

(b)

where the creditor's habitual residence is in a Member State whose currency is not the euro, the equivalent rate set by the national central bank of that Member State, plus eight percentage points.

6.   The creditor may recover damages for any further loss.

Article 169

Compensation for recovery costs

1.   Where interest is payable in accordance with Article 168, the creditor is entitled to obtain from the debtor, as a minimum, a fixed sum of EUR 40 or the equivalent sum in the currency agreed for the contract price as compensation for the creditor's recovery costs.

2.   The creditor is entitled to obtain from the debtor reasonable compensation for any recovery costs exceeding the fixed sum referred to in paragraph 1 and incurred due to the debtor's late payment.

Article 170

Unfair contract terms relating to interest for late payment

1.   A contract term relating to the date or the period for payment, the rate of interest for late payment or the compensation for recovery costs is not binding to the extent that the term is unfair. A term is unfair if it grossly deviates from good commercial practice, contrary to good faith and fair dealing, taking into account all circumstances of the case, including the nature of the goods, digital content or related service.

2.   For the purpose of paragraph 1, a contract term providing for a time or period for payment or a rate of interest less favourable to the creditor than the time, period or rate specified in Articles 167 or 168, or a term providing for an amount of compensation for recovery costs lower than the amount specified in Article 169 is presumed to be unfair.

3.   For the purpose of paragraph 1, a contract term excluding interest for late payment or compensation for recovery costs is always unfair.

Article 171

Mandatory nature

The parties may not exclude the application of this Section or derogate from or vary its effects.

Part VII

Restitution

Chapter 17

Restitution

Article 172

Restitution on

  in the event of
  avoidance, or termination
  or invalidity [Am. 223]

1.   Where a contract
  or part of a contract
  is avoided or terminated by either party
  or is invalid or not binding for reasons other than avoidance or termination
  , each party is obliged to return what that party (“‘the recipient’”) has received from the other party
  under the contract affected or part thereof
  . [Am. 224]

2.   The obligation to return what was received includes any natural and legal fruits derived from what was received.

2a.
     
  Restitution shall be made without undue delay and in any event not later than 14 days from receipt of the notice of avoidance or termination. Where the recipient is a consumer, this deadline shall be considered met if the consumer takes the necessary steps before the period of 14 days has expired. [Am. 225]

2b.
     
  The recipient bears the cost of returning what was received. [Am. 226]

2c.
     
  A party may withhold the performance of an obligation to return, where that party has a legitimate interest in doing so, for instance where this is necessary in order to ascertain the existence of a lack of conformity. [Am. 227]

2d.
     
  In the case of non-performance of an obligation to return or to pay under this Chapter by one party, the other party may claim damages under Articles 159 to 163. [Am. 228]

3.   On the termination of a contract for performance in instalments or parts, the return of what was received is not required in relation to any instalment or part where the obligations on both sides have been fully performed, or where the price for what has been done remains payable under Article 8(2), unless the nature of the contract is such that part performance is of no value to one of the parties.

Article 172a

Returning digital content and returning the counter-performance in the case of supply of digital content [Am. 229]

1.
     
  Digital content shall only be considered returnable where:

| (a) | the digital content was supplied on a tangible medium and the medium is still sealed or the seller did not seal it before delivery; or |
| --- | --- |

(a)

the digital content was supplied on a tangible medium and the medium is still sealed or the seller did not seal it before delivery; or

| (b) | it is otherwise clear that the recipient who sends back a tangible medium cannot have retained a usable copy of the digital content; or |
| --- | --- |

(b)

it is otherwise clear that the recipient who sends back a tangible medium cannot have retained a usable copy of the digital content; or

| (c) | the seller can, without significant effort or expense, prevent any further use of the digital content on the part of the recipient, for instance by deleting the recipient's user account. [Am. 230] |
| --- | --- |

(c)

the seller can, without significant effort or expense, prevent any further use of the digital content on the part of the recipient, for instance by deleting the recipient's user account. [Am. 230]

2.
     
  The recipient of digital content supplied on a tangible medium which is returnable in accordance with points (a) and (b) of paragraph 1 shall be considered to have fulfilled the obligation to return by sending back the tangible medium. [Am. 231]

3.
     
  Where digital content is supplied in exchange for a counter-performance other than the payment of a price, such as the provision of personal data, and that counter-performance cannot be returned, the recipient of the counter-performance shall refrain from further use of what was received, for instance by deleting received personal data. The consumer shall be informed of the deletion of personal data. [Am. 232]

Article 173

Payment for monetary value

1.   Where what was received, including fruits where relevant, cannot be returned, or, in a case of digital content whether or not it was supplied on a tangible medium, the recipient must pay its monetary value. Where the return is possible but would cause unreasonable effort or expense, the recipient may choose to pay the monetary value, provided that this would not harm the other party’s proprietary interests. [Am. 233]

2.   The monetary value of goods is the value that they would have had at the date when payment of the monetary value is to be made if they had been kept by the recipient without destruction or damage until that date.

3.   Where a related service contract is avoided or terminated by the customer after the related service has been performed or partly performed, the monetary value of what was received is the amount the customer saved by receiving the related service.

4.   In a case of digital content the monetary value of what was received is the amount the consumer saved by making use of the digital content.

