# Official Journal C 436/24 N

| | ISSN 1977-091X |
| --- | --- |
| Official Journal
  of the European Union | C 436 |
| | |
| English edition | Information and Notices | Volume 5924 November 2016 |

ISSN 1977-091X

Official Journal

of the European Union

C 436

English edition

Information and Notices

Volume 5924 November 2016

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| Notice No | Contents | page |
| --- | --- | --- |
| | |
| | EUROPEAN PARLIAMENT
  2013-2014 SESSIONSittings of 18 to 21 November 2013
  The Minutes of this session have been published in
  OJ C 53 E, 25.2.2014 .TEXTS ADOPTED | 1 |

Notice No

Contents

page

EUROPEAN PARLIAMENT
  2013-2014 SESSIONSittings of 18 to 21 November 2013
  The Minutes of this session have been published in
  OJ C 53 E, 25.2.2014 .TEXTS ADOPTED

EUROPEAN PARLIAMENT

The Minutes of this session have been published in

OJ C 53 E, 25.2.2014

1

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| | I   Resolutions, recommendations and opinions |
| --- | --- |
| | RESOLUTIONS |
| | European Parliament |
| | Wednesday 20 November 2013 |
| 2016/C 436/01 | European Parliament resolution of 20 November 2013 on the location of the seats of the European Union’s Institutions (2012/2308(INI)) | 2 |
| | Thursday 21 November 2013 |
| 2016/C 436/02 | European Parliament resolution of 21 November 2013 on the state of play of the Doha Development Agenda and preparations for the Ninth WTO Ministerial Conference (2013/2740(RSP)) | 6 |
| 2016/C 436/03 | European Parliament resolution of 21 November 2013 on the Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe (2013/2532(RSP)) | 11 |
| 2016/C 436/04 | European Parliament resolution of 21 November 2013 on the implementation of the Common Security and Defence Policy (based on the Annual Report from the Council to the European Parliament on the Common Foreign and Security Policy) (14605/1/2012 — 2013/2105(INI)) | 17 |
| 2016/C 436/05 | European Parliament resolution of 21 November 2013 on the European Defence Technological and Industrial Base (2013/2125(INI)) | 26 |
| 2016/C 436/06 | European Parliament resolution of 21 November 2013 on the Commission communication entitled Strengthening the social dimension of the Economic and Monetary Union (EMU) (2013/2841(RSP)) | 35 |
| 2016/C 436/07 | European Parliament resolution of 21 November 2013 on Bangladesh: human rights and forthcoming elections (2013/2951(RSP)) | 39 |
| 2016/C 436/08 | European Parliament resolution of 21 November 2013 on Qatar: situation of migrant workers (2013/2952(RSP)) | 42 |
| 2016/C 436/09 | European Parliament resolution of 21 November 2013 on fair justice in Bolivia, in particular the cases of Előd Tóásó and Mario Tadić (2013/2953(RSP)) | 45 |

I   Resolutions, recommendations and opinions

RESOLUTIONS

European Parliament

Wednesday 20 November 2013

2016/C 436/01

European Parliament resolution of 20 November 2013 on the location of the seats of the European Union’s Institutions (2012/2308(INI))

2

Thursday 21 November 2013

2016/C 436/02

European Parliament resolution of 21 November 2013 on the state of play of the Doha Development Agenda and preparations for the Ninth WTO Ministerial Conference (2013/2740(RSP))

6

2016/C 436/03

European Parliament resolution of 21 November 2013 on the Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe (2013/2532(RSP))

11

2016/C 436/04

European Parliament resolution of 21 November 2013 on the implementation of the Common Security and Defence Policy (based on the Annual Report from the Council to the European Parliament on the Common Foreign and Security Policy) (14605/1/2012 — 2013/2105(INI))

17

2016/C 436/05

European Parliament resolution of 21 November 2013 on the European Defence Technological and Industrial Base (2013/2125(INI))

26

2016/C 436/06

European Parliament resolution of 21 November 2013 on the Commission communication entitled Strengthening the social dimension of the Economic and Monetary Union (EMU) (2013/2841(RSP))

35

2016/C 436/07

European Parliament resolution of 21 November 2013 on Bangladesh: human rights and forthcoming elections (2013/2951(RSP))

39

2016/C 436/08

European Parliament resolution of 21 November 2013 on Qatar: situation of migrant workers (2013/2952(RSP))

42

2016/C 436/09

European Parliament resolution of 21 November 2013 on fair justice in Bolivia, in particular the cases of Előd Tóásó and Mario Tadić (2013/2953(RSP))

45

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| | II   Information |
| --- | --- |
| | INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES |
| | European Parliament |
| | Tuesday 19 November 2013 |
| 2016/C 436/10 | European Parliament decision of 19 November 2013 on conclusion of an interinstitutional agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (2011/2152(ACI)) | 47 |

II   Information

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Parliament

Tuesday 19 November 2013

2016/C 436/10

European Parliament decision of 19 November 2013 on conclusion of an interinstitutional agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (2011/2152(ACI))

47

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| | III   Preparatory acts |
| --- | --- |
| | EUROPEAN PARLIAMENT |
| | Tuesday 19 November 2013 |
| 2016/C 436/11 | European Parliament legislative resolution of 19 November 2013 on the draft Council regulation laying down the multiannual financial framework for the years 2014–2020 (11791/2013 — C7-0238/2013 — 2011/0177(APP)) | 49 |
| 2016/C 436/12 | European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 7/2013 of the European Union for the financial year 2013, Section III — Commission (14180/2013 — C7-0350/2013 — 2013/2160(BUD)) | 52 |
| 2016/C 436/13 | European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 8/2013 of the European Union for the financial year 2013, Section III — Commission (14871/2013 — C7-0387/2013 — 2013/2227(BUD)) | 54 |
| 2016/C 436/14 | European Parliament resolution of 19 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application of EGF/2013/004 ES/Comunidad Valenciana building materials from Spain) (COM(2013)0635 — C7-0269/2013 — 2013/2192(BUD)) | 56 |
| 2016/C 436/15 | P7_TA(2013)0460Erasmus for all programme ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing ERASMUS FOR ALL The Union Programme for Education, Training, Youth and Sport (COM(2011)0788 — C7-0436/2011 — 2011/0371(COD))P7_TC1-COD(2011)0371Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing Erasmus+: the Union programme for education, training, youth and sport and repealing Decisions No 1719/2006/EC, No 1720/2006/EC and No 1298/2008/EC | 59 |
| 2016/C 436/16 | P7_TA(2013)0461Creative Europe Programme ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on establishing the Creative Europe Programme (COM(2011)0785 — C7-0435/2011 — 2011/0370(COD))P7_TC1-COD(2011)0370Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Creative Europe Programme (2014 to 2020) and repealing Decisions No 1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC | 60 |
| 2016/C 436/17 | European Parliament legislative resolution of 19 November 2013 on the draft Council regulation establishing for the period 2014-2020 the programme Europe for Citizens (12557/2013 — C7-0307/2013 — 2011/0436(APP)) | 61 |
| 2016/C 436/18 | P7_TA(2013)0463Connecting Europe Facility ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing the Connecting Europe Facility (COM(2011)0665/3 — C7-0374/2011 — 2011/0302(COD))P7_TC1-COD(2011)0302Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing Regulations (EC) No 680/2007 and (EC) No 67/2010 | 62 |
| 2016/C 436/19 | P7_TA(2013)0464Trans-European Transport Network ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network (COM(2011)0650/3 — C7-0375/2012 — 2011/0294(COD))P7_TC1-COD(2011)0294Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU | 63 |
| 2016/C 436/20 | P7_TA(2013)0465Agricultural and fishery statistics ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending certain legislative acts in the domain of agricultural and fishery statistics (COM(2012)0724 — C7-0397/2012 — 2012/0343(COD))P7_TC1-COD(2012)0343Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending certain legislative acts in the field of agricultural and fishery statistics | 64 |
| 2016/C 436/21 | European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the conclusion of the Protocol Amending the Agreement on Government Procurement (07917/2013 — C7-0180/2013 — 2013/0086(NLE)) | 65 |
| 2016/C 436/22 | European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the acceptance on behalf of the European Union of the Amendment to Articles 25 and 26 of the Convention on the Protection and Use of Transboundary Watercourses and International Lakes (12713/2013 — C7-0304/2013 — 2013/0127(NLE)) | 66 |
| 2016/C 436/23 | European Parliament legislative resolution of 19 November 2013 on the proposal for a Council decision on the adoption of a Supplementary Research Programme for the ITER project (2014-2018) (COM(2011)0931 — C7-0032/2012 — 2011/0460(NLE)) | 67 |
| 2016/C 436/24 | European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020 — The Framework Programme for Research and Innovation (COM(2011)0812 — C7-0009/2012 — 2011/0400(NLE)) | 76 |
| 2016/C 436/25 | European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation establishing an Instrument for Nuclear Safety Cooperation (COM(2011)0841 — C7-0014/2012 — 2011/0414(CNS)) | 106 |
| 2016/C 436/26 | European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on Union support for the nuclear decommissioning assistance programmes in Bulgaria, Lithuania and Slovakia (COM(2011)0783 — C7-0514/2011 — 2011/0363(NLE)) | 122 |
| | Wednesday 20 November 2013 |
| 2016/C 436/27 | European Parliament legislative resolution of 20 November 2013 on the joint text on the draft general budget of the European Union for the financial year 2014 approved by the Conciliation Committee under the budgetary procedure (16106/2013 ADD 1-5 — C7-0413/2013 — 2013/2145(BUD)) | 140 |
| 2016/C 436/28 | European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0647 — C7-0302/2013 — 2013/2223(BUD)) | 160 |
| 2016/C 436/29 | European Parliament resolution of 20 November 2013 on the Council position on Draft amending budget No 9/2013 of the European Union for the financial year 2013, Section III — Commission (14872/2013 — C7-0388/2013 — 2013/2257(BUD)) | 162 |
| 2016/C 436/30 | European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Union Solidarity Fund, in accordance with point 26 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (drought and forest fires in Romania and floods in Germany, Austria and the Czech Republic) (COM(2013)0692 — C7-0343/2013 — 2013/2255(BUD)) | 203 |
| 2016/C 436/31 | European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0559 — C7-0235/2013 — 2013/2159(BUD)) | 204 |
| 2016/C 436/32 | P7_TA(2013)0477European satellite navigation systems ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the implementation and exploitation of European satellite navigation systems (COM(2011)0814 — C7-0464/2011 — 2011/0392(COD))P7_TC1-COD(2011)0392Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council 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 | 206 |
| 2016/C 436/33 | P7_TA(2013)0478Macro-financial assistance to Jordan ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council providing macro-financial assistance to the Hashemite Kingdom of Jordan (COM(2013)0242 — C7-0119/2013 — 2013/0128(COD))P7_TC1-COD(2013)0128Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on providing macro-financial assistance to the Hashemite Kingdom of Jordan | 208 |
| 2016/C 436/34 | European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion, on behalf of the European Union, of the Agreement between the European Union and the Russian Federation on drug precursors (12221/2013 — C7-0308/2013 — 2013/0005(NLE)) | 209 |
| 2016/C 436/35 | European Parliament legislative resolution of 20 November 2013 on the draft Council decision amending Decision 2009/935/JHA as regards the list of third States and organisations with which Europol shall conclude agreements (16229/2012 — C7-0011/2013 — 2013/0801(CNS)) | 210 |
| 2016/C 436/36 | European Parliament legislative resolution of 20 November 2013 on the proposal for a Council regulation amending Regulation (EC) No 723/2009 concerning the Community legal framework for a European Research Infrastructures Consortium (ERIC) (COM(2012)0682 — C7-0421/2012 — 2012/0321(NLE)) | 211 |
| 2016/C 436/37 | P7_TA(2013)0482Common provisions on European funds ***IEuropean Parliament legislative resolution of 20 November 2013 on the amended proposal 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 Council Regulation (EC) No 1083/2006 (COM(2013)0246 — C7-0107/2013 — 2011/0276(COD))P7_TC1-COD(2011)0276Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 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 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 | 212 |
| 2016/C 436/38 | P7_TA(2013)0483European Social Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the European Social Fund and repealing Regulation (EC) No 1081/2006 (COM(2011)0607/2 — C7-0327/2011 — 2011/0268(COD))P7_TC1-COD(2011)0268Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Social Fund and repealing Council Regulation (EC) No 1081/2006 | 216 |
| 2016/C 436/39 | P7_TA(2013)0484European Regional Development Fund and the Investment for growth and jobs goal ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal 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 — C7-0328/2011 — 2011/0275(COD))P7_TC1-COD(2011)0275Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Regional Development Fund and on specific provisions concerning the Investment for growth and jobs goal and repealing Regulation (EC) No 1080/2006 | 217 |
| 2016/C 436/40 | P7_TA(2013)0485European Regional Development Fund and the European territorial cooperation goal ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal (COM(2011)0611 — C7-0326/2011 — 2011/0273(COD))P7_TC1-COD(2011)0273Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal | 219 |
| 2016/C 436/41 | P7_TA(2013)0486Cohesion Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006 (COM(2011)0612 — C7-0325/2011 — 2011/0274(COD))P7_TC1-COD(2011)0274Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006 | 221 |
| 2016/C 436/42 | P7_TA(2013)0487European grouping of territorial cooperation ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and implementation of such groupings (COM(2011)0610/2 — C7-0324/2011 — 2011/0272(COD))P7_TC1-COD(2011)0272Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and functioning of such groupings | 223 |
| 2016/C 436/43 | P7_TA(2013)0488Gender balance among non-executive directors of companies listed on stock exchanges ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a directive of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures (COM(2012)0614 — C7-0382/2012 — 2012/0299(COD))P7_TC1-COD(2012)0299Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures(Text with EEA relevance) | 225 |
| 2016/C 436/44 | Amendments adopted by the European Parliament on 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on key information documents for investment products (COM(2012)0352 — C7-0179/2012 — 2012/0169(COD)) | 241 |
| 2016/C 436/45 | P7_TA(2013)0490Financing, management and monitoring of the CAP ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy (COM(2011)0628 — C7-0341/2011 — COM(2012)0551 — C7-0312/2012 — 2011/0288(COD))P7_TC1-COD(2011)0288Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy and repealing Council Regulations (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC) No 485/2008 | 270 |
| 2016/C 436/46 | P7_TA(2013)0491European Agricultural Fund for Rural Development ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) (COM(2011)0627 — C7-0340/2011 — COM(2012)0553 — C7-0313/2012 — 2011/0282(COD))P7_TC1-COD(2011)0282Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005 | 272 |
| 2016/C 436/47 | P7_TA(2013)0492Common organisation of the markets in agricultural products ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products (Single CMO Regulation) (COM(2011)0626 — C7-0339/2011 — COM(2012)0535 — C7-0310/2012 — 2011/0281(COD))P7_TC1-COD(2011)0281Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 | 274 |
| 2016/C 436/48 | P7_TA(2013)0493Direct payments to farmers under support schemes within the framework of the CAP ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy (COM(2011)0625 — C7-0336/2011 — COM(2012)0552 — C7-0311/2012 — 2011/0280(COD))P7_TC1-COD(2011)0280Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No 637/2008 and Council Regulation (EC) No 73/2009 | 277 |
| 2016/C 436/49 | P7_TA(2013)0494Transitional provisions on support for rural development ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and amending Regulation (EU) No [RD] as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No [DP], (EU) No [HR] and (EU) No [sCMO] as regards their application in the year 2014 (COM(2013)0226 — C7-0104/2013 — 2013/0117(COD))P7_TC1-COD(2013)0117Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD), amending Regulation (EU) No 1305/2013 of the European Parliament and of the Council as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No 1307/2013, (EU) No 1306/2013 and (EU) No 1308/2013 of the European Parliament and of the Council as regards their application in the year 2014 | 279 |
| 2016/C 436/50 | P7_TA(2013)0495Provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States (COM(2013)0301 — C7-0143/2013 — 2013/0156(COD))P7_TC1-COD(2013)0156Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability, to the decommitment rules for certain Member States, and to the rules on payments of the final balance | 281 |
| 2016/C 436/51 | P7_TA(2013)0496Financial allocation for certain Member States from the European Social Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund (COM(2013)0560 — C7-0244/2013 — 2013/0271(COD))P7_TC1-COD(2013)0271Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund | 282 |
| 2016/C 436/52 | European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion of the Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community, on the one hand, and the Republic of Kiribati, on the other (13331/2012 — C7-0036/2013 — 2012/0229(NLE)) | 283 |
| | Thursday 21 November 2013 |
| 2016/C 436/53 | P7_TA(2013)0499Horizon 2020 — framework programme for research and innovation (2014-2020) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing Horizon 2020 — The Framework Programme for Research and Innovation (2014-2020) (COM(2011)0809 — C7-0466/2011 — 2011/0401(COD))P7_TC1-COD(2011)0401Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Decision No 1982/2006/EC | 284 |
| 2016/C 436/54 | P7_TA(2013)0500Rules for the participation and dissemination in Horizon 2020 ***IEuropean Parliament legislative resolution of 21 November 2013 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 — C7-0465/2011 — 2011/0399(COD))P7_TC1-COD(2011)0399Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down the rules for participation and dissemination in Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Regulation (EC) No 1906/2006 | 288 |
| 2016/C 436/55 | P7_TA(2013)0501European Institute of Innovation and Technology (EIT): strategic innovation agenda ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a decision of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe (COM(2011)0822 — C7-0462/2011 — 2011/0387(COD))P7_TC1-COD(2011)0387Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe | 292 |
| 2016/C 436/56 | P7_TA(2013)0502European Institute of Innovation and Technology ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology (COM(2011)0817 — C7-0467/2011 — 2011/0384(COD))P7_TC1-COD(2011)0384Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology | 293 |
| 2016/C 436/57 | P7_TA(2013)0503Competitiveness of enterprises and small and medium-sized enterprises ***IEuropean Parliament legislative resolution of 21 November 2013 on the 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 — C7-0463/2011 — 2011/0394(COD))P7_TC1-COD(2011)0394Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014 — 2020) and repealing Decision No 1639/2006/EC | 294 |
| 2016/C 436/58 | P7_TA(2013)0504Specific programme implementing Horizon 2020 *European Parliament legislative resolution of 21 November 2013 on the proposal for a Council decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for Research and Innovation (2014 — 2020) (COM(2011)0811 — C7-0509/2011 — 2011/0402(CNS))P7_TC1-CNS(2011)0402Position of the European Parliament adopted on 21 November 2013 with a view to the adoption of Council Decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for research and Innovation (2014-2020)(Text with EEA relevance) | 295 |
| 2016/C 436/59 | P7_TA(2013)0505European statistics ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics (COM(2012)0167 — C7-0101/2012 — 2012/0084(COD))P7_TC1-COD(2012)0084Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics(Text with relevance for the EEA and Switzerland) | 380 |
| 2016/C 436/60 | P7_TA(2013)0506EU Programme for Social Change and Innovation ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on a European Union Programme for Social Change and Innovation (COM(2011)0609 — C7-0318/2011 — 2011/0270(COD))P7_TC1-COD(2011)0270Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on a European Union Programme for Employment and Social Innovation (EaSI) and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion | 390 |
| 2016/C 436/61 | P7_TA(2013)0507Programme for the Environment and Climate Action (LIFE) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) (COM(2011)0874 — C7-0498/2011 — 2011/0428(COD))P7_TC1-COD(2011)0428Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 | 392 |
| 2016/C 436/62 | P7_TA(2013)0508Action programme for customs and taxation ***IEuropean Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for taxation in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC (COM(2012)0465 — C7-0242/2012 — 2011/0341B(COD))P7_TC1-COD(2011)0341BPosition of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme to improve the operation of taxation systems in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC | 394 |
| 2016/C 436/63 | P7_TA(2013)0509Action programme for customs ***IEuropean Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC (COM(2012)0464 — C7-0241/2012 — 2011/0341A(COD))P7_TC1-COD(2011)0341APosition of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC | 395 |
| 2016/C 436/64 | P7_TA(2013)0510Insurance and reinsurance (Solvency II) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) as regards the dates of transposition and application and the date of repeal of certain Directives (COM(2013)0680 — C7-0315/2013 — 2013/0327(COD))P7_TC1-COD(2013)0327Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council amending Directive 2009/138/EC (Solvency II) as regards the date for its transposition and the date of its application, and the date of repeal of certain Directives (Solvency I) | 397 |