5.   Where the recipient has obtained a substitute in money or in kind in exchange for goods or digital content when the recipient knew or could be expected to have known of the ground for avoidance or termination, the other party may choose to claim the substitute or the monetary value of the substitute. A recipient who has obtained a substitute in money or kind in exchange for goods or digital content when the recipient did not know and could not be expected to have known of the ground for avoidance or termination may choose to return the monetary value of the substitute or the substitute.
  [Am. 234]

6.   In the case of

  Where the
  digital content which is not supplied in exchange for the payment of a price, no restitution will be made

  but for a counter-performance other than the payment of a price or without counter-performance, and the digital content cannot be considered as returnable under Article 172a(1), the recipient of the digital content does not have to pay its monetary value
  . [Am. 235]

6a.
     
  Without prejudice to Article 172a(3), where the digital content is supplied in exchange for a counter-performance other than the payment of a price and that counter-performance cannot be returned, the recipient of the counter-performance does not have to pay its monetary value. [Am. 236]

Article 174

Payment for use and interest on money received
  and diminution in value [Am. 237]

1.   A recipient who has made use of goods
  or digital content
  must pay the other party the monetary value of that use for any period where:

| (a) | the recipient caused the ground for avoidance or termination; |
| --- | --- |

(a)

the recipient caused the ground for avoidance or termination;

| (b) | the recipient, prior to the start of that period, was aware of the ground for avoidance or termination; or |
| --- | --- |

(b)

the recipient, prior to the start of that period, was aware of the ground for avoidance or termination; or

| (c) | having regard to the nature of the goods
  or digital content
  , the nature and amount of the use and the availability of remedies other than termination, it would be inequitable to allow the recipient the free use of the goods
  or digital content
  for that period. [Am. 238] |
| --- | --- |

(c)

having regard to the nature of the goods
  or digital content
  , the nature and amount of the use and the availability of remedies other than termination, it would be inequitable to allow the recipient the free use of the goods
  or digital content
  for that period. [Am. 238]

2.   A recipient who is obliged to return money must pay interest, at the rate stipulated in Article 166, where:

| (a) | the other party is obliged to pay for use; or |
| --- | --- |

(a)

the other party is obliged to pay for use; or

| (b) | the recipient gave cause for the contract to be avoided because of fraud, threats and unfair exploitation. |
| --- | --- |

(b)

the recipient gave cause for the contract to be avoided because of fraud, threats and unfair exploitation.

3.   For the purposes of this Chapter, a recipient is not obliged to pay for use of goods
  or digital content
  received or interest on money received in any circumstances other than those set out in paragraphs 1
  , 1a
  and 2. [Am. 239]

3a.
     
  The recipient is liable under Articles 159 to 163 for any diminution in the value of the goods, the digital content or their fruits to the extent that the diminishment in value exceeds depreciation through regular use. [Am. 240]

3b.
     
  The payment for use or diminution in value shall not exceed the price agreed for the goods or the digital content. [Am. 241]

3c.
     
  Where the digital content is not supplied in exchange for the payment of a price, but for a counter-performance other than the payment of a price or without any counter-performance, the recipient of the digital content does not have to pay for use or diminished value. [Am. 242]

3d.
     
  Without prejudice to Article 172a(3), where the digital content is supplied in exchange for a counter-performance other than the payment of a price, the recipient of the counter-performance does not have to pay for use or diminished value of what was received. [Am. 243]

Article 175

Compensation for expenditure

1.   Where a recipient has incurred expenditure on goods or digital content
  or the fruits thereof
  , the recipient is entitled to compensation to the extent that the expenditure benefited the other party provided that the expenditure was made when the recipient did not know and could not be expected to know of the ground for avoidance or termination. [Am. 244]

2.   A recipient who knew or could be expected to know of the ground for avoidance or termination is entitled to compensation only for expenditure that was necessary to protect the goods or the digital content
  , or the fruits thereof,
  from being lost or diminished in value, provided that the recipient had no opportunity to ask the other party for advice. [Am. 245]

Article 176

Equitable modification

Any obligation to return or to pay under this Chapter may be modified to the extent that its performance would be grossly inequitable, taking into account in particular whether the party did not cause, or lacked knowledge of, the ground for avoidance or termination.

Article 177

Mandatory nature

In relations between a trader and a consumer the parties may not, to the detriment of the consumer, exclude the application of this Chapter or derogate from or vary its effects
  , before notice of avoidance or termination is given
  . [Am. 246]

Article 177a

Commercial guarantees

1.
     
  A commercial guarantee shall be binding on the guarantor under the conditions laid down in the guarantee statement. In the absence of a guarantee statement, or if the guarantee statement is less advantageous than advertised, the commercial guarantee shall be binding under the conditions laid down in the advertising relating to the commercial guarantee.

2.
     
  The guarantee statement shall be drafted in plain, intelligible language and shall be legible. It shall be drafted in the language of the contract concluded with the consumer and shall include the following:

| (a) | a statement of the rights of the consumer, as provided for in Chapter 11, and a clear statement that those rights are not affected by the commercial guarantee, and |
| --- | --- |

(a)

a statement of the rights of the consumer, as provided for in Chapter 11, and a clear statement that those rights are not affected by the commercial guarantee, and

| (b) | the terms of the commercial guarantee, in particular those relating to its duration, transferability and territorial scope, the name and address of the guarantor and, if different from the guarantor, the person against whom any claim is to be made and the procedure by which the claim is to be made. |
| --- | --- |

(b)

the terms of the commercial guarantee, in particular those relating to its duration, transferability and territorial scope, the name and address of the guarantor and, if different from the guarantor, the person against whom any claim is to be made and the procedure by which the claim is to be made.

3.
     
  If not otherwise provided for in the guarantee document, the guarantee is also binding without acceptance in favour of every owner of the goods within the duration of the guarantee.

4.
     
  At the consumer's request, the trader shall make the guarantee statement available in a durable medium.

5.
     
  Non compliance with paragraph 2, 3 or 4 shall not affect the validity of the guarantee. [Am. 247]

Part VIII

Prescription

Chapter 18

Prescription

Section 1

General provisions

Article 178

Rights subject to prescription

A right to enforce performance of an obligation, and any right ancillary to such a right,
  including the right to any remedy for non-performance except withholding performance,
  is subject to prescription by the expiry of a period of time in accordance with this Chapter. [Am. 248]

Section 2

Periods of prescription and their commencement

Article 179

Periods of prescription

1.   The short period of prescription is two years.

2.   The long period of prescription is ten

  six
  years or, in the case of a right to damages for personal injuries, thirty years. [Am. 249]

2a.
     
  Prescription takes effect when either of the two periods has expired, whichever is the earlier. [Am. 250]

Article 180

Commencement

1.   The short period of prescription begins to run from the time when the creditor has become, or could be expected to have become, aware of the facts as a result of which the right can be exercised.

2.   The long period of prescription begins to run from the time when the debtor has to perform or, in the case of a right to damages, from the time of the act which gives rise to the right.

3.   Where the debtor is under a continuing obligation to do or refrain from doing something, the creditor is regarded as having a separate right in relation to each non-performance of the obligation.

Section 3

Extension of periods of prescription

Article - 181

Suspension in the case of repair or replacement

1.
     
  Where a lack of conformity is remedied by repair or replacement, the running of the short period of prescription is suspended from the time when the creditor has informed the debtor of the lack of conformity.

2.
     
  Suspension lasts until the time when the non-conforming performance has been remedied. [Am. 251]

Article 181

Suspension in case of judicial and other proceedings

1.   The running of both periods of prescription is suspended from the time when judicial proceedings to assert the right are begun.

2.   Suspension lasts until a final decision has been made, or until the case has been otherwise disposed of. Where the proceedings end within the last six months of the prescription period without a decision on the merits, the period of prescription does not expire before six months have passed after the time when the proceedings ended.

3.   Paragraphs 1 and 2 apply, with appropriate adaptations, to arbitration proceedings, to mediation proceedings, to proceedings whereby an issue between two parties is referred to a third party for a binding decision and to all other proceedings initiated with the aim of obtaining a decision relating to the right or to avoid insolvency.

4.   Mediation means a structured process, however named or referred to, whereby two or more parties to a dispute attempt by themselves, on a voluntary basis, to reach an agreement on the settlement of their dispute with the assistance of a mediator. This process may be initiated by the parties or suggested or ordered by a court or prescribed by the national law. Mediation ends by an agreement of the parties or by declaration of the mediator or one of the parties.

Article 182

Postponement of expiry in the case of negotiations

If the parties negotiate about the right, or about circumstances from which a claim relating to the right might arise, neither period of prescription expires before one year has passed since the last communication made in the negotiations or since one of the parties communicated to the other that it does not wish to pursue the negotiations.

Article 183

Postponement of expiry in case of incapacity

If a person subject to an incapacity is without a representative, neither period of prescription of a right held by that person expires before one year has passed since either the incapacity has ended or a representative has been appointed.

Article 183a

Suspension in cases of force majeure

1.
     
  The running of the short period of prescription shall be suspended for the period during which the creditor is prevented from pursuing proceedings to assert the right by an impediment which is beyond the creditor's control and which the creditor could not reasonably have been expected to avoid or overcome.

2.
     
  Paragraph 1 shall apply only if the impediment arises, or subsists, within the last six months of the prescription period.

3.
     
  Where the duration or nature of the impediment is such that it would be unreasonable to expect the creditor to take proceedings to assert the right within the part of the period of prescription which has still to run after the suspension comes to an end, the period of prescription shall not expire before six months have passed after the impediment was removed. [Am. 252]

Section 4

Renewal of periods of prescription

Article 184

Renewal by acknowledgement

If the debtor acknowledges the right vis-à-vis the creditor, by part payment, payment of interest, giving of security, set-off or in any other manner, a new short period of prescription begins to run.

Section 5

Effects of prescription

Article 185

Effects of prescription

1.   After expiry of the relevant period of prescription the debtor is entitled to refuse performance of the obligation in question and the creditor loses all remedies for non-performance except withholding performance.

2.   Whatever has been paid or transferred by the debtor in performance of the obligation in question may not be reclaimed merely because the period of prescription had expired at the moment that the performance was carried out.

3.   The period of prescription for a right to payment of interest, and other rights of an ancillary nature, expires not later than the period for the principal right.

Section 6

Modification by agreement

Article 186

Agreements concerning prescription

1.   The rules of this Chapter may be modified by agreement between the parties, in particular by either shortening or lengthening the periods of prescription.