III   Preparatory acts

EUROPEAN PARLIAMENT

Tuesday 19 November 2013

2016/C 436/11

European Parliament legislative resolution of 19 November 2013 on the draft Council regulation laying down the multiannual financial framework for the years 2014–2020 (11791/2013 — C7-0238/2013 — 2011/0177(APP))

49

2016/C 436/12

European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 7/2013 of the European Union for the financial year 2013, Section III — Commission (14180/2013 — C7-0350/2013 — 2013/2160(BUD))

52

2016/C 436/13

European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 8/2013 of the European Union for the financial year 2013, Section III — Commission (14871/2013 — C7-0387/2013 — 2013/2227(BUD))

54

2016/C 436/14

European Parliament resolution of 19 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application of EGF/2013/004 ES/Comunidad Valenciana building materials from Spain) (COM(2013)0635 — C7-0269/2013 — 2013/2192(BUD))

56

2016/C 436/15

P7_TA(2013)0460Erasmus for all programme ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing ERASMUS FOR ALL The Union Programme for Education, Training, Youth and Sport (COM(2011)0788 — C7-0436/2011 — 2011/0371(COD))P7_TC1-COD(2011)0371Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing Erasmus+: the Union programme for education, training, youth and sport and repealing Decisions No 1719/2006/EC, No 1720/2006/EC and No 1298/2008/EC

59

2016/C 436/16

P7_TA(2013)0461Creative Europe Programme ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on establishing the Creative Europe Programme (COM(2011)0785 — C7-0435/2011 — 2011/0370(COD))P7_TC1-COD(2011)0370Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Creative Europe Programme (2014 to 2020) and repealing Decisions No 1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC

60

2016/C 436/17

European Parliament legislative resolution of 19 November 2013 on the draft Council regulation establishing for the period 2014-2020 the programme Europe for Citizens (12557/2013 — C7-0307/2013 — 2011/0436(APP))

61

2016/C 436/18

P7_TA(2013)0463Connecting Europe Facility ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing the Connecting Europe Facility (COM(2011)0665/3 — C7-0374/2011 — 2011/0302(COD))P7_TC1-COD(2011)0302Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing Regulations (EC) No 680/2007 and (EC) No 67/2010

62

2016/C 436/19

P7_TA(2013)0464Trans-European Transport Network ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network (COM(2011)0650/3 — C7-0375/2012 — 2011/0294(COD))P7_TC1-COD(2011)0294Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU

63

2016/C 436/20

P7_TA(2013)0465Agricultural and fishery statistics ***IEuropean Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending certain legislative acts in the domain of agricultural and fishery statistics (COM(2012)0724 — C7-0397/2012 — 2012/0343(COD))P7_TC1-COD(2012)0343Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending certain legislative acts in the field of agricultural and fishery statistics

64

2016/C 436/21

European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the conclusion of the Protocol Amending the Agreement on Government Procurement (07917/2013 — C7-0180/2013 — 2013/0086(NLE))

65

2016/C 436/22

European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the acceptance on behalf of the European Union of the Amendment to Articles 25 and 26 of the Convention on the Protection and Use of Transboundary Watercourses and International Lakes (12713/2013 — C7-0304/2013 — 2013/0127(NLE))

66

2016/C 436/23

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council decision on the adoption of a Supplementary Research Programme for the ITER project (2014-2018) (COM(2011)0931 — C7-0032/2012 — 2011/0460(NLE))

67

2016/C 436/24

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020 — The Framework Programme for Research and Innovation (COM(2011)0812 — C7-0009/2012 — 2011/0400(NLE))

76

2016/C 436/25

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation establishing an Instrument for Nuclear Safety Cooperation (COM(2011)0841 — C7-0014/2012 — 2011/0414(CNS))

106

2016/C 436/26

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on Union support for the nuclear decommissioning assistance programmes in Bulgaria, Lithuania and Slovakia (COM(2011)0783 — C7-0514/2011 — 2011/0363(NLE))

122

Wednesday 20 November 2013

2016/C 436/27

European Parliament legislative resolution of 20 November 2013 on the joint text on the draft general budget of the European Union for the financial year 2014 approved by the Conciliation Committee under the budgetary procedure (16106/2013 ADD 1-5 — C7-0413/2013 — 2013/2145(BUD))

140

2016/C 436/28

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0647 — C7-0302/2013 — 2013/2223(BUD))

160

2016/C 436/29

European Parliament resolution of 20 November 2013 on the Council position on Draft amending budget No 9/2013 of the European Union for the financial year 2013, Section III — Commission (14872/2013 — C7-0388/2013 — 2013/2257(BUD))

162

2016/C 436/30

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Union Solidarity Fund, in accordance with point 26 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (drought and forest fires in Romania and floods in Germany, Austria and the Czech Republic) (COM(2013)0692 — C7-0343/2013 — 2013/2255(BUD))

203

2016/C 436/31

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0559 — C7-0235/2013 — 2013/2159(BUD))

204

2016/C 436/32

P7_TA(2013)0477European satellite navigation systems ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the implementation and exploitation of European satellite navigation systems (COM(2011)0814 — C7-0464/2011 — 2011/0392(COD))P7_TC1-COD(2011)0392Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council 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

206

2016/C 436/33

P7_TA(2013)0478Macro-financial assistance to Jordan ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council providing macro-financial assistance to the Hashemite Kingdom of Jordan (COM(2013)0242 — C7-0119/2013 — 2013/0128(COD))P7_TC1-COD(2013)0128Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on providing macro-financial assistance to the Hashemite Kingdom of Jordan

208

2016/C 436/34

European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion, on behalf of the European Union, of the Agreement between the European Union and the Russian Federation on drug precursors (12221/2013 — C7-0308/2013 — 2013/0005(NLE))

209

2016/C 436/35

European Parliament legislative resolution of 20 November 2013 on the draft Council decision amending Decision 2009/935/JHA as regards the list of third States and organisations with which Europol shall conclude agreements (16229/2012 — C7-0011/2013 — 2013/0801(CNS))

210

2016/C 436/36

European Parliament legislative resolution of 20 November 2013 on the proposal for a Council regulation amending Regulation (EC) No 723/2009 concerning the Community legal framework for a European Research Infrastructures Consortium (ERIC) (COM(2012)0682 — C7-0421/2012 — 2012/0321(NLE))

211

2016/C 436/37

P7_TA(2013)0482Common provisions on European funds ***IEuropean Parliament legislative resolution of 20 November 2013 on the amended proposal 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 Council Regulation (EC) No 1083/2006 (COM(2013)0246 — C7-0107/2013 — 2011/0276(COD))P7_TC1-COD(2011)0276Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 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 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

212

2016/C 436/38

P7_TA(2013)0483European Social Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the European Social Fund and repealing Regulation (EC) No 1081/2006 (COM(2011)0607/2 — C7-0327/2011 — 2011/0268(COD))P7_TC1-COD(2011)0268Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Social Fund and repealing Council Regulation (EC) No 1081/2006

216

2016/C 436/39

P7_TA(2013)0484European Regional Development Fund and the Investment for growth and jobs goal ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal 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 — C7-0328/2011 — 2011/0275(COD))P7_TC1-COD(2011)0275Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Regional Development Fund and on specific provisions concerning the Investment for growth and jobs goal and repealing Regulation (EC) No 1080/2006

217

2016/C 436/40

P7_TA(2013)0485European Regional Development Fund and the European territorial cooperation goal ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal (COM(2011)0611 — C7-0326/2011 — 2011/0273(COD))P7_TC1-COD(2011)0273Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal

219

2016/C 436/41

P7_TA(2013)0486Cohesion Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006 (COM(2011)0612 — C7-0325/2011 — 2011/0274(COD))P7_TC1-COD(2011)0274Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006

221

2016/C 436/42

P7_TA(2013)0487European grouping of territorial cooperation ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and implementation of such groupings (COM(2011)0610/2 — C7-0324/2011 — 2011/0272(COD))P7_TC1-COD(2011)0272Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and functioning of such groupings

223

2016/C 436/43

P7_TA(2013)0488Gender balance among non-executive directors of companies listed on stock exchanges ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a directive of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures (COM(2012)0614 — C7-0382/2012 — 2012/0299(COD))P7_TC1-COD(2012)0299Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures(Text with EEA relevance)

225

2016/C 436/44

Amendments adopted by the European Parliament on 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on key information documents for investment products (COM(2012)0352 — C7-0179/2012 — 2012/0169(COD))

241

2016/C 436/45

P7_TA(2013)0490Financing, management and monitoring of the CAP ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy (COM(2011)0628 — C7-0341/2011 — COM(2012)0551 — C7-0312/2012 — 2011/0288(COD))P7_TC1-COD(2011)0288Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy and repealing Council Regulations (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC) No 485/2008

270

2016/C 436/46

P7_TA(2013)0491European Agricultural Fund for Rural Development ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) (COM(2011)0627 — C7-0340/2011 — COM(2012)0553 — C7-0313/2012 — 2011/0282(COD))P7_TC1-COD(2011)0282Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005

272

2016/C 436/47

P7_TA(2013)0492Common organisation of the markets in agricultural products ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products (Single CMO Regulation) (COM(2011)0626 — C7-0339/2011 — COM(2012)0535 — C7-0310/2012 — 2011/0281(COD))P7_TC1-COD(2011)0281Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007