2.   The short period of prescription may not be reduced to less than one year or extended to more than ten years.

3.   The long period of prescription may not be reduced to less than one year or extended to more than thirty years.

4.   The parties may not exclude the application of this Article or derogate from or vary its effects.

5.   In a contract between a trader and a consumer this Article may not be applied to the detriment of the consumer.

Title III

Flanking measures [Am. 253]

Article 186a

Communication of judgments applying this Regulation

1.
     
  Member States shall ensure that final judgments of their courts applying the rules of this Regulation are communicated without undue delay to the Commission. [Am. 254]

2.
     
  The Commission shall set up a system which allows the information concerning the judgments referred to in paragraph 1 and relevant judgements of the Court of Justice of the European Union to be consulted. That system shall be accessible to the public. It shall be fully systematised and easily searchable. [Am. 255]

3.
     
  Judgments which are communicated under paragraph 1 shall be accompanied by a standard judgment summary comprising the following sections:

| (a) | the issue and the relevant article(s) of the Common European Sales Law; |
| --- | --- |

(a)

the issue and the relevant article(s) of the Common European Sales Law;

| (b) | a brief summary of the facts; |
| --- | --- |

(b)

a brief summary of the facts;

| (c) | a brief summary of the main arguments; |
| --- | --- |

(c)

a brief summary of the main arguments;

| (d) | the decision; and |
| --- | --- |

(d)

the decision; and

| (e) | the reasons for the decision, clearly stating the principle decided. [Am. 256] |
| --- | --- |

(e)

the reasons for the decision, clearly stating the principle decided. [Am. 256]

Article 186b

Alternative dispute resolution

1.
     
  In contracts between a consumer and a trader, parties are encouraged to consider submitting disputes arising from a contract for which they have agreed to use the Common European Sales Law to an ADR entity within the meaning of point (h) of Article 4(1) of Directive 2013/11/EU.

2.
     
  This Article shall not exclude or restrict the parties' right to refer their case at any moment to a court or tribunal instead of submitting their dispute to an ADR entity. [Am. 257]

Article 186c

Development of ‘European model contract terms’

1.
     
  As soon as possible and at the latest within three months of the entry into force of this Regulation, the Commission shall set up an expert group to assist it in developing ‘European model contract terms’ based on, and complementary to, the Common European Sales Law, and to foster its practical application.

2.
     
  The Commission shall endeavour, with the assistance of the expert group, to present first European model contract terms within [xxx] of the entry into force of this Regulation.

3.
     
  The expert group shall comprise members representing, in particular, the interests of users of the Common Sales Law within the Union. It may decide to set up specialist sub-groups to consider separate areas of commercial activity. [Am. 258]

Title IV

Final provisions [Am. 259]

Article 186d

Review

1.
     
  By ...

   (*3)

  , Member States shall provide the Commission with information relating to the application of this Regulation, covering in particular the level of acceptance of the Common European Sales Law, the extent to which its provisions have given rise to litigation and the state of play concerning differences in the level of consumer protection between the Common European Sales Law and national law. That information shall include a comprehensive overview of the case-law of the national courts interpreting the provisions of the Common European Sales Law.

2.
     
  By ...

   (*4)

  , the Commission shall present to the European Parliament, the Council and the Economic and Social Committee a detailed report reviewing the operation of this Regulation, and taking account of, inter alia, the need to extend the scope of the Common European Sales Law in relation to business-to-business contracts, market and technological developments in respect of digital content and future developments of the Union acquis. Particular consideration shall further be given to whether the limitation in respect of distance, and in particular online contracts, remains appropriate or whether it may be feasible to widen its scope to cover, inter alia, on-premises contracts. [Am. 260]

Article 186e

Amendment to Regulation (EC) No 2006/2004

In the Annex to Regulation (EC) No 2006/2004 of the European Parliament and of the Council

   (9)

  , the following point shall be added:

| ‘22. | Regulation (EU) No ... of the European Parliament and of the Council of ... on a Common European Sales Law (OJ L ...).’ [Am. 261] |
| --- | --- |

‘22.

Article 186f

Article 186f

Entry into force and application

Entry into force and application

1.
     
  This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

1.

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

2.
     
  It shall apply from ...

   (*5).

2.

It shall apply from ...

*5

This Regulation shall be binding in its entirety and directly applicable in the Member States. [Am. 262]

This Regulation shall be binding in its entirety and directly applicable in the Member States.

Done at ...

For the European Parliament

The President

For the Council

The President

---

(1)  OJ C 181, 21.6.2012, p. 75.

1

(2)  Position of the European Parliament of 26 February 2014.

2

(3)  Regulation (EC) No 593/2008 of the European Parliament and of the Council of 17 June 2008 on the law applicable to contractual obligations (OJ L 177, 4.7.2008, p. 6).

3

(4)  Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual obligations (OJ L 199, 31.7.2007, p. 40).

4

(5)  Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).

5

(6)  
  Directive 2005/29/EC of the European Parliament and of the Council of 11 May 2005 concerning unfair business-to-consumer commercial practices in the internal market (‘Unfair Commercial Practices Directive’) (OJ L 149, 11.6.2005, p. 22).

6

Directive 2005/29/EC of the European Parliament and of the Council of 11 May 2005 concerning unfair business-to-consumer commercial practices in the internal market (‘Unfair Commercial Practices Directive’) (OJ L 149, 11.6.2005, p. 22).

(7)  Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market (OJ L 376, 27.12.2006, p. 36).

7

(8)  
  Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR) (OJ L 165, 18.6.2013, p. 63).

8

Directive 2013/11/EU of the European Parliament and of the Council of 21 May 2013 on alternative dispute resolution for consumer disputes and amending Regulation (EC) No 2006/2004 and Directive 2009/22/EC (Directive on consumer ADR) (OJ L 165, 18.6.2013, p. 63).

(*1)  The table of contents will be established at a later stage.

*1

(*2)  One year after the date of application of this Regulation.

*2

(*3)  
  Four years after the date of application of this Regulation.

*3

Four years after the date of application of this Regulation.

(*4)  
  Five years after the date of application of this Regulation.

*4

Five years after the date of application of this Regulation.

(9)  
  Regulation (EC) No 2006/2004 of the European Parliament and of the Council of 27 October 2004 on cooperation between national authorities responsible for the enforcement of consumer protection laws (the Regulation on consumer protection cooperation) (OJ L 364, 9.12.2004, p. 1).

9

Regulation (EC) No 2006/2004 of the European Parliament and of the Council of 27 October 2004 on cooperation between national authorities responsible for the enforcement of consumer protection laws (the Regulation on consumer protection cooperation) (OJ L 364, 9.12.2004, p. 1).

(*5)  
  OJ: Please insert the date: 6 months after the entry into force of this Regulation.

*5

OJ: Please insert the date: 6 months after the entry into force of this Regulation.

Appendix 1

Model instructions on withdrawal

Right of withdrawal

You have the right to withdraw from this contract within 14 days without giving any reason.

The withdrawal period expires after 14 days from the day 1.

3

To meet the withdrawal deadline, it is sufficient for you to send your communication concerning your exercise of the right of withdrawal before the withdrawal period has expired.

Effects of withdrawal

4

5

6

Instructions for completion:

| 1 | Insert one of the following texts between inverted commas here:






  a) | in the case of a related service contract or a contract for the supply of water, gas or electricity, where they are not put up for sale in a limited volume or set quantity, of district heating or of digital content which is not supplied on a tangible medium: ‘of the conclusion of the contract.’; |
| --- | --- | --- |

1

Insert one of the following texts between inverted commas here:

a)

in the case of a related service contract or a contract for the supply of water, gas or electricity, where they are not put up for sale in a limited volume or set quantity, of district heating or of digital content which is not supplied on a tangible medium: ‘of the conclusion of the contract.’;

| b) | in the case of a sales contract: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the goods.’; |
| --- | --- |

b)

in the case of a sales contract: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the goods.’;

| c) | in the case of a contract relating to multiple goods ordered by the consumer in one order and delivered separately: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the last good.’; |
| --- | --- |

c)

in the case of a contract relating to multiple goods ordered by the consumer in one order and delivered separately: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the last good.’;

| d) | in the case of a contract relating to delivery of a good consisting of multiple lots or pieces: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the last lot or piece.’; |
| --- | --- |

d)

in the case of a contract relating to delivery of a good consisting of multiple lots or pieces: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the last lot or piece.’;

| e) | in the case of a contract for regular delivery of goods during a defined period of time: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the first good.’. |
| --- | --- |

e)

in the case of a contract for regular delivery of goods during a defined period of time: ‘on which you acquire, or a third party other than the carrier and indicated by you acquires, physical possession of the first good.’.

| 2 | Insert your name, geographical address and, where available, your telephone number, fax number and e-mail address. |
| --- | --- |

2

Insert your name, geographical address and, where available, your telephone number, fax number and e-mail address.

| 3 | If you give the option to the consumer to electronically fill in and submit information about his or her withdrawal from the contract on your website, insert the following: ‘You can also electronically fill in and submit the model withdrawal form or any other clear statement on our website [insert internet address]. If you use this option, we will communicate to you an acknowledgement of receipt of such a withdrawal on a durable medium (e.g. by e-mail) without delay.’ |
| --- | --- |

3

If you give the option to the consumer to electronically fill in and submit information about his or her withdrawal from the contract on your website, insert the following: ‘You can also electronically fill in and submit the model withdrawal form or any other clear statement on our website [insert internet address]. If you use this option, we will communicate to you an acknowledgement of receipt of such a withdrawal on a durable medium (e.g. by e-mail) without delay.’

| 4 | In the case of sales contracts in which you have not offered to collect the goods in the event of withdrawal insert the following: ‘We may withhold reimbursement until we have received the goods back or you have supplied evidence of having sent back the goods, whichever is the earliest’. |
| --- | --- |

4

In the case of sales contracts in which you have not offered to collect the goods in the event of withdrawal insert the following: ‘We may withhold reimbursement until we have received the goods back or you have supplied evidence of having sent back the goods, whichever is the earliest’.

| 5 | If the consumer has received goods in connection with the contract, insert the following:






  a | insert:
  ‘We will collect the goods.’; or
  ‘You shall send back the goods or hand them over to us or ____[insert the name and geographical address, where applicable, of the person authorised by you to receive the goods], without undue delay and in any event not later than 14 days from the day on which you communicate your withdrawal from this contract to us. The deadline is met if you send back the goods before the period of 14 days has expired.’ |
| --- | --- | --- |

5

If the consumer has received goods in connection with the contract, insert the following:

a

insert:

‘We will collect the goods.’; or

‘You shall send back the goods or hand them over to us or ____[insert the name and geographical address, where applicable, of the person authorised by you to receive the goods], without undue delay and in any event not later than 14 days from the day on which you communicate your withdrawal from this contract to us. The deadline is met if you send back the goods before the period of 14 days has expired.’