274

2016/C 436/48

P7_TA(2013)0493Direct payments to farmers under support schemes within the framework of the CAP ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy (COM(2011)0625 — C7-0336/2011 — COM(2012)0552 — C7-0311/2012 — 2011/0280(COD))P7_TC1-COD(2011)0280Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No 637/2008 and Council Regulation (EC) No 73/2009

277

2016/C 436/49

P7_TA(2013)0494Transitional provisions on support for rural development ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and amending Regulation (EU) No [RD] as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No [DP], (EU) No [HR] and (EU) No [sCMO] as regards their application in the year 2014 (COM(2013)0226 — C7-0104/2013 — 2013/0117(COD))P7_TC1-COD(2013)0117Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD), amending Regulation (EU) No 1305/2013 of the European Parliament and of the Council as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No 1307/2013, (EU) No 1306/2013 and (EU) No 1308/2013 of the European Parliament and of the Council as regards their application in the year 2014

279

2016/C 436/50

P7_TA(2013)0495Provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States (COM(2013)0301 — C7-0143/2013 — 2013/0156(COD))P7_TC1-COD(2013)0156Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability, to the decommitment rules for certain Member States, and to the rules on payments of the final balance

281

2016/C 436/51

P7_TA(2013)0496Financial allocation for certain Member States from the European Social Fund ***IEuropean Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund (COM(2013)0560 — C7-0244/2013 — 2013/0271(COD))P7_TC1-COD(2013)0271Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund

282

2016/C 436/52

European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion of the Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community, on the one hand, and the Republic of Kiribati, on the other (13331/2012 — C7-0036/2013 — 2012/0229(NLE))

283

Thursday 21 November 2013

2016/C 436/53

P7_TA(2013)0499Horizon 2020 — framework programme for research and innovation (2014-2020) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing Horizon 2020 — The Framework Programme for Research and Innovation (2014-2020) (COM(2011)0809 — C7-0466/2011 — 2011/0401(COD))P7_TC1-COD(2011)0401Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Decision No 1982/2006/EC

284

2016/C 436/54

P7_TA(2013)0500Rules for the participation and dissemination in Horizon 2020 ***IEuropean Parliament legislative resolution of 21 November 2013 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 — C7-0465/2011 — 2011/0399(COD))P7_TC1-COD(2011)0399Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down the rules for participation and dissemination in Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Regulation (EC) No 1906/2006

288

2016/C 436/55

P7_TA(2013)0501European Institute of Innovation and Technology (EIT): strategic innovation agenda ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a decision of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe (COM(2011)0822 — C7-0462/2011 — 2011/0387(COD))P7_TC1-COD(2011)0387Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe

292

2016/C 436/56

P7_TA(2013)0502European Institute of Innovation and Technology ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology (COM(2011)0817 — C7-0467/2011 — 2011/0384(COD))P7_TC1-COD(2011)0384Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology

293

2016/C 436/57

P7_TA(2013)0503Competitiveness of enterprises and small and medium-sized enterprises ***IEuropean Parliament legislative resolution of 21 November 2013 on the 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 — C7-0463/2011 — 2011/0394(COD))P7_TC1-COD(2011)0394Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014 — 2020) and repealing Decision No 1639/2006/EC

294

2016/C 436/58

P7_TA(2013)0504Specific programme implementing Horizon 2020 *European Parliament legislative resolution of 21 November 2013 on the proposal for a Council decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for Research and Innovation (2014 — 2020) (COM(2011)0811 — C7-0509/2011 — 2011/0402(CNS))P7_TC1-CNS(2011)0402Position of the European Parliament adopted on 21 November 2013 with a view to the adoption of Council Decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for research and Innovation (2014-2020)(Text with EEA relevance)

295

2016/C 436/59

P7_TA(2013)0505European statistics ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics (COM(2012)0167 — C7-0101/2012 — 2012/0084(COD))P7_TC1-COD(2012)0084Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics(Text with relevance for the EEA and Switzerland)

380

2016/C 436/60

P7_TA(2013)0506EU Programme for Social Change and Innovation ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on a European Union Programme for Social Change and Innovation (COM(2011)0609 — C7-0318/2011 — 2011/0270(COD))P7_TC1-COD(2011)0270Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on a European Union Programme for Employment and Social Innovation (EaSI) and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion

390

2016/C 436/61

P7_TA(2013)0507Programme for the Environment and Climate Action (LIFE) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) (COM(2011)0874 — C7-0498/2011 — 2011/0428(COD))P7_TC1-COD(2011)0428Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007

392

2016/C 436/62

P7_TA(2013)0508Action programme for customs and taxation ***IEuropean Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for taxation in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC (COM(2012)0465 — C7-0242/2012 — 2011/0341B(COD))P7_TC1-COD(2011)0341BPosition of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme to improve the operation of taxation systems in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC

394

2016/C 436/63

P7_TA(2013)0509Action programme for customs ***IEuropean Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC (COM(2012)0464 — C7-0241/2012 — 2011/0341A(COD))P7_TC1-COD(2011)0341APosition of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC

395

2016/C 436/64

P7_TA(2013)0510Insurance and reinsurance (Solvency II) ***IEuropean Parliament legislative resolution of 21 November 2013 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) as regards the dates of transposition and application and the date of repeal of certain Directives (COM(2013)0680 — C7-0315/2013 — 2013/0327(COD))P7_TC1-COD(2013)0327Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council amending Directive 2009/138/EC (Solvency II) as regards the date for its transposition and the date of its application, and the date of repeal of certain Directives (Solvency I)

397

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| 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 |

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:

New text is highlighted in
  bold italics
  . Deletions are indicated using either the ▌symbol or strikeout. Replacements are indicated by highlighting the new text in
  bold italics
  and by deleting or striking out the text that has been replaced.

bold italics

bold italics

| EN | |
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EN

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24.11.2016

| 24.11.2016 | EN | Official Journal of the European Union | C 436/1 |
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EN

Official Journal of the European Union

C 436/1

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EUROPEAN PARLIAMENT

2013-2014 SESSION

Sittings of 18 to 21 November 2013

The Minutes of this session have been published in

  OJ C 53 E, 25.2.2014
  .

TEXTS ADOPTED

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I Resolutions, recommendations and opinions

RESOLUTIONS

European Parliament

Wednesday 20 November 2013

| 24.11.2016 | EN | Official Journal of the European Union | C 436/2 |
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24.11.2016

EN

Official Journal of the European Union

C 436/2

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P7_TA(2013)0498

The location of the seats of the European Union's Institutions

European Parliament resolution of 20 November 2013 on the location of the seats of the European Union’s Institutions (2012/2308(INI))

(2016/C 436/01)

The European Parliament,

| — | having regard to Articles 232 and 341 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Articles 232 and 341 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to Protocol 6, annexed to the Treaties, on the location of the seats of the institutions and of certain bodies, offices, agencies and departments of the European Union, |
| --- | --- |

—

having regard to Protocol 6, annexed to the Treaties, on the location of the seats of the institutions and of certain bodies, offices, agencies and departments of the European Union,

| — | having regard to Articles 10, 14 and 48 of the Treaty on European Union (TEU), |
| --- | --- |

—

having regard to Articles 10, 14 and 48 of the Treaty on European Union (TEU),

| — | having regard to its stated position on these matters, in particular in its recommendation from 21 June 1958 (1), its resolution of 7 July 1981 on the seat of the EC institutions and in particular of the European Parliament (2), its recommendations for the Intergovernmental Conference of 13 April 2000 (3), and its accompanying resolutions: its resolution of 8 June 2011 on Investing in the future: a new Multiannual Financial Framework (MFF) for a competitive, sustainable and inclusive Europe (4); its resolution of 10 May 2012 on discharge in respect of the implementation of the general budget of the European Union for the financial year 2010, Section I — European Parliament (5); its resolution of 16 February 2012 on the guidelines for the 2013 budget procedure, Section I — European Parliament, Section II — Council, Section IV — Court of Justice, Section V — Court of Auditors, Section VI — European Economic and Social Committee, Section VII — Committee of the Regions, Section VIII — European Ombudsman, Section IX — European Data Protection Supervisor, Section X — European External Action Service (6); its resolution of 29 March 2012 on Parliament’s estimates of revenue and expenditure for the financial year 2013 (7) and its resolution of 4 July 2012 on the mandate for the trilogue on the 2013 Draft Budget (8), |
| --- | --- |

—

having regard to its stated position on these matters, in particular in its recommendation from 21 June 1958 (1), its resolution of 7 July 1981 on the seat of the EC institutions and in particular of the European Parliament (2), its recommendations for the Intergovernmental Conference of 13 April 2000 (3), and its accompanying resolutions: its resolution of 8 June 2011 on Investing in the future: a new Multiannual Financial Framework (MFF) for a competitive, sustainable and inclusive Europe (4); its resolution of 10 May 2012 on discharge in respect of the implementation of the general budget of the European Union for the financial year 2010, Section I — European Parliament (5); its resolution of 16 February 2012 on the guidelines for the 2013 budget procedure, Section I — European Parliament, Section II — Council, Section IV — Court of Justice, Section V — Court of Auditors, Section VI — European Economic and Social Committee, Section VII — Committee of the Regions, Section VIII — European Ombudsman, Section IX — European Data Protection Supervisor, Section X — European External Action Service (6); its resolution of 29 March 2012 on Parliament’s estimates of revenue and expenditure for the financial year 2013 (7) and its resolution of 4 July 2012 on the mandate for the trilogue on the 2013 Draft Budget (8),

| — | having regard to Written Questions E-000181-2007, E-006174-2009, E-006258-2009, E-002934-2012, E-002935-2012, E-004134-2012 and E-004135-2012 to the Commission and to the Council, |
| --- | --- |

—

having regard to Written Questions E-000181-2007, E-006174-2009, E-006258-2009, E-002934-2012, E-002935-2012, E-004134-2012 and E-004135-2012 to the Commission and to the Council,

| — | having regard to the Secretary-General’s reports of September 2002 and August 2013 regarding the cost of maintaining three places of work, |
| --- | --- |

—

having regard to the Secretary-General’s reports of September 2002 and August 2013 regarding the cost of maintaining three places of work,

| — | having regard to the joint working group report of the Bureau and the Committee on Budgets on Parliament’s budget for 2012, |
| --- | --- |

—

having regard to the joint working group report of the Bureau and the Committee on Budgets on Parliament’s budget for 2012,

| — | having regard to its activity reports for 1993-1999, 1999-2004, 2004-2009 and 2009-2011, |
| --- | --- |

—

having regard to its activity reports for 1993-1999, 1999-2004, 2004-2009 and 2009-2011,

| — | having regard to the case law of the Court of Justice of the European Union (ECJ), in particular Cases C-230/81 (9), C-345/95 (10) and joined cases C-237/11 and C-238/11 (11), |
| --- | --- |

—

having regard to the case law of the Court of Justice of the European Union (ECJ), in particular Cases C-230/81 (9), C-345/95 (10) and joined cases C-237/11 and C-238/11 (11),

| — | having regard to Petition 630/2006 by the One Seat campaign, which was endorsed by more than one million EU citizens, |
| --- | --- |

—

having regard to Petition 630/2006 by the One Seat campaign, which was endorsed by more than one million EU citizens,

| — | having regard to the vote held in plenary on 23 October 2012, in which a majority (78 %) of its Members called on the Member States to revise their views on the issue of Strasbourg as Parliament’s official seat; |
| --- | --- |

—

having regard to the vote held in plenary on 23 October 2012, in which a majority (78 %) of its Members called on the Member States to revise their views on the issue of Strasbourg as Parliament’s official seat;

| — | having regard to Rules 5(3), 29, 41, 48, 74a, 201 and 202(4) of its Rules of Procedure; |
| --- | --- |

—

having regard to Rules 5(3), 29, 41, 48, 74a, 201 and 202(4) of its Rules of Procedure;

| — | having regard to the report of the Committee on Constitutional Affairs and the opinions of the Committee on Budgets and the Committee on Petitions (A7-0350/2013), |
| --- | --- |

—

having regard to the report of the Committee on Constitutional Affairs and the opinions of the Committee on Budgets and the Committee on Petitions (A7-0350/2013),

| A. | whereas Article 341 TFEU establishes that the seats of the institutions of the Union shall be determined by common accord of the governments of the Member States; |
| --- | --- |

A.

whereas Article 341 TFEU establishes that the seats of the institutions of the Union shall be determined by common accord of the governments of the Member States;

| B. | whereas the Member States have done so in Protocol 6 annexed to the Treaties, establishing Brussels as seat of the Commission, the Council (with its meetings to be held in Luxembourg during the months of April, June and October), the Economic and Social Committee and the Committee of the Regions, establishing Luxembourg as seat of the Court of Justice of the European Union, the Court of Auditors and the European Investment Bank, establishing Frankfurt as seat of the European Central Bank and establishing The Hague as seat of the European Police Office; |
| --- | --- |

B.

whereas the Member States have done so in Protocol 6 annexed to the Treaties, establishing Brussels as seat of the Commission, the Council (with its meetings to be held in Luxembourg during the months of April, June and October), the Economic and Social Committee and the Committee of the Regions, establishing Luxembourg as seat of the Court of Justice of the European Union, the Court of Auditors and the European Investment Bank, establishing Frankfurt as seat of the European Central Bank and establishing The Hague as seat of the European Police Office;

| C. | whereas the decision by the Member States on these seats was reached in a broader deal, taking into account the historical development of the European Union and its institutions as well as considerations of geographical dispersion; |
| --- | --- |

C.

whereas the decision by the Member States on these seats was reached in a broader deal, taking into account the historical development of the European Union and its institutions as well as considerations of geographical dispersion;

| D. | whereas Parliament plays a distinct and unique role as the only institution that is directly elected by and accountable to the European citizens, and, since its role has undergone the most significant changes amongst all the EU institutions, this report will primarily focus on Parliament’s seat and working arrangements; |
| --- | --- |

D.

whereas Parliament plays a distinct and unique role as the only institution that is directly elected by and accountable to the European citizens, and, since its role has undergone the most significant changes amongst all the EU institutions, this report will primarily focus on Parliament’s seat and working arrangements;

| E. | whereas Protocol 6 annexed to the Treaties establishes that Parliament shall have its seat in Strasbourg, where 12 periods of monthly plenary sessions — including the budget session — shall be held, that the periods of additional plenary sessions shall be held in Brussels, that its committees shall meet in Brussels, and that its General Secretariat and its departments shall remain in Luxembourg; |
| --- | --- |

E.

whereas Protocol 6 annexed to the Treaties establishes that Parliament shall have its seat in Strasbourg, where 12 periods of monthly plenary sessions — including the budget session — shall be held, that the periods of additional plenary sessions shall be held in Brussels, that its committees shall meet in Brussels, and that its General Secretariat and its departments shall remain in Luxembourg;

| F. | whereas Articles 10 and 14 TEU state that the EU is a representative democracy, with Parliament as the direct representative of the European citizens at Union level, and that as co-legislator Parliament is on equal terms with the Council; |
| --- | --- |