| b | insert either:
  ‘We will bear the cost of returning the goods.’; or
  ‘You will have to bear the direct cost of returning the goods.’; or
  If, in a distance contract, you do not offer to bear the cost of returning the goods and the goods, by their nature, cannot normally be returned by post: ‘You will have to bear the direct cost of returning the goods, ___ EUR [insert the amount].’; or if the cost of returning the goods cannot reasonably be calculated in advance: ‘You will have to bear the direct cost of returning the goods. The cost is estimated to a maximum of approximately ___ EUR[insert the amount]’; or
  If, in an off-premises contract, the goods, by their nature, cannot normally be returned by post and have been delivered to the consumer’s home at the time of the conclusion of the contract: ‘We will collect the goods at our own expense.’
  [Am. 263] |
| --- | --- |

b

insert either:

‘We will bear the cost of returning the goods.’; or

‘You will have to bear the direct cost of returning the goods.’; or

If, in a distance contract, you do not offer to bear the cost of returning the goods and the goods, by their nature, cannot normally be returned by post: ‘You will have to bear the direct cost of returning the goods, ___ EUR [insert the amount].’; or if the cost of returning the goods cannot reasonably be calculated in advance: ‘You will have to bear the direct cost of returning the goods. The cost is estimated to a maximum of approximately ___ EUR[insert the amount]’; or

If, in an off-premises contract, the goods, by their nature, cannot normally be returned by post and have been delivered to the consumer’s home at the time of the conclusion of the contract: ‘We will collect the goods at our own expense.’

[Am. 263]

| c | ‘You are only liable for any diminished value of the goods resulting from the handling other than what is necessary to establish the nature, characteristics and functioning of the goods.’ |
| --- | --- |

c

‘You are only liable for any diminished value of the goods resulting from the handling other than what is necessary to establish the nature, characteristics and functioning of the goods.’

| 6 | In the case of a contract for the provision of related services insert the following: ‘If you requested to begin the performance of related services during the withdrawal period, you shall pay us an amount which is in proportion to what has been provided until you have communicated us your withdrawal from this contract, in comparison with the full coverage of the contract.’. |
| --- | --- |

6

In the case of a contract for the provision of related services insert the following: ‘If you requested to begin the performance of related services during the withdrawal period, you shall pay us an amount which is in proportion to what has been provided until you have communicated us your withdrawal from this contract, in comparison with the full coverage of the contract.’.

Appendix 2

Model withdrawal form

(complete and return this form only if you wish to withdraw from the contract)

To [here the trader’s name, geographical address and, where available, his fax number and e-mail address are to be inserted by the trader]:

I/We (*1) hereby give notice that I/We (*1) withdraw from my/our (*1) contract of sale of the following goods (*1)/for the supply of the following digital content/for the provision of the following related service (*1)

Ordered on (*1)/received on (*1)

Name of consumer(s)

Address of consumer(s) (*1)

Signature of consumer(s) (only if this form is notified on paper)

Date

---

(*1)  Delete as appropriate.

ANNEX

STANDARD INFORMATION NOTICE

The contract you are about to conclude will be governed by the Common European Sales Law, which is an alternative system of national contract law available to consumers in cross-border situations. These common rules are identical throughout the European Union, and have been designed to provide consumers with a high level of protection.

These rules only apply if you mark your agreement that the contract is governed by the Common European Sales Law.

You may also have agreed to a contract on the telephone or in any other way (such as by SMS) that did not allow you to get this notice beforehand. In this case the contract will only become valid after you have received this notice and confirmed your consent.

Your core rights are described below.

THE COMMON EUROPEAN SALES LAW: SUMMARY OF KEY CONSUMER RIGHTS

Your rights before signing the contract

The trader has to give you the important information on the contract, for instance on the product and its price including all taxes and charges and his contact details. The information has to be more detailed when you buy something outside the trader's shop or if you do not meet the trader personally at all, for instance if you buy online or by telephone. You are entitled to damages if this information is incomplete or wrong. [Am. 264]

Your rights after signing the contract

In most cases you have 14 days to withdraw from the purchase if you bought the goods outside the trader's shop or if you have not met the trader up to the time of the purchase (for instance if you bought online or by telephone). The trader must provide you with information and a Model withdrawal
  form

   (1). If the trader has not done so, you can cancel the contract within one year.

What can you do when products are faulty or not delivered as agreed? You are entitled to choose between: 1) having the product delivered 2) replaced or 3) repaired. 4) Ask for a price reduction. 5) You can cancel the contract, return the product and get a refund, except if the defect is very small. 6) You can claim damages for your loss. You do not have to pay the price until you get the product without defects.

If the trader has not performed a related service as promised in the contract, you have similar rights. However, after you have complained to the trader, he normally has the right to first try to do the job correctly. Only if the trader fails again you have a choice between 1) asking the trader again to provide the related service, 2) not paying the price until you get the related service supplied correctly, 3) requesting a price reduction or 4) claiming damages. 5) You can also cancel the contract and get a refund, except if the failure in providing the related service is very small. Period to claim your rights when products are faulty or not delivered as agreed: You have 2 years to claim your rights after you realise or should have realised that the trader has not done something as agreed in the contract. Where such problems become apparent very late, the last possible moment for you to make such a claim is 10 years from the moment the trader had to deliver the goods, supply the digital content or provide the related service.

Unfair terms protection: Trader's standard contract terms which are unfair are not legally binding for you.

This list of rights is only a summary and therefore not exhaustive, nor does it contain all details. You can consult the full text of the Common European Sales Law here. Please read your contract carefully.

In case of dispute you may wish to ask for legal advice.

---

(1)  Insert a link here.

---

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| --- | --- | --- | --- |

29.8.2017

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Official Journal of the European Union

C 285/725

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P7_TA(2014)0160

Manufacture, presentation and sale of tobacco and related products ***I

European Parliament legislative resolution of 26 February 2014 on the proposal for a directive of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products (COM(2012)0788 — C7-0420/2012 — 2012/0366(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/65)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0788), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0788),

| — | having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0420/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 114 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0420/2012),

| — | having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis, |
| --- | --- |

—

having regard to the opinion of the Committee on Legal Affairs on the proposed legal basis,

| — | having regard to Article 294(3) and Articles 53(1), 62 and 114 of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) and Articles 53(1), 62 and 114 of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the Committee on Legal Affairs on the use of delegated acts, |
| --- | --- |

—

having regard to the opinion of the Committee on Legal Affairs on the use of delegated acts,

| — | having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Czech Chamber of Deputies, Danish Parliament, Greek Parliament, Italian Chamber of Deputies, Italian Senate, Portuguese Parliament, Romanian Chamber of Deputies, Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

having regard to the reasoned opinions submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Czech Chamber of Deputies, Danish Parliament, Greek Parliament, Italian Chamber of Deputies, Italian Senate, Portuguese Parliament, Romanian Chamber of Deputies, Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Economic and Social Committee of 4 July 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 4 July 2013 (1),

| — | having regard to the opinion of the Committee of the Regions of 3 July 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 July 2013 (2),

| — | having regard to the undertaking given by the Council representative by letter of 18 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 18 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rules 55, 37 and 37a of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55, 37 and 37a of its Rules of Procedure,

| — | having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on International Trade, the Committee on Industry, Research and Energy, the Committee on the Internal Market and Consumer Protection, the Committee on Agriculture and Rural Development and the Committee on Legal Affairs (A7-0276/2013), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on International Trade, the Committee on Industry, Research and Energy, the Committee on the Internal Market and Consumer Protection, the Committee on Agriculture and Rural Development and the Committee on Legal Affairs (A7-0276/2013),

| 1. | Adopts its position at first reading hereinafter set out (3); |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out (3);

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

(1)  OJ C 327, 12.11.2013, p. 65.

(2)  OJ C 280, 27.9.2013, p. 57.

(3)  This position replaces the amendments adopted on 8 October 2013 (Texts adopted P7_TA(2013)0398).

---

P7_TC1-COD(2012)0366

Position of the European Parliament adopted at first reading on 26 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products and repealing Directive 2001/37/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2014/40/EU.)

---

Thursday 27 February 2014

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29.8.2017

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Official Journal of the European Union

C 285/727

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P7_TA(2014)0165

European Investigation Order ***I

European Parliament legislative resolution of 27 February 2014 on the draft directive of the European Parliament and of the Council regarding the European Investigation Order in criminal matters (09288/2010 — C7-0185/2010 — 2010/0817(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/66)

The European Parliament,

| — | having regard to the initiative emanating from a group of Member States submitted to Parliament and the Council (09288/2010), |
| --- | --- |

—

having regard to the initiative emanating from a group of Member States submitted to Parliament and the Council (09288/2010),

| — | having regard to Article 76(b) and Article 82(1)(a) of the Treaty on the Functioning of the European Union, pursuant to which the draft act was submitted to Parliament (C7-0185/2010), |
| --- | --- |

—

having regard to Article 76(b) and Article 82(1)(a) of the Treaty on the Functioning of the European Union, pursuant to which the draft act was submitted to Parliament (C7-0185/2010),

| — | having regard to Article 294(3) and (15) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) and (15) of the Treaty on the Functioning of the European Union,

| — | having regard to the undertaking given by the Council representative by letter of 5 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 5 December 2013 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rules 44 and 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 44 and 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0477/2013), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0477/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

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

2.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2010)0817

Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Directive 2014/.../EU of the European Parliament and of the Council regarding the European Investigation Order in criminal matters

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2014/41/EU.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/728 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/728

---

P7_TA(2014)0166

Visa requirements for third-countries nationals ***I

European Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement (COM(2013)0853 — C7-0430/2013 — 2013/0415(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/67)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0853), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0853),

| — | having regard to Article 294(2) and Article 77(2)(a) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0430/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 77(2)(a) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0430/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the undertaking given by the Council representative by letter of 13 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 13 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0104/2014), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0104/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2013)0415

Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 259/2014.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/729 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/729

---

P7_TA(2014)0167

EU-Indonesia voluntary partnership agreement on forest law enforcement, governance and trade in timber products to the EU ***

European Parliament legislative resolution of 27 February 2014 on the draft Council decision on the conclusion of the Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products to the European Union (11767/1/2013 — C7-0344/2013 — 2013/0205(NLE))

(Consent)

(2017/C 285/68)

The European Parliament,

| — | having regard to the draft Council decision (11767/1/2013), |
| --- | --- |

—

having regard to the draft Council decision (11767/1/2013),

| — | having regard to the draft Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (11769/1/2013), |
| --- | --- |