F.

whereas Articles 10 and 14 TEU state that the EU is a representative democracy, with Parliament as the direct representative of the European citizens at Union level, and that as co-legislator Parliament is on equal terms with the Council;

| G. | whereas Article 232 TFEU allows Parliament to adopt its own rules of procedure, under which it may determine the length of plenary sessions, in accordance with the treaties and the case law of the ECJ; |
| --- | --- |

G.

whereas Article 232 TFEU allows Parliament to adopt its own rules of procedure, under which it may determine the length of plenary sessions, in accordance with the treaties and the case law of the ECJ;

| H. | whereas the ECJ has stated that the location of the seat is not to hinder the well-functioning of Parliament; whereas it has further stated that while there are disadvantages and costs engendered by the plurality of working locations, any modification of the seat or working locations would require a Treaty change and, thus, the consent of the Member States; |
| --- | --- |

H.

whereas the ECJ has stated that the location of the seat is not to hinder the well-functioning of Parliament; whereas it has further stated that while there are disadvantages and costs engendered by the plurality of working locations, any modification of the seat or working locations would require a Treaty change and, thus, the consent of the Member States;

| I. | whereas Parliament has undergone a complete transformation, from a consultative body with 78 seconded members that — mostly for practical reasons — shared its facilities with the Parliamentary Assembly of the Council of Europe in Strasbourg, to a fully-fledged, directly elected Parliament with currently 766 members that is today co-legislator on equal terms with the Council; |
| --- | --- |

I.

whereas Parliament has undergone a complete transformation, from a consultative body with 78 seconded members that — mostly for practical reasons — shared its facilities with the Parliamentary Assembly of the Council of Europe in Strasbourg, to a fully-fledged, directly elected Parliament with currently 766 members that is today co-legislator on equal terms with the Council;

| J. | whereas the growth of its legislative capacity is illustrated by the increase in the number of co-decision procedures (now ordinary legislative procedures) from 165 in 1993-1999 to 454 in 2004-2009, to an even greater number in the current legislature; |
| --- | --- |

J.

whereas the growth of its legislative capacity is illustrated by the increase in the number of co-decision procedures (now ordinary legislative procedures) from 165 in 1993-1999 to 454 in 2004-2009, to an even greater number in the current legislature;

| K. | whereas the changing role of Parliament is also reflected in the increase by 150 % of inter-institutional meetings, from 16 000 to an estimated 40 000 between 2009 and 2013, and in the constant negotiations and trilogues, with the Commission, the Council and individual Member States, that now are part of the legislative process, and that have led to a sharp increase in the number of first-reading agreements, from 28 % in 1999-2004 to 72 % in 2004-2009; |
| --- | --- |

K.

whereas the changing role of Parliament is also reflected in the increase by 150 % of inter-institutional meetings, from 16 000 to an estimated 40 000 between 2009 and 2013, and in the constant negotiations and trilogues, with the Commission, the Council and individual Member States, that now are part of the legislative process, and that have led to a sharp increase in the number of first-reading agreements, from 28 % in 1999-2004 to 72 % in 2004-2009;

| L. | whereas the structure of Parliament’s calendar (fixed during the Edinburgh Summit in 1992) predates all changes to its role arising from the adoption of the Treaties of Maastricht, Amsterdam, Nice and Lisbon; |
| --- | --- |

L.

whereas the structure of Parliament’s calendar (fixed during the Edinburgh Summit in 1992) predates all changes to its role arising from the adoption of the Treaties of Maastricht, Amsterdam, Nice and Lisbon;

| M. | whereas the Council and the European Council have already concentrated their work in Brussels, where all European Council meetings — which previously were always held in the country of the rotating presidency — are now exclusively held; |
| --- | --- |

M.

whereas the Council and the European Council have already concentrated their work in Brussels, where all European Council meetings — which previously were always held in the country of the rotating presidency — are now exclusively held;

| N. | whereas the geographical distance between the official seats of the co-legislative bodies — 435 km — isolates Parliament, not only from the Council and the Commission but also from other stakeholders, such as NGOs, civil society organisations and Member State representations, and from one of the world’s largest international journalistic communities; |
| --- | --- |

N.

whereas the geographical distance between the official seats of the co-legislative bodies — 435 km — isolates Parliament, not only from the Council and the Commission but also from other stakeholders, such as NGOs, civil society organisations and Member State representations, and from one of the world’s largest international journalistic communities;

| O. | whereas the additional annual costs resulting from the geographic dispersion of Parliament have been estimated to range between EUR 156 million and EUR 204 million (12), equivalent to approximately 10 % of Parliament’s annual budget, while the environmental impact is also significant, with the CO2 emissions associated with the transfers to and from the three working locations estimated to be between 11 000 (13) and 19 000 tonnes (14); |
| --- | --- |

O.

whereas the additional annual costs resulting from the geographic dispersion of Parliament have been estimated to range between EUR 156 million and EUR 204 million (12), equivalent to approximately 10 % of Parliament’s annual budget, while the environmental impact is also significant, with the CO2 emissions associated with the transfers to and from the three working locations estimated to be between 11 000 (13) and 19 000 tonnes (14);

| P. | whereas Parliament’s current working arrangements also impose additional costs and travel on the other European Union institutions, in particular the Commission and Council, Member States’ representations, journalists and civil society representatives; |
| --- | --- |

P.

whereas Parliament’s current working arrangements also impose additional costs and travel on the other European Union institutions, in particular the Commission and Council, Member States’ representations, journalists and civil society representatives;

| Q. | whereas 78 % of all missions by Parliament statutory staff (on average, 3 172 each month) arise as a direct result of its geographic dispersion; whereas while Parliament’s buildings in Strasbourg are currently only being used 42 days per year (remaining unused for 89 % of the time), they need to be heated, staffed and maintained for the entire year; |
| --- | --- |

Q.

whereas 78 % of all missions by Parliament statutory staff (on average, 3 172 each month) arise as a direct result of its geographic dispersion; whereas while Parliament’s buildings in Strasbourg are currently only being used 42 days per year (remaining unused for 89 % of the time), they need to be heated, staffed and maintained for the entire year;

| R. | whereas the expenditure arising from the geographic dispersion of Parliament constitutes an important area of potential savings, particularly in the current economic climate; |
| --- | --- |

R.

whereas the expenditure arising from the geographic dispersion of Parliament constitutes an important area of potential savings, particularly in the current economic climate;

| S. | whereas Parliament, since its suggestion in 1958 to be sited in proximity to the Council and the Commission, has via numerous reports, declarations and statements repeatedly expressed its wish for a more practical and efficient working arrangement; |
| --- | --- |

S.

whereas Parliament, since its suggestion in 1958 to be sited in proximity to the Council and the Commission, has via numerous reports, declarations and statements repeatedly expressed its wish for a more practical and efficient working arrangement;

| T. | whereas citizens of the EU — including over one million citizens who endorsed a petition asking for a single seat — have repeatedly expressed their discontent with the current arrangements; |
| --- | --- |

T.

whereas citizens of the EU — including over one million citizens who endorsed a petition asking for a single seat — have repeatedly expressed their discontent with the current arrangements;

| U. | whereas arrangements affecting a parliament’s right to organisational self-determination are among the foremost concerns for a parliamentary system; |
| --- | --- |

U.

whereas arrangements affecting a parliament’s right to organisational self-determination are among the foremost concerns for a parliamentary system;

| V. | whereas in addition to the subjects dealt with in this report, there are other essential matters directly related to Parliament’s status and its function within the EU institutional machinery, and — on those points — convincing solutions have yet to be found; whereas these unresolved questions pertain to issues of electoral law, rules for a no-protest zone, immunity matters and points related to the Statute for Members; whereas attending to these should either be encompassed within Parliament’s right of organisational self-determination, exercised in the form of a general decision-making power, or, at the very least, be brought within the scope of the ordinary legislative procedure based on codecision; |
| --- | --- |

V.

whereas in addition to the subjects dealt with in this report, there are other essential matters directly related to Parliament’s status and its function within the EU institutional machinery, and — on those points — convincing solutions have yet to be found; whereas these unresolved questions pertain to issues of electoral law, rules for a no-protest zone, immunity matters and points related to the Statute for Members; whereas attending to these should either be encompassed within Parliament’s right of organisational self-determination, exercised in the form of a general decision-making power, or, at the very least, be brought within the scope of the ordinary legislative procedure based on codecision;

| 1. | Believes that the European Parliament, given that it is the only body directly representing the European citizens, should be granted the prerogative of determining its own working arrangements, including the right to decide where and when it holds its meetings; |
| --- | --- |

1.

Believes that the European Parliament, given that it is the only body directly representing the European citizens, should be granted the prerogative of determining its own working arrangements, including the right to decide where and when it holds its meetings;

| 2. | Agrees with the principle that the European Parliament would be more effective, cost-efficient and respectful of the environment if it were located in a single place; notes that the continuation of the monthly migration between Brussels and Strasbourg has amongst most EU citizens become a symbolic, negative issue detrimental to the European Union’s reputation, especially at a time when the financial crisis has led to serious and painful expenditure cuts in the Member States; |
| --- | --- |

2.

Agrees with the principle that the European Parliament would be more effective, cost-efficient and respectful of the environment if it were located in a single place; notes that the continuation of the monthly migration between Brussels and Strasbourg has amongst most EU citizens become a symbolic, negative issue detrimental to the European Union’s reputation, especially at a time when the financial crisis has led to serious and painful expenditure cuts in the Member States;

| 3. | Considers it perfectly legitimate to launch a debate on its right to determine its own working arrangements, including the right to decide where and when it is to meet; |
| --- | --- |

3.

Considers it perfectly legitimate to launch a debate on its right to determine its own working arrangements, including the right to decide where and when it is to meet;

| 4. | Commits itself, therefore, to initiating an ordinary treaty revision procedure under Article 48 TEU with a view to proposing the changes to Article 341 TFEU and Protocol 6 necessary to allow Parliament to decide on the location of its seat and its internal organisation; |
| --- | --- |

4.

Commits itself, therefore, to initiating an ordinary treaty revision procedure under Article 48 TEU with a view to proposing the changes to Article 341 TFEU and Protocol 6 necessary to allow Parliament to decide on the location of its seat and its internal organisation;

| 5. | Decides not to make any recommendations regarding the seats of the other EU institutions; |
| --- | --- |

5.

Decides not to make any recommendations regarding the seats of the other EU institutions;

| 6. | Maintains that it will be necessary to evaluate the financial and economic consequences entailed in a change of seat or place of work and to agree on an appropriate compromise whereby existing Parliament buildings can continue to be used; |
| --- | --- |

6.

Maintains that it will be necessary to evaluate the financial and economic consequences entailed in a change of seat or place of work and to agree on an appropriate compromise whereby existing Parliament buildings can continue to be used;

| 7. | Acknowledges that any future decision by Parliament on its working arrangements must allow sufficient time for debate and reflection, as well as for an orderly transition; |
| --- | --- |

7.

Acknowledges that any future decision by Parliament on its working arrangements must allow sufficient time for debate and reflection, as well as for an orderly transition;

| 8. | Asks the Court of Auditors, or a similar independent agency, to provide a comprehensive analysis of the potential savings for the EU budget if Parliament had only one seat; asks that this analysis include budgetary aspects and ancillary costs such as savings made through reduced loss of working time and greater efficiency; |
| --- | --- |

8.

Asks the Court of Auditors, or a similar independent agency, to provide a comprehensive analysis of the potential savings for the EU budget if Parliament had only one seat; asks that this analysis include budgetary aspects and ancillary costs such as savings made through reduced loss of working time and greater efficiency;

| 9. | Calls on the Bureau to commission Eurobarometer, or a similar professional polling service, to conduct, by 1 January 2014, a survey of the European citizens’ views on the prospect of maintaining Parliament’s three places of work, with specific reference to the financial, environmental and efficiency costs of this arrangement; |
| --- | --- |

9.

Calls on the Bureau to commission Eurobarometer, or a similar professional polling service, to conduct, by 1 January 2014, a survey of the European citizens’ views on the prospect of maintaining Parliament’s three places of work, with specific reference to the financial, environmental and efficiency costs of this arrangement;

| 10. | Instructs its President to forward this resolution to the Council, the Commission, the European Council, and the Heads of State and Government and parliaments of the Member States. |
| --- | --- |

10.

Instructs its President to forward this resolution to the Council, the Commission, the European Council, and the Heads of State and Government and parliaments of the Member States.

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(1)  OJ 9, 26.7.1958, p. 210 and 234.

(2)  OJ C 234, 14.9.1981, p. 22.

(3)  OJ C 40, 7.2.2001, p. 409.

(4)  OJ C 380 E, 11.12.2012, p. 89.

(5)  OJ L 286, 17.10.2012, p. 3.

(6)  OJ C 249 E, 30.8.2013, p. 18.

(7)  OJ C 257 E, 6.9.2013, p. 104.

(8)  Texts adopted, P7_TA(2012)0289.

(9)  Case C-230/81, Grand Duchy of Luxembourg v European Parliament.

(10)  Case C-345/95, French Republic v Parliament.

(11)  Case C-237/11 and C-238/11, French Republic v Parliament.

(12)  The 2002 report by the Secretary General of the European Parliament is the last comprehensive cost estimate available. The range of EUR 169-204 million per year, confirmed by the 2012 Joint Working Group Report of the Bureau and Budget Committee, is calculated on the basis that the EUR 148 million estimate is complemented by the EUR 28,3 million annual amortisation cost for the Strasbourg buildings that need to be taken into account since the purchase of those buildings. In a response from the Secretary General on 30 August 2013 to the requests made in paragraph 10 of Parliament’s resolution of 6 February 2013 on the guidelines for the 2014 budget procedure, the additional costs of the Strasbourg seat are estimated at EUR 103 million, amounting to a total sum of EUR 156 million when the amortisation and unused floor estimates indicated in the Joint Working Group Report from 2012 are added.

(13)  ‘The three places of work of the European Parliament — financial, environmental and regional impacts of geographic dispersion, note prepared by the Secretary General of the European Parliament on 30 August 2013 in response to the request made in paragraph 10 of Parliament’s resolution of 6 February 2013 on the guidelines for the 2014 budget procedure.

(14)  ‘European Parliament two-seat operation: Environmental costs, transport & energy’, report prepared by Eco-Logica Ltd. for the Greens/EFA, November 2007.