—

having regard to the draft Voluntary Partnership Agreement between the European Union and the Republic of Indonesia on forest law enforcement, governance and trade in timber products into the European Union (11769/1/2013),

| — | having regard to the request for consent submitted by the Council in accordance with Article 207(3), first subparagraph, Article 207(4), first subparagraph, Article 218(6), second subparagraph, point (a)(v), and Article 218(7) of the Treaty on the Functioning of the European Union (C7-0344/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 207(3), first subparagraph, Article 207(4), first subparagraph, Article 218(6), second subparagraph, point (a)(v), and Article 218(7) of the Treaty on the Functioning of the European Union (C7-0344/2013),

| — | having regard to Rules 81 and 90(7) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81 and 90(7) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on Development (A7-0043/2014), |
| --- | --- |

—

having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on Development (A7-0043/2014),

| 1. | Consents to conclusion of the agreement; |
| --- | --- |

1.

Consents to conclusion of the agreement;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Republic of Indonesia.

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/730 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/730

---

P7_TA(2014)0168

Control of persons at external borders ***I

European Parliament legislative resolution of 27 February 2014 on the proposal for a decision of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Croatia and Cyprus of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and Decision No 582/2008/EC of the European Parliament and the Council (COM(2013)0441 — C7-0186/2013 — 2013/0210(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/69)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0441), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0441),

| — | having regard to Article 294(2) and points (a) and (b) of Article 77(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0186/2013), |
| --- | --- |

—

having regard to Article 294(2) and points (a) and (b) of Article 77(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0186/2013),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the undertaking given by the Council representative by letter of 5 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 5 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0082/2014), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0082/2014),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 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, the Commission and the national parliaments. |
| --- | --- |

3.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2013)0210

Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Decision No .../2014/EU of the European Parliament and of the Council introducing a simplified regime for the control of persons at the external borders based on the unilateral recognition by Bulgaria, Croatia, Cyprus and Romania of certain documents as equivalent to their national visas for transit through or intended stays on their territories not exceeding 90 days in any 180-day period and repealing Decision No 895/2006/EC and No 582/2008/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Decision No 565/2014/EU.)

---

| 29.8.2017 | EN | Official Journal of the European Union | C 285/731 |
| --- | --- | --- | --- |

29.8.2017

EN

Official Journal of the European Union

C 285/731

---

P7_TA(2014)0169

Third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement ***I

European Parliament legislative resolution of 27 February 2014 on the proposal for a regulation of the European Parliament and of the Council amending regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders of Member States and those whose nationals are exempt from that requirement (COM(2012)0650 — C7-0371/2012 — 2012/0309(COD))

(Ordinary legislative procedure: first reading)

(2017/C 285/70)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0650), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0650),

| — | having regard to Article 294(2) and Article 77(2)(a) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0371/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 77(2)(a) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0371/2012),

| — | having regard to Article 294(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the undertaking given by the Council representative by letter of 5 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to the undertaking given by the Council representative by letter of 5 February 2014 to approve Parliament’s position, in accordance with Article 294(4) of the Treaty on the Functioning of the European Union,

| — | having regard to Rule 55 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 of its Rules of Procedure,

| — | having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0373/2013), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0373/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the statement by Parliament, the Council and the Commission annexed to this resolution; |
| --- | --- |

2.

Approves the statement by Parliament, the Council and the Commission annexed to this resolution;

| 3. | Takes note of the statement by the Commission annexed to this resolution; |
| --- | --- |

3.

Takes note of the statement by the Commission annexed to this resolution;

| 4. | 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; |
| --- | --- |

4.

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;

| 5. | Instructs its President to forward its position to the Council, the Commission and the national parliaments. |
| --- | --- |

5.

Instructs its President to forward its position to the Council, the Commission and the national parliaments.

---

P7_TC1-COD(2012)0309

Position of the European Parliament adopted at first reading on 27 February 2014 with a view to the adoption of Regulation (EU) No .../2014 of the European Parliament and of the Council amending Council Regulation (EC) No 539/2001 listing the third countries whose nationals must be in possession of visas when crossing the external borders and those whose nationals are exempt from that requirement

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 509/2014.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

European Parliament, Council and Commission statement on the further assessment of Colombia and Peru

The European Parliament and the Council recognise the need for a further assessment of the fulfilment by Colombia and Peru of the relevant criteria before the Commission presents recommendations to the Council for decisions authorising the opening of negotiations on visa waiver agreements with those countries.

The Commission commits to proceed with those assessments without delay and to transmit them to the European Parliament and to the Council as soon as possible after the entry into force of this Regulation.

The European Parliament and the Council take note of that commitment by the Commission.

Commission statement on informing the European Parliament

The Commission welcomes the adoption by the European Parliament and the Council of its proposal amending Regulation (EC) No 539/2001 aimed at updating the Annexes containing the lists of third countries whose nationals are subject to, or exempt from, the visa requirement.

In accordance with the Framework Agreement of 20 October 2010 on relations between the European Parliament and the European Commission, and in particular point 23 thereof, the Commission reiterates its commitment to inform the European Parliament regularly about the conduct of negotiations on visa waiver agreements arising from the transfer of certain countries to Annex II to Regulation (EC) No 539/2001. The Commission will present updates to the relevant bodies in the European Parliament at least twice a year.

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