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Thursday 21 November 2013

| 24.11.2016 | EN | Official Journal of the European Union | C 436/6 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/6

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P7_TA(2013)0511

State of play of the Doha development

European Parliament resolution of 21 November 2013 on the state of play of the Doha Development Agenda and preparations for the Ninth WTO Ministerial Conference (2013/2740(RSP))

(2016/C 436/02)

The European Parliament,

| — | having regard to the Doha Ministerial Declaration of the World Trade Organisation (WTO) of 14 November 2001, |
| --- | --- |

—

having regard to the Doha Ministerial Declaration of the World Trade Organisation (WTO) of 14 November 2001,

| — | having regard to the Hong Kong Ministerial Declaration of the WTO of 18 December 2005, |
| --- | --- |

—

having regard to the Hong Kong Ministerial Declaration of the WTO of 18 December 2005,

| — | having regard to its resolution of 4 April 2006 on the assessment of the Doha Round following the WTO Ministerial Conference in Hong Kong (1), |
| --- | --- |

—

having regard to its resolution of 4 April 2006 on the assessment of the Doha Round following the WTO Ministerial Conference in Hong Kong (1),

| — | having regard to its resolution of 24 April 2008 entitled ‘Towards a reform of the World Trade Organisation’ (2), |
| --- | --- |

—

having regard to its resolution of 24 April 2008 entitled ‘Towards a reform of the World Trade Organisation’ (2),

| — | having regard to its previous resolutions on the Doha Development Agenda (DDA), in particular those of 9 October 2008 (3), 16 December 2009 (4), and of 14 September 2011 (5), |
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—

having regard to its previous resolutions on the Doha Development Agenda (DDA), in particular those of 9 October 2008 (3), 16 December 2009 (4), and of 14 September 2011 (5),

| — | having regard to the Declaration adopted on 29 May 2013 at the 28th session of the Steering Committee of the Parliamentary Conference on the WTO, |
| --- | --- |

—

having regard to the Declaration adopted on 29 May 2013 at the 28th session of the Steering Committee of the Parliamentary Conference on the WTO,

| — | having regard to the statements made at the informal meetings of the Trade Negotiations Committee (TNC) of 11 April and 3 June 2013 and at the formal TNC meeting of 22 July 2013, |
| --- | --- |

—

having regard to the statements made at the informal meetings of the Trade Negotiations Committee (TNC) of 11 April and 3 June 2013 and at the formal TNC meeting of 22 July 2013,

| — | having regard to the United Nations Millennium Development Goals, |
| --- | --- |

—

having regard to the United Nations Millennium Development Goals,

| — | having regard to the Fourth Global Review of Aid for Trade, which took place from 8 to 10 July 2013, |
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—

having regard to the Fourth Global Review of Aid for Trade, which took place from 8 to 10 July 2013,

| — | having regard to Rule 110(2) of its Rules of Procedure, |
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—

having regard to Rule 110(2) of its Rules of Procedure,

| A. | whereas the Doha Round was launched in 2001 with the objectives of creating new trading opportunities, strengthening multilateral trade rules and addressing current imbalances in the trading system by placing the needs and interests of developing countries, and especially of the least developed countries (LDCs), at the heart of the negotiations; whereas these objectives stem from the conviction that a multilateral system based on more just and equitable rules can contribute to fair and free trade at the service of the economic development of all continents and the alleviation of poverty; |
| --- | --- |

A.

whereas the Doha Round was launched in 2001 with the objectives of creating new trading opportunities, strengthening multilateral trade rules and addressing current imbalances in the trading system by placing the needs and interests of developing countries, and especially of the least developed countries (LDCs), at the heart of the negotiations; whereas these objectives stem from the conviction that a multilateral system based on more just and equitable rules can contribute to fair and free trade at the service of the economic development of all continents and the alleviation of poverty;

| B. | whereas the EU has consistently advocated for a strong multilateral rules-based approach to trade, whilst recognising that complementary approaches such as bilateral, regional and plurilateral agreements may also foster trade opening, especially by unlocking liberalisation and upgrading rules and disciplines in policy areas tackled less thoroughly in the WTO, and may support the multilateral system, provided such agreements are WTO-compliant; |
| --- | --- |

B.

whereas the EU has consistently advocated for a strong multilateral rules-based approach to trade, whilst recognising that complementary approaches such as bilateral, regional and plurilateral agreements may also foster trade opening, especially by unlocking liberalisation and upgrading rules and disciplines in policy areas tackled less thoroughly in the WTO, and may support the multilateral system, provided such agreements are WTO-compliant;

| C. | whereas the WTO and the rules enshrined in the WTO-covered agreements have been instrumental in avoiding fully fledged and widespread protectionism as a response to the most serious financial and economic crisis since the 1930s; |
| --- | --- |

C.

whereas the WTO and the rules enshrined in the WTO-covered agreements have been instrumental in avoiding fully fledged and widespread protectionism as a response to the most serious financial and economic crisis since the 1930s;

| D. | whereas open and fair multilateral trade is being constrained more by various non-tariff barriers (NTBs) than by trade tariffs, which are being waived substantially as globalisation progresses; |
| --- | --- |

D.

whereas open and fair multilateral trade is being constrained more by various non-tariff barriers (NTBs) than by trade tariffs, which are being waived substantially as globalisation progresses;

| E. | whereas the WTO Ministerial Meeting to conclude the Doha Round stalled at the end of July 2008; |
| --- | --- |

E.

whereas the WTO Ministerial Meeting to conclude the Doha Round stalled at the end of July 2008;

| F. | whereas there have been various attempts and initiatives in the last few years aimed at giving much-needed impetus to the stalled Doha Development Agenda; |
| --- | --- |

F.

whereas there have been various attempts and initiatives in the last few years aimed at giving much-needed impetus to the stalled Doha Development Agenda;

| G. | whereas the Ninth Ministerial WTO Conference will take place in Indonesia from 3 to 6 December 2013; |
| --- | --- |

G.

whereas the Ninth Ministerial WTO Conference will take place in Indonesia from 3 to 6 December 2013;

| 1. | Reiterates its full commitment to the enduring value of multilateralism, but supports a structural reform of the WTO, which is needed in order better to guarantee an open, fair and non-discriminatory trading system based on shared rules, which takes greater account of the role and interests of SMEs; |
| --- | --- |

1.

Reiterates its full commitment to the enduring value of multilateralism, but supports a structural reform of the WTO, which is needed in order better to guarantee an open, fair and non-discriminatory trading system based on shared rules, which takes greater account of the role and interests of SMEs;

| 2. | Emphasises the systemic importance of achieving an ambitious and balanced outcome at the Ninth Ministerial Conference which would be acceptable to all WTO members and help set the stage for further multilateral negotiations; |
| --- | --- |

2.

Emphasises the systemic importance of achieving an ambitious and balanced outcome at the Ninth Ministerial Conference which would be acceptable to all WTO members and help set the stage for further multilateral negotiations;

| 3. | Calls for a trade agenda based on free and fair trade for the benefit of all, which should have development at the centre of the process; stresses the importance of taking full account in the negotiations of the special needs and interests of low-income developing countries and LDCs; reiterates the imperative need to ensure that the principle of special and differential treatment (S&DT) constitutes an integral part of all layers of the negotiations, reflecting the varying economic development levels of WTO members as set out in paragraph 44 of the Doha Ministerial Declaration; considers that meaningful S&DT provisions should be made more precise, subject to periodic reviews and targeted; |
| --- | --- |

3.

Calls for a trade agenda based on free and fair trade for the benefit of all, which should have development at the centre of the process; stresses the importance of taking full account in the negotiations of the special needs and interests of low-income developing countries and LDCs; reiterates the imperative need to ensure that the principle of special and differential treatment (S&DT) constitutes an integral part of all layers of the negotiations, reflecting the varying economic development levels of WTO members as set out in paragraph 44 of the Doha Ministerial Declaration; considers that meaningful S&DT provisions should be made more precise, subject to periodic reviews and targeted;

| 4. | Believes that trade liberalisation is an important tool to ensure sustainable economic growth and development, but that it needs to be accompanied by appropriate flanking policies encompassing macro- and micro-economic interventions, including budget transparency, fiscal policies and tax equity, administrative simplification, education and training, institutional reforms and social policies, so as to maximise and distribute better the benefits of trade reforms and effectively counterbalance any negative effects; |
| --- | --- |

4.

Believes that trade liberalisation is an important tool to ensure sustainable economic growth and development, but that it needs to be accompanied by appropriate flanking policies encompassing macro- and micro-economic interventions, including budget transparency, fiscal policies and tax equity, administrative simplification, education and training, institutional reforms and social policies, so as to maximise and distribute better the benefits of trade reforms and effectively counterbalance any negative effects;

| 5. | Stresses that WTO Members have recognised that, as there are still countries that do not have the human, institutional and infrastructural capacity to participate effectively in international trade, the multilateral system needs to be accompanied by improvements in trade capacity, which is an essential complement to the Doha Development Agenda; also believes, however, that assistance for countries seeking to accede to the WTO should continue to be a priority; |
| --- | --- |

5.

Stresses that WTO Members have recognised that, as there are still countries that do not have the human, institutional and infrastructural capacity to participate effectively in international trade, the multilateral system needs to be accompanied by improvements in trade capacity, which is an essential complement to the Doha Development Agenda; also believes, however, that assistance for countries seeking to accede to the WTO should continue to be a priority;

| 6. | Emphasises in this context the successful role that the Aid for Trade Initiative has played; regrets the fact that, for the first time since its launch in 2005, the amount of the commitments was reduced in 2011 because of the financial crisis, which resulted in less support for large economic infrastructure projects, with commitments in the transport and energy sector falling; notes that technical assistance in the field of trade and multilateral initiatives such as the preferential tariff treatment granted under the WTO can help to offset this reduction in commitments; calls on the WTO members, particularly developed countries and emerging economies, to make greater use of this possibility; |
| --- | --- |

6.

Emphasises in this context the successful role that the Aid for Trade Initiative has played; regrets the fact that, for the first time since its launch in 2005, the amount of the commitments was reduced in 2011 because of the financial crisis, which resulted in less support for large economic infrastructure projects, with commitments in the transport and energy sector falling; notes that technical assistance in the field of trade and multilateral initiatives such as the preferential tariff treatment granted under the WTO can help to offset this reduction in commitments; calls on the WTO members, particularly developed countries and emerging economies, to make greater use of this possibility;

| 7. | Insists on the need to renew the WTO system, taking into account the requirements of SMEs in international trade and the need for simplified rules, in terms of both trade facilitation and international arbitration court systems, in order to avoid the difficulties involved in disputes with customs or trade authorities in some WTO member countries; |
| --- | --- |

7.

Insists on the need to renew the WTO system, taking into account the requirements of SMEs in international trade and the need for simplified rules, in terms of both trade facilitation and international arbitration court systems, in order to avoid the difficulties involved in disputes with customs or trade authorities in some WTO member countries;

| 8. | Draws attention to the Fourth Aid for Trade Review Conference held in July 2013 in Geneva, which showed the benefits that developing countries gain from global value chains; points, however, to the fact that participants identified trade-related constraints that prevent developing-country firms from linking to or moving up value chains, such as inadequate infrastructure, high transportation and shipping costs, inadequate access to trade finance, inability to attract foreign direct investment, lack of comparative advantage and high market entry costs; |
| --- | --- |

8.

Draws attention to the Fourth Aid for Trade Review Conference held in July 2013 in Geneva, which showed the benefits that developing countries gain from global value chains; points, however, to the fact that participants identified trade-related constraints that prevent developing-country firms from linking to or moving up value chains, such as inadequate infrastructure, high transportation and shipping costs, inadequate access to trade finance, inability to attract foreign direct investment, lack of comparative advantage and high market entry costs;

| 9. | Recognises the importance of the agricultural sector; believes that the EU should support measures addressing genuine food security concerns of developing countries; recalls that, in this connection, the EU should ensure coherence between the various EU policies in the field of external action, as enshrined notably in Articles 205 to 208 of the Treaty on the Functioning of the European Union and Article 21 of the Treaty on European Union, namely development policy and the common commercial policy, taking account of the needs and concerns both of its Member States and of developing countries; |
| --- | --- |

9.

Recognises the importance of the agricultural sector; believes that the EU should support measures addressing genuine food security concerns of developing countries; recalls that, in this connection, the EU should ensure coherence between the various EU policies in the field of external action, as enshrined notably in Articles 205 to 208 of the Treaty on the Functioning of the European Union and Article 21 of the Treaty on European Union, namely development policy and the common commercial policy, taking account of the needs and concerns both of its Member States and of developing countries;

| 10. | Calls on developed countries and emerging economies to follow the example of the EU Everything but Arms initiative, offering the least developed countries (LDCs) 100 % duty-free, quota-free market access, and to ensure that the LDC services waiver is implemented; |
| --- | --- |

10.

Calls on developed countries and emerging economies to follow the example of the EU Everything but Arms initiative, offering the least developed countries (LDCs) 100 % duty-free, quota-free market access, and to ensure that the LDC services waiver is implemented;

| 11. | Considers that a binding agreement on trade facilitation would bring significant benefits to all WTO members, and in particular to developing countries and to relevant economic operators, by enhancing transparency and legal certainty and reducing the administrative costs and the length of customs procedures, which would in turn enable them to benefit fully from the opportunities provided by the growing prevalence of regional and global supply chains and enable SMEs to take advantage of more open markets; points out that capacity building and technical assistance should continue to be made available to developing countries, in order to enable them to increase their production capacities so that they can benefit from a bigger share of the value added in global value chains; |
| --- | --- |

11.

Considers that a binding agreement on trade facilitation would bring significant benefits to all WTO members, and in particular to developing countries and to relevant economic operators, by enhancing transparency and legal certainty and reducing the administrative costs and the length of customs procedures, which would in turn enable them to benefit fully from the opportunities provided by the growing prevalence of regional and global supply chains and enable SMEs to take advantage of more open markets; points out that capacity building and technical assistance should continue to be made available to developing countries, in order to enable them to increase their production capacities so that they can benefit from a bigger share of the value added in global value chains;

| 12. | Recalls that a recent EU-commissioned DDA impact study indicates that trade facilitation could be worth as much in economic terms as the gains from goods and services liberalisation put together; recalls that improved customs procedures alone have the potential to add EUR 68 billion a year in world GDP and that for many developing countries trade facilitation would be the main source of gains; |
| --- | --- |

12.

Recalls that a recent EU-commissioned DDA impact study indicates that trade facilitation could be worth as much in economic terms as the gains from goods and services liberalisation put together; recalls that improved customs procedures alone have the potential to add EUR 68 billion a year in world GDP and that for many developing countries trade facilitation would be the main source of gains;

| 13. | Considers that due priority should be given at WTO level to trade and investment barriers that affect the service sectors, including ICT and telecommunications, professional and business services, financial services, e-commerce, construction, retail and distribution; these non-tariff measures, including domestic regulations, ownership restrictions and various crisis measures (including discriminatory provisions in public procurement), are of particular importance given the higher value added of services trade and the EU’s position as the largest exporter of services; |
| --- | --- |

13.

Considers that due priority should be given at WTO level to trade and investment barriers that affect the service sectors, including ICT and telecommunications, professional and business services, financial services, e-commerce, construction, retail and distribution; these non-tariff measures, including domestic regulations, ownership restrictions and various crisis measures (including discriminatory provisions in public procurement), are of particular importance given the higher value added of services trade and the EU’s position as the largest exporter of services;

| 14. | Welcomes, therefore, the opening of negotiations on a plurilateral Trade in Services Agreement (TiSA), which is in keeping with the Eighth Ministerial Conference’s objective of exploring new ways for the WTO membership to further liberalise trade in services; stresses the EU’s commitment to promoting work in this area and working towards ‘multilateralising’ the TiSA by ensuring that it takes over the definitions, rules and principles forming the core of the General Agreement on Trade in Services (GATS); underlines the importance of ensuring that any agreement is ambitious, expanding the coverage and deepening the rules regarding liberalisation of trade in services, while preserving WTO members’ national policy objectives and their right to regulate services of general interest and to take bilateral and plurilateral commitments, and that the outcome is firmly anchored to the WTO architecture; |
| --- | --- |

14.

Welcomes, therefore, the opening of negotiations on a plurilateral Trade in Services Agreement (TiSA), which is in keeping with the Eighth Ministerial Conference’s objective of exploring new ways for the WTO membership to further liberalise trade in services; stresses the EU’s commitment to promoting work in this area and working towards ‘multilateralising’ the TiSA by ensuring that it takes over the definitions, rules and principles forming the core of the General Agreement on Trade in Services (GATS); underlines the importance of ensuring that any agreement is ambitious, expanding the coverage and deepening the rules regarding liberalisation of trade in services, while preserving WTO members’ national policy objectives and their right to regulate services of general interest and to take bilateral and plurilateral commitments, and that the outcome is firmly anchored to the WTO architecture;

| 15. | Considers that the transfer of technology can be a vector for economic growth and foster trade; welcomes the resumption of negotiations on the expansion of the Information Technology Agreement, which increases both the range of products covered and the number of countries within its scope; strongly encourages all parties to the negotiations to continue their efforts with a view to reaching an agreement in time for the Ninth Ministerial Conference; |
| --- | --- |

15.

Considers that the transfer of technology can be a vector for economic growth and foster trade; welcomes the resumption of negotiations on the expansion of the Information Technology Agreement, which increases both the range of products covered and the number of countries within its scope; strongly encourages all parties to the negotiations to continue their efforts with a view to reaching an agreement in time for the Ninth Ministerial Conference;

| 16. | Welcomes the revision of the WTO plurilateral Government Procurement Agreement (GPA) as agreed in March 2012, and recognises the importance of the EU approving the revised GPA before the Ninth Ministerial Conference with a view to its being able to enter into force by 2014; believes that clearer and more stringent rules for award procedures will foster transparency in public procurement and, together with the extended coverage of goods and services and entities, will provide greater opportunities for its signatories; calls on WTO Members, in particular developing countries and current observers of the GPA, to consider joining the agreement, in order to take advantage of the new provisions for developing countries that increase flexibility and to reap its benefits; |
| --- | --- |

16.

Welcomes the revision of the WTO plurilateral Government Procurement Agreement (GPA) as agreed in March 2012, and recognises the importance of the EU approving the revised GPA before the Ninth Ministerial Conference with a view to its being able to enter into force by 2014; believes that clearer and more stringent rules for award procedures will foster transparency in public procurement and, together with the extended coverage of goods and services and entities, will provide greater opportunities for its signatories; calls on WTO Members, in particular developing countries and current observers of the GPA, to consider joining the agreement, in order to take advantage of the new provisions for developing countries that increase flexibility and to reap its benefits;

| 17. | Is pleased by the positive decision taken in June 2013 to extend the Trade-Related Intellectual Property Rules (TRIPS) exemption by another eight years until 1 July 2021 for LDCs, which is a further way of ensuring that the world trading system does not adopt a one-size-fits-all approach but rather takes account of the specificities of each developing country; |
| --- | --- |

17.

Is pleased by the positive decision taken in June 2013 to extend the Trade-Related Intellectual Property Rules (TRIPS) exemption by another eight years until 1 July 2021 for LDCs, which is a further way of ensuring that the world trading system does not adopt a one-size-fits-all approach but rather takes account of the specificities of each developing country;

| 18. | Encourages the WTO membership to proactively support the WTO’s efforts in establishing effective and efficient working links and deeper cooperation with other international organisations whose work has a bearing on world trade talks, in particular the International Labour Organisation, the World Health Organisation, and the UN and its agencies and bodies, such as the UN Conference on Trade and Development, the Food and Agriculture Organisation, the UN Environment Programme, the UN Development Programme and the UN Framework Convention on Climate Change, as well as the IMF, the World Bank and the OECD, in order to ensure mutual support and synergies between trade and non-trade concerns; supports efforts aiming for the adoption of international standards and regulatory cooperation; |
| --- | --- |

18.

Encourages the WTO membership to proactively support the WTO’s efforts in establishing effective and efficient working links and deeper cooperation with other international organisations whose work has a bearing on world trade talks, in particular the International Labour Organisation, the World Health Organisation, and the UN and its agencies and bodies, such as the UN Conference on Trade and Development, the Food and Agriculture Organisation, the UN Environment Programme, the UN Development Programme and the UN Framework Convention on Climate Change, as well as the IMF, the World Bank and the OECD, in order to ensure mutual support and synergies between trade and non-trade concerns; supports efforts aiming for the adoption of international standards and regulatory cooperation;

| 19. | Calls for thorough consideration of the issue of how better to address non-trade concerns under the WTO rules, in order to allow its members to pursue legitimate policy objectives while safeguarding market access; stresses, in this connection, that efforts for the adoption and effective implementation of international social, labour, environmental and human rights standards should be strongly supported, and the necessary aid granted to developing countries to enable them to meet such standards; |
| --- | --- |

19.

Calls for thorough consideration of the issue of how better to address non-trade concerns under the WTO rules, in order to allow its members to pursue legitimate policy objectives while safeguarding market access; stresses, in this connection, that efforts for the adoption and effective implementation of international social, labour, environmental and human rights standards should be strongly supported, and the necessary aid granted to developing countries to enable them to meet such standards;

| 20. | Is convinced that the failure to differentiate sufficiently between developing countries, in spite of their widely varying economic development levels and specific needs, could be an obstacle to adopting effective measures to benefit these countries in accordance with the stated objective of the Doha Round and is to the detriment of those developing countries that are most in need; urges advanced developing countries to take their share of responsibility already during the current round and to make contributions commensurate with their level of development and sectoral competitiveness; |
| --- | --- |

20.

Is convinced that the failure to differentiate sufficiently between developing countries, in spite of their widely varying economic development levels and specific needs, could be an obstacle to adopting effective measures to benefit these countries in accordance with the stated objective of the Doha Round and is to the detriment of those developing countries that are most in need; urges advanced developing countries to take their share of responsibility already during the current round and to make contributions commensurate with their level of development and sectoral competitiveness;

| 21. | Takes the view that serious consideration should be given to the issue of categorisation or sub-categorisation, not only of developing countries but also of all other WTO members, on the basis of objective criteria which are not exclusively linked to gross national product, with a view to a possible differentiated application of existing agreements or of those under negotiation; |
| --- | --- |

21.

Takes the view that serious consideration should be given to the issue of categorisation or sub-categorisation, not only of developing countries but also of all other WTO members, on the basis of objective criteria which are not exclusively linked to gross national product, with a view to a possible differentiated application of existing agreements or of those under negotiation;

| 22. | Believes that it is vital to conclude the longstanding Doha Round with its development mandate fulfilled; urges all WTO members, therefore, to explore all possible options with that end-goal in mind in order to achieve a balanced result; |
| --- | --- |

22.

Believes that it is vital to conclude the longstanding Doha Round with its development mandate fulfilled; urges all WTO members, therefore, to explore all possible options with that end-goal in mind in order to achieve a balanced result;

| 23. | Insists that the EU should continue to play a leading role in promoting tangible progress in the ongoing WTO negotiations with a view to the full conclusion of the Doha Development Round in the foreseeable future, as well as in facilitating the full participation of LDCs in global trade by acting as a bridge between the various positions of the WTO members; |
| --- | --- |

23.

Insists that the EU should continue to play a leading role in promoting tangible progress in the ongoing WTO negotiations with a view to the full conclusion of the Doha Development Round in the foreseeable future, as well as in facilitating the full participation of LDCs in global trade by acting as a bridge between the various positions of the WTO members;

| 24. | Stresses the crucial importance of the WTO as regards implementing and enforcing binding commitments and resolving trade disputes; |
| --- | --- |

24.

Stresses the crucial importance of the WTO as regards implementing and enforcing binding commitments and resolving trade disputes;

| 25. | Considers that WTO members should nevertheless intensify their efforts in other areas identified by the Doha Ministerial Declaration, such as trade in environmental goods and services, which could significantly contribute to sustainable development and the fight against climate change; calls on WTO members to take note of the APEC List of Environmental Goods; urges the EU to continue pushing for the initiation of an Environmental Technology Agreement aimed at reducing tariffs on environmental technology products and to seek clarification on the legal relationship between WTO rules and multilateral environmental agreements; |
| --- | --- |

25.

Considers that WTO members should nevertheless intensify their efforts in other areas identified by the Doha Ministerial Declaration, such as trade in environmental goods and services, which could significantly contribute to sustainable development and the fight against climate change; calls on WTO members to take note of the APEC List of Environmental Goods; urges the EU to continue pushing for the initiation of an Environmental Technology Agreement aimed at reducing tariffs on environmental technology products and to seek clarification on the legal relationship between WTO rules and multilateral environmental agreements;

| 26. | Calls on the Commission and the Council to ensure that Parliament continues to be closely involved in the preparation of the Ninth Ministerial Conference taking place in Bali from 3 to 6 December 2013, is promptly updated and, if necessary, is consulted during the Ministerial Conference; calls on the Commission to continue to make the case to other WTO Members for increasing the importance of the parliamentary dimension of the WTO; |
| --- | --- |

26.

Calls on the Commission and the Council to ensure that Parliament continues to be closely involved in the preparation of the Ninth Ministerial Conference taking place in Bali from 3 to 6 December 2013, is promptly updated and, if necessary, is consulted during the Ministerial Conference; calls on the Commission to continue to make the case to other WTO Members for increasing the importance of the parliamentary dimension of the WTO;

| 27. | Calls on WTO members to ensure democratic legitimacy by strengthening the parliamentary dimension of the WTO; stresses, in this connection, the need to ensure that parliamentarians have better access to trade negotiations and are involved in the formulation and implementation of WTO decisions, and that trade policies are properly scrutinised in the interests of their citizens; calls, therefore, for the establishment of a permanent European parliamentary delegation to the WTO; |
| --- | --- |

27.

Calls on WTO members to ensure democratic legitimacy by strengthening the parliamentary dimension of the WTO; stresses, in this connection, the need to ensure that parliamentarians have better access to trade negotiations and are involved in the formulation and implementation of WTO decisions, and that trade policies are properly scrutinised in the interests of their citizens; calls, therefore, for the establishment of a permanent European parliamentary delegation to the WTO;

| 28. | Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and the Director-General of the WTO. |
| --- | --- |

28.

Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States and the Director-General of the WTO.

---

(1)  OJ C 293 E, 2.12.2006, p. 155.

(2)  OJ C 259 E, 29.10.2009, p. 77.

(3)  OJ C 9 E, 15.1.2010, p. 31.

(4)  OJ C 286 E, 22.10.2010, p. 1.

(5)  OJ C 51 E, 22.2.2013, p. 84.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/11 |
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24.11.2016

EN

Official Journal of the European Union

C 436/11

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P7_TA(2013)0512

Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe

European Parliament resolution of 21 November 2013 on the Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe (2013/2532(RSP))

(2016/C 436/03)

The European Parliament,

| — | having regard to the question to the Commission on the Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe (O-000110/2013 — B7-0520/2013), |
| --- | --- |

—

having regard to the question to the Commission on the Entrepreneurship 2020 action plan — Reigniting the entrepreneurial spirit in Europe (O-000110/2013 — B7-0520/2013),

| — | 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,

I.   
  The entrepreneurial spirit and entrepreneurial education and training

| 1. | Expects that all the measures proposed to promote entrepreneurship at national and European level will concern all types of enterprise, such as the liberal professions, cooperatives, craft enterprises and social enterprises; |
| --- | --- |

1.

Expects that all the measures proposed to promote entrepreneurship at national and European level will concern all types of enterprise, such as the liberal professions, cooperatives, craft enterprises and social enterprises;

| 2. | Points out that business and entrepreneurial aptitudes and skills are key competences for lifelong learning and that, in response to low economic growth and high unemployment, more decisive short-term and medium-term measures are needed to promote and enable entrepreneurship, especially among young people; |
| --- | --- |

2.

Points out that business and entrepreneurial aptitudes and skills are key competences for lifelong learning and that, in response to low economic growth and high unemployment, more decisive short-term and medium-term measures are needed to promote and enable entrepreneurship, especially among young people;

| 3. | Acknowledges that Member States are responsible for business, entrepreneurial and social education and training and that training schemes are often more targeted and cost-effective if structured at local and national level; believes that EU initiatives could and should complement Member States’ actions in this field in a useful way, in particular through cooperation and the exchange of best practices; |
| --- | --- |

3.

Acknowledges that Member States are responsible for business, entrepreneurial and social education and training and that training schemes are often more targeted and cost-effective if structured at local and national level; believes that EU initiatives could and should complement Member States’ actions in this field in a useful way, in particular through cooperation and the exchange of best practices;

| 4. | Stresses the need to give incentives to employers who offer low-skilled or unskilled people (including Roma) training and opportunities to acquire practical experience directly at the workplace; |
| --- | --- |

4.

Stresses the need to give incentives to employers who offer low-skilled or unskilled people (including Roma) training and opportunities to acquire practical experience directly at the workplace;

| 5. | Is concerned about the decline in the number of EU citizens contemplating self-employment, in the current climate of economic uncertainty; considers that the EU and the Member States should step up their coordinated efforts to improve entrepreneurial culture in Europe and to explore the possibility of adopting specific measures and targets to make entrepreneurship attractive again, including for skilled employees with professional experience and particularly in sectors which are of strategic importance for the Union; believes, for example, that a strong link should be established between such initiatives and the Commission’s activities in the field of industrial policy; believes that such measures should include actions to facilitate business creation; |
| --- | --- |

5.

Is concerned about the decline in the number of EU citizens contemplating self-employment, in the current climate of economic uncertainty; considers that the EU and the Member States should step up their coordinated efforts to improve entrepreneurial culture in Europe and to explore the possibility of adopting specific measures and targets to make entrepreneurship attractive again, including for skilled employees with professional experience and particularly in sectors which are of strategic importance for the Union; believes, for example, that a strong link should be established between such initiatives and the Commission’s activities in the field of industrial policy; believes that such measures should include actions to facilitate business creation;

| 6. | Takes note of the Commission’s proposed measures and initiatives on entrepreneurial education and training, and calls on the Member States to implement them without delay, in accordance with the principle of subsidiarity; highlights in this regards the EU’s ‘New skills for new jobs’ initiative; welcomes the call on Member States to include entrepreneurial education and training as key competences in national programmes; |
| --- | --- |

6.

Takes note of the Commission’s proposed measures and initiatives on entrepreneurial education and training, and calls on the Member States to implement them without delay, in accordance with the principle of subsidiarity; highlights in this regards the EU’s ‘New skills for new jobs’ initiative; welcomes the call on Member States to include entrepreneurial education and training as key competences in national programmes;

| 7. | Believes that, in order to give new potential entrepreneurs the skills to run a business in a way that enhances its positive contribution to society whilst minimising negative impacts on people and the environment, initiatives should be taken to include strong sustainability and social responsibility criteria in entrepreneurial education; |
| --- | --- |

7.

Believes that, in order to give new potential entrepreneurs the skills to run a business in a way that enhances its positive contribution to society whilst minimising negative impacts on people and the environment, initiatives should be taken to include strong sustainability and social responsibility criteria in entrepreneurial education;

| 8. | Regards the ‘Network of SME Envoys’ as a potential core forum for exchanging proven practice and assessing progress on implementation; |
| --- | --- |

8.

Regards the ‘Network of SME Envoys’ as a potential core forum for exchanging proven practice and assessing progress on implementation;

| 9. | Supports the ambition that lies behind the planned introduction of the Youth Guarantee and the willingness to allocate sufficient funding to it as an important measure to help Member States in their efforts to mitigate the effects of massive youth unemployment, particularly in countries harshly affected by the crisis; underscores the importance of the planned measures to promote entrepreneurship and entrepreneurial education and training, as they are aimed at creating sustainable employment and entail virtually no windfall effects; calls on the Commission and Member States to assess further measures, such as tax relief, to encourage SMEs to employ young people; |
| --- | --- |

9.

Supports the ambition that lies behind the planned introduction of the Youth Guarantee and the willingness to allocate sufficient funding to it as an important measure to help Member States in their efforts to mitigate the effects of massive youth unemployment, particularly in countries harshly affected by the crisis; underscores the importance of the planned measures to promote entrepreneurship and entrepreneurial education and training, as they are aimed at creating sustainable employment and entail virtually no windfall effects; calls on the Commission and Member States to assess further measures, such as tax relief, to encourage SMEs to employ young people;

| 10. | Calls on the Commission to strengthen its back-up, advisory and assistance measures for businesses, especially smaller ones, through intermediary organisations, and to set up programmes to facilitate guidance and assistance by older entrepreneurs who have the motivation to act as mentors or tutors for young entrepreneurs who are about to launch start-ups or take over crisis-stricken companies, by providing know-how and experience; |
| --- | --- |

10.

Calls on the Commission to strengthen its back-up, advisory and assistance measures for businesses, especially smaller ones, through intermediary organisations, and to set up programmes to facilitate guidance and assistance by older entrepreneurs who have the motivation to act as mentors or tutors for young entrepreneurs who are about to launch start-ups or take over crisis-stricken companies, by providing know-how and experience;

| 11. | Calls on the Commission to promote the establishment of clusters, i.e. of business networks and associations which help to develop competitive advantage, benefit from the common management of human resources and bring about increased competitiveness; |
| --- | --- |

11.

Calls on the Commission to promote the establishment of clusters, i.e. of business networks and associations which help to develop competitive advantage, benefit from the common management of human resources and bring about increased competitiveness;

| 12. | Points out that small and medium-sized enterprises that adopt information and communication technologies (ICT) grow at a two to three times faster rate; calls, therefore, on the Commission to facilitate measures which enable entrepreneurs to exploit all the opportunities offered by the digital single market; |
| --- | --- |

12.

Points out that small and medium-sized enterprises that adopt information and communication technologies (ICT) grow at a two to three times faster rate; calls, therefore, on the Commission to facilitate measures which enable entrepreneurs to exploit all the opportunities offered by the digital single market;

| 13. | Calls on the Commission and Member States to further develop the Erasmus for Young Entrepreneurs programme and to create more national contact points where these are still required; suggests that greater reliance be placed on the existing structures of the Enterprise Europe Network; considers that a target should be set of 10 000 exchanges per year, with a minimum rate of 10 % annual growth until this target is reached; |
| --- | --- |

13.

Calls on the Commission and Member States to further develop the Erasmus for Young Entrepreneurs programme and to create more national contact points where these are still required; suggests that greater reliance be placed on the existing structures of the Enterprise Europe Network; considers that a target should be set of 10 000 exchanges per year, with a minimum rate of 10 % annual growth until this target is reached;

| 14. | Sees great potential in the further expansion of the Leonardo exchange programme for trainees and stresses the need for so-called ‘intermediary organisations’ that support SMEs in organisational aspects (e.g. searching for suitable partners abroad, finding premises, etc.); emphasises the entrepreneurial potential of dual training (apprenticeships) for graduates; |
| --- | --- |

14.

Sees great potential in the further expansion of the Leonardo exchange programme for trainees and stresses the need for so-called ‘intermediary organisations’ that support SMEs in organisational aspects (e.g. searching for suitable partners abroad, finding premises, etc.); emphasises the entrepreneurial potential of dual training (apprenticeships) for graduates;

| 15. | Proposes that Member States should be able to apply for additional funding from the European Globalisation Adjustment Fund and the European Social Fund as long as this is used to finance short-term measures such as support and advice for business start-ups and transfers and not to justify the further relocation of enterprises; |
| --- | --- |

15.

Proposes that Member States should be able to apply for additional funding from the European Globalisation Adjustment Fund and the European Social Fund as long as this is used to finance short-term measures such as support and advice for business start-ups and transfers and not to justify the further relocation of enterprises;

| 16. | Proposes closer coordination of existing and future tools for the promotion of entrepreneurship with a view to generating incentives and synergies at national, regional and local levels; |
| --- | --- |

16.

Proposes closer coordination of existing and future tools for the promotion of entrepreneurship with a view to generating incentives and synergies at national, regional and local levels;

| 17. | Expects the next Commission, within the framework of its responsibilities, to make the promotion of entrepreneurship and entrepreneurial education and training a key theme and to launch a European partnership within which Member States will be judged by the progress they make on the basis, inter alia, of the following criteria:






  (a) | the inclusion of entrepreneurship education in national school curricula, in particular practice-oriented elements such as school company projects and mandatory internships before the end of secondary education; |
| --- | --- | --- |

17.

Expects the next Commission, within the framework of its responsibilities, to make the promotion of entrepreneurship and entrepreneurial education and training a key theme and to launch a European partnership within which Member States will be judged by the progress they make on the basis, inter alia, of the following criteria:

(a)

the inclusion of entrepreneurship education in national school curricula, in particular practice-oriented elements such as school company projects and mandatory internships before the end of secondary education;

| (b) | the level of support from Structural Fund resources for entrepreneurial education and training; |
| --- | --- |

(b)

the level of support from Structural Fund resources for entrepreneurial education and training;

| (c) | the number of participants in entrepreneurial modules within Youth Guarantee schemes or in mobility programmes for new entrepreneurs, particularly young people; |
| --- | --- |

(c)

the number of participants in entrepreneurial modules within Youth Guarantee schemes or in mobility programmes for new entrepreneurs, particularly young people;

| (d) | the number of people wishing to start up a business after having taken part in these initiatives; |
| --- | --- |

(d)

the number of people wishing to start up a business after having taken part in these initiatives;

| 18. | Encourages Member States to adopt, as a matter of urgency, national, regional and local strategies for the inclusion of entrepreneurial education and training in curricula (for primary, secondary, vocational, university and adult education); expects these strategies to cover all types of enterprise as well as the social and environmental impacts of entrepreneurship; underscores the importance of the practice-oriented and interactive aspects of social, business and entrepreneurial education and training; |
| --- | --- |

18.

Encourages Member States to adopt, as a matter of urgency, national, regional and local strategies for the inclusion of entrepreneurial education and training in curricula (for primary, secondary, vocational, university and adult education); expects these strategies to cover all types of enterprise as well as the social and environmental impacts of entrepreneurship; underscores the importance of the practice-oriented and interactive aspects of social, business and entrepreneurial education and training;

| 19. | Considers that Vocational Education and Training (VET) can provide the skills, knowledge and competences needed in the labour market, especially for the unemployed, as well as individualised job-search advice; calls on the Commission and the Member States to strengthen the provision of VET across Europe in order to enhance the transparency, recognition and quality of competences and qualifications, thus making the mobility of learners and workers easier; |
| --- | --- |

19.

Considers that Vocational Education and Training (VET) can provide the skills, knowledge and competences needed in the labour market, especially for the unemployed, as well as individualised job-search advice; calls on the Commission and the Member States to strengthen the provision of VET across Europe in order to enhance the transparency, recognition and quality of competences and qualifications, thus making the mobility of learners and workers easier;

| 20. | Stresses that knowledge about the functioning of markets, the economy and financial systems is essential for running a business well, and should therefore also be included in national basic education systems as well as in EU training programmes; calls on the Commission and the Member States to make financial education an immediate part of their training programmes; |
| --- | --- |

20.

Stresses that knowledge about the functioning of markets, the economy and financial systems is essential for running a business well, and should therefore also be included in national basic education systems as well as in EU training programmes; calls on the Commission and the Member States to make financial education an immediate part of their training programmes;

| 21. | Underlines the importance of apprenticeships for young people in economic sectors with a bright perspective, as a valuable step in the transition from education to professional life; |
| --- | --- |

21.

Underlines the importance of apprenticeships for young people in economic sectors with a bright perspective, as a valuable step in the transition from education to professional life;

| 22. | Welcomes the Knowledge and Innovation Community (KIC) concept which, with its focus on entrepreneurship through integration of the knowledge-triangle components of research, higher education and innovation, is an important driver of innovation with respect to major societal challenges and thus an important instrument for creating growth and jobs in Europe; stresses, therefore, that all KICs should have entrepreneurship embedded in their structure and in their approach to research, innovation and training; emphasises that KICs should integrate and share best practices regarding the use of innovative education and training concepts and technologies; recommends furthermore that a longer-term assessment be carried out into the creation of a KIC dedicated to further developing such innovative education and training concepts with a particular focus on entrepreneurial education; |
| --- | --- |

22.

Welcomes the Knowledge and Innovation Community (KIC) concept which, with its focus on entrepreneurship through integration of the knowledge-triangle components of research, higher education and innovation, is an important driver of innovation with respect to major societal challenges and thus an important instrument for creating growth and jobs in Europe; stresses, therefore, that all KICs should have entrepreneurship embedded in their structure and in their approach to research, innovation and training; emphasises that KICs should integrate and share best practices regarding the use of innovative education and training concepts and technologies; recommends furthermore that a longer-term assessment be carried out into the creation of a KIC dedicated to further developing such innovative education and training concepts with a particular focus on entrepreneurial education;

II.   
  The environment and framework conditions for entrepreneurship

| 23. | Asks the Commission and the EIB Group to step up their efforts in the field of information in order to make SMEs more aware of funding possibilities, in collaboration with SME associations; |
| --- | --- |

23.

Asks the Commission and the EIB Group to step up their efforts in the field of information in order to make SMEs more aware of funding possibilities, in collaboration with SME associations;

| 24. | Emphasises that the creation of flexible financing alternatives is of crucial relevance to business start-ups; stresses that the distinction for tax purposes between equity and debt must be removed and that a tax allowance for investment must be introduced; stresses that since bank loans are one of the main forms of financing for SMEs, it is important to secure the supply of credit and, moreover, to seek to strengthen equity financing through a better environment for private equity and venture capital, including support for SME funds and crowd investment without expensive prospectus costs; calls for the introduction of a tax allowance for private equity investment; |
| --- | --- |

24.

Emphasises that the creation of flexible financing alternatives is of crucial relevance to business start-ups; stresses that the distinction for tax purposes between equity and debt must be removed and that a tax allowance for investment must be introduced; stresses that since bank loans are one of the main forms of financing for SMEs, it is important to secure the supply of credit and, moreover, to seek to strengthen equity financing through a better environment for private equity and venture capital, including support for SME funds and crowd investment without expensive prospectus costs; calls for the introduction of a tax allowance for private equity investment;

| 25. | Reiterates that administrative burdens are still considered to be one of the main obstacles to the start-up or continued existence of a company; insists that the reduction of unnecessary administrative burdens remains very high on the political agenda and expects the next Commission to produce specific proposals for policies and measures up to 2020 in the context of the Small Business Act priorities, which may include concrete, quantitative targets (e.g. 25 % reduction in the administrative burden through EU regulations by 2020); |
| --- | --- |

25.

Reiterates that administrative burdens are still considered to be one of the main obstacles to the start-up or continued existence of a company; insists that the reduction of unnecessary administrative burdens remains very high on the political agenda and expects the next Commission to produce specific proposals for policies and measures up to 2020 in the context of the Small Business Act priorities, which may include concrete, quantitative targets (e.g. 25 % reduction in the administrative burden through EU regulations by 2020);

| 26. | Welcomes the measures proposed by the Commission under this ‘action pillar’ and notes the relevant points made by Parliament in its resolutions of 23 October 2012 on Small and Medium Size Enterprises (SMEs): competitiveness and business opportunities (1) and of 5 February 2013 on improving access to finance for SMEs (2); |
| --- | --- |

26.

Welcomes the measures proposed by the Commission under this ‘action pillar’ and notes the relevant points made by Parliament in its resolutions of 23 October 2012 on Small and Medium Size Enterprises (SMEs): competitiveness and business opportunities (1) and of 5 February 2013 on improving access to finance for SMEs (2);

| 27. | Welcomes the Commission’s renewed calls on Member States to reduce the costs and time needed to start a company; points out the limited progress achieved since the Small Business Act and urges Member States to increase their efforts in this regard; |
| --- | --- |

27.

Welcomes the Commission’s renewed calls on Member States to reduce the costs and time needed to start a company; points out the limited progress achieved since the Small Business Act and urges Member States to increase their efforts in this regard;

| 28. | Emphasises that the different variety of business models, such as family businesses, cooperative enterprises and others, should be taken into account when creating a business-friendly environment through appropriate business support services; |
| --- | --- |

28.

Emphasises that the different variety of business models, such as family businesses, cooperative enterprises and others, should be taken into account when creating a business-friendly environment through appropriate business support services;

| 29. | Points out that EU support measures for SMEs remain unbalanced and that many Member States still do not take into consideration the specific characteristics of small businesses when designing legislation; |
| --- | --- |

29.

Points out that EU support measures for SMEs remain unbalanced and that many Member States still do not take into consideration the specific characteristics of small businesses when designing legislation;

| 30. | Emphasises that access to finance remains one of the main obstacles to the development of SMEs; calls on the Commission to assess fully whether financing instruments aimed at SMEs such as the PROGRESS microfinance tool actually make it easier for SMEs to access finance, especially in view of the fact that financial institutions in some Member States set excessively strict conditions for lending to SMEs; |
| --- | --- |

30.

Emphasises that access to finance remains one of the main obstacles to the development of SMEs; calls on the Commission to assess fully whether financing instruments aimed at SMEs such as the PROGRESS microfinance tool actually make it easier for SMEs to access finance, especially in view of the fact that financial institutions in some Member States set excessively strict conditions for lending to SMEs;

| 31. | Welcomes the Commission’s efforts to help Member States improve their fiscal and administrative arrangements for business transfers; sees a need to improve the taxation approach to innovative forms of financing, such as group financing, venture capital financing or business angel financing; invites Member States to increase their support for business transfers through financial instruments at national level by means of loan guarantees, as well as other forms of financing such as group financing or business angel financing, and welcomes the Commission’s emphasis on crowdfunding platforms; believes that business transfers should also be facilitated through appropriate training initiatives on management skills, such as in cases where businesses are transferred to employees; |
| --- | --- |

31.

Welcomes the Commission’s efforts to help Member States improve their fiscal and administrative arrangements for business transfers; sees a need to improve the taxation approach to innovative forms of financing, such as group financing, venture capital financing or business angel financing; invites Member States to increase their support for business transfers through financial instruments at national level by means of loan guarantees, as well as other forms of financing such as group financing or business angel financing, and welcomes the Commission’s emphasis on crowdfunding platforms; believes that business transfers should also be facilitated through appropriate training initiatives on management skills, such as in cases where businesses are transferred to employees;

| 32. | Notes that complicated VAT rules have long been one of the main obstacles that prevent entrepreneurs from using the potential of the single market; urges the Commission to submit the planned proposals to align rules and cut the costs of VAT compliance in a single declaration as soon as possible, so as to enable their adoption during the current legislative term; |
| --- | --- |

32.

Notes that complicated VAT rules have long been one of the main obstacles that prevent entrepreneurs from using the potential of the single market; urges the Commission to submit the planned proposals to align rules and cut the costs of VAT compliance in a single declaration as soon as possible, so as to enable their adoption during the current legislative term;

| 33. | Sees the proposed measures to reduce the administrative burden (which may include an unnecessary or disproportionate burden through regulation) and bureaucratic burden as complementary to the principles of the Small Business Act; regrets that the action plan does not mention certain important initiatives, e.g. measures to apply the SME test at national level, the future role of the High-Level Group on the Reduction of Administrative Burdens, or the establishment of a yearly scoreboard on regulatory burdens in the EU and Member States; calls on the Commission, under the leadership of its SME Envoy, to set out a timely roadmap for the review and revision of the ‘Top 10’ most burdensome EU measures in order to reduce unnecessary or excessive burdens; affirms that, in any event, such a reduction must not erode core social and environmental standards; |
| --- | --- |

33.

Sees the proposed measures to reduce the administrative burden (which may include an unnecessary or disproportionate burden through regulation) and bureaucratic burden as complementary to the principles of the Small Business Act; regrets that the action plan does not mention certain important initiatives, e.g. measures to apply the SME test at national level, the future role of the High-Level Group on the Reduction of Administrative Burdens, or the establishment of a yearly scoreboard on regulatory burdens in the EU and Member States; calls on the Commission, under the leadership of its SME Envoy, to set out a timely roadmap for the review and revision of the ‘Top 10’ most burdensome EU measures in order to reduce unnecessary or excessive burdens; affirms that, in any event, such a reduction must not erode core social and environmental standards;

| 34. | Calls on Member States to grant start-ups a period of grace for social security contributions and for all ‘on account’ taxes so that companies only pay taxes on profits actually made in the first years; insists that the system must be completely transparent so that it cannot be abused; |
| --- | --- |

34.

Calls on Member States to grant start-ups a period of grace for social security contributions and for all ‘on account’ taxes so that companies only pay taxes on profits actually made in the first years; insists that the system must be completely transparent so that it cannot be abused;

| 35. | Underlines the importance of knowledge transfer between knowledge centres, such as research institutes and centres of excellence, and SMEs for their success; stresses the need for a clear definition of the process of transferring knowledge into practice and its benefits for successful entrepreneurial clusters; |
| --- | --- |

35.

Underlines the importance of knowledge transfer between knowledge centres, such as research institutes and centres of excellence, and SMEs for their success; stresses the need for a clear definition of the process of transferring knowledge into practice and its benefits for successful entrepreneurial clusters;

| 36. | Supports the Commission’s stated aims of giving a second chance to honest bankrupts and reducing the regulatory burden on entrepreneurs; |
| --- | --- |

36.

Supports the Commission’s stated aims of giving a second chance to honest bankrupts and reducing the regulatory burden on entrepreneurs;

| 37. | Emphasises the importance of the liberal professions in terms of entrepreneurship in Europe; welcomes the Commission’s declared intention to set up a working group to assess the specific needs of the liberal professions; asks the Commission to take account of the conclusions of this working group when conducting impact assessments for legislative proposals, as well as for monitoring the measures related to the Small Business Act; suggests that this work could lead to the creation of a European charter for the liberal professions; |
| --- | --- |

37.

Emphasises the importance of the liberal professions in terms of entrepreneurship in Europe; welcomes the Commission’s declared intention to set up a working group to assess the specific needs of the liberal professions; asks the Commission to take account of the conclusions of this working group when conducting impact assessments for legislative proposals, as well as for monitoring the measures related to the Small Business Act; suggests that this work could lead to the creation of a European charter for the liberal professions;

| 38. | Emphasises the importance of developing innovation skills in general and support for employee-driven innovation in both new and existing companies; stresses also that the most entrepreneurially successful companies are often spin-offs from existing companies where employees have the opportunity to develop their ideas within secure and resourceful frameworks; stresses furthermore that many entrepreneurs have skilled or unskilled backgrounds, so entrepreneurial efforts should not be aimed only at academics; points out that vocational and practical training also play an important role in efforts to promote entrepreneurship and innovation; |
| --- | --- |

38.

Emphasises the importance of developing innovation skills in general and support for employee-driven innovation in both new and existing companies; stresses also that the most entrepreneurially successful companies are often spin-offs from existing companies where employees have the opportunity to develop their ideas within secure and resourceful frameworks; stresses furthermore that many entrepreneurs have skilled or unskilled backgrounds, so entrepreneurial efforts should not be aimed only at academics; points out that vocational and practical training also play an important role in efforts to promote entrepreneurship and innovation;

| 39. | Emphasises the importance of developing positive incentives to encourage employees to start up their own part-time businesses; |
| --- | --- |

39.

Emphasises the importance of developing positive incentives to encourage employees to start up their own part-time businesses;

| 40. | Calls for use of the flexibility provisions under the multiannual financial framework (MFF) for the Programme for the Competitiveness of Enterprises and Small and Medium-sized Enterprises (COSME) and particularly for its financial instruments; insists that the MFF should continue to provide for microfinancing programmes such as the European Progress Microfinance Facility and the JASMINE (Joint Action to Support Microfinance Institutions) initiative; |
| --- | --- |

40.

Calls for use of the flexibility provisions under the multiannual financial framework (MFF) for the Programme for the Competitiveness of Enterprises and Small and Medium-sized Enterprises (COSME) and particularly for its financial instruments; insists that the MFF should continue to provide for microfinancing programmes such as the European Progress Microfinance Facility and the JASMINE (Joint Action to Support Microfinance Institutions) initiative;

| 41. | Emphasises that the creation of flexible financing alternatives is of crucial relevance to business start-ups and SMEs in order to facilitate their access to finance; recognises that different contributions of debt, equity and hybrid capital can be appropriate for different business models, and invites Member States to remove the distinction for tax purposes between equity and debt and to consider introducing tax allowances for investment in the real economy to stimulate sustainable growth and create jobs; calls on the Commission to assess the benefits of the securitisation of micro-loans; |
| --- | --- |

41.

Emphasises that the creation of flexible financing alternatives is of crucial relevance to business start-ups and SMEs in order to facilitate their access to finance; recognises that different contributions of debt, equity and hybrid capital can be appropriate for different business models, and invites Member States to remove the distinction for tax purposes between equity and debt and to consider introducing tax allowances for investment in the real economy to stimulate sustainable growth and create jobs; calls on the Commission to assess the benefits of the securitisation of micro-loans;

| 42. | Encourages the Member States to encourage the division of public procurement contracts into lots in order to facilitate participation by SMEs in public tenders, for instance by including the ‘apply or explain’ principle in their national procurement law; |
| --- | --- |

42.

Encourages the Member States to encourage the division of public procurement contracts into lots in order to facilitate participation by SMEs in public tenders, for instance by including the ‘apply or explain’ principle in their national procurement law;

| 43. | Regrets that stringent requirements still apply in some Member States for business start-ups; calls on the Commission to ensure that Member States shorten to one month the time taken to grant the licences and other permits required to start a business; |
| --- | --- |

43.

Regrets that stringent requirements still apply in some Member States for business start-ups; calls on the Commission to ensure that Member States shorten to one month the time taken to grant the licences and other permits required to start a business;

| 44. | Emphasises the importance of special start-up services for recent graduates who have taken special entrepreneurship courses during their training; |
| --- | --- |

44.

Emphasises the importance of special start-up services for recent graduates who have taken special entrepreneurship courses during their training;

| 45. | Calls on the Member States to establish one-stop shops where all business support services would be combined, including in the area of access to funding from various sources, advice on business start-ups, and information on business opportunities within and outside the EU; |
| --- | --- |

45.

Calls on the Member States to establish one-stop shops where all business support services would be combined, including in the area of access to funding from various sources, advice on business start-ups, and information on business opportunities within and outside the EU;

| 46. | Calls on the Member States to adopt a balanced approach in their national laws on discharge times and debt settlement so that honest bankrupts receive a ‘second chance’ and risks for creditors are minimised; |
| --- | --- |

46.

Calls on the Member States to adopt a balanced approach in their national laws on discharge times and debt settlement so that honest bankrupts receive a ‘second chance’ and risks for creditors are minimised;

III.   
  Entrepreneurs as role models, and reaching specific target groups

| 47. | Supports the establishment of a Europe-wide ‘EU Entrepreneurship Day’ to highlight — and, most importantly, draw media attention to — entrepreneurial success stories; considers that a particular focus should be placed on examples of entrepreneurs able to create economic added value while respecting EU sustainability and social responsibility core principles; hopes that schools and educational establishments will participate in the event, through meetings with entrepreneurs and visits to enterprises; |
| --- | --- |

47.

Supports the establishment of a Europe-wide ‘EU Entrepreneurship Day’ to highlight — and, most importantly, draw media attention to — entrepreneurial success stories; considers that a particular focus should be placed on examples of entrepreneurs able to create economic added value while respecting EU sustainability and social responsibility core principles; hopes that schools and educational establishments will participate in the event, through meetings with entrepreneurs and visits to enterprises;

| 48. | Emphasises that women represent a major pool of entrepreneurial potential, and calls on the Commission to produce reliable data so that existing legislation can be more accurately evaluated and any obstacles in the way of female entrepreneurs can be more effectively removed; |
| --- | --- |

48.

Emphasises that women represent a major pool of entrepreneurial potential, and calls on the Commission to produce reliable data so that existing legislation can be more accurately evaluated and any obstacles in the way of female entrepreneurs can be more effectively removed;

| 49. | Highlights the potential of cooperatives and social enterprises as a tool for generating employment, and particularly youth employment, owing to the role they play in sustainable local development, not just in economic terms but also in social and employment terms; |
| --- | --- |

49.

Highlights the potential of cooperatives and social enterprises as a tool for generating employment, and particularly youth employment, owing to the role they play in sustainable local development, not just in economic terms but also in social and employment terms;

| 50. | Stresses the key role of ICT in entrepreneurship, and calls on the Commission and the Member States to develop and promote programmes to build ICT skills, particularly for young people and women; |
| --- | --- |

50.

Stresses the key role of ICT in entrepreneurship, and calls on the Commission and the Member States to develop and promote programmes to build ICT skills, particularly for young people and women;

| 51. | Considers that special attention also needs to be paid to other groups that are under-represented in the entrepreneurial world, such as the young, the elderly, the disabled and immigrants; |
| --- | --- |

51.

Considers that special attention also needs to be paid to other groups that are under-represented in the entrepreneurial world, such as the young, the elderly, the disabled and immigrants;

| 52. | Believes that the demographic challenges require a broader strategy that combines job creation with meeting new and emerging needs on the European labour market; believes in this respect that further progress must be made in improving the mobility of EU workers, including researchers and other professionals, with a view to achieving a Europe without barriers within the EU internal market; |
| --- | --- |

52.

Believes that the demographic challenges require a broader strategy that combines job creation with meeting new and emerging needs on the European labour market; believes in this respect that further progress must be made in improving the mobility of EU workers, including researchers and other professionals, with a view to achieving a Europe without barriers within the EU internal market;

| 53. | Emphasises that the lack of recognition of foreign educational and vocational qualifications constitutes a major obstacle to migrants seeking to set up a business; calls, therefore, for agreement on the directive on the recognition of professional qualifications to be reached without delay; |
| --- | --- |

53.

Emphasises that the lack of recognition of foreign educational and vocational qualifications constitutes a major obstacle to migrants seeking to set up a business; calls, therefore, for agreement on the directive on the recognition of professional qualifications to be reached without delay;

o

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| 54. | Instructs its President to forward this resolution to the Council and the Commission. |
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54.

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

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(1)  Texts adopted, P7_TA(2012)0387.

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

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/17 |
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24.11.2016

EN

Official Journal of the European Union

C 436/17

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P7_TA(2013)0513

Implementation of the Common Security and Defence

European Parliament resolution of 21 November 2013 on the implementation of the Common Security and Defence Policy (based on the Annual Report from the Council to the European Parliament on the Common Foreign and Security Policy) (14605/1/2012 — 2013/2105(INI))

(2016/C 436/04)

The European Parliament,

| — | having regard to the Annual Report from the Council to the European Parliament on the Common Foreign and Security Policy, in particular the parts concerning the European Security and Defence Policy (14605/1/2012), |
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—

having regard to the Annual Report from the Council to the European Parliament on the Common Foreign and Security Policy, in particular the parts concerning the European Security and Defence Policy (14605/1/2012),

| — | having regard to Articles 2, 3, 21, 24 and 36 of the Treaty on European Union (TEU), |
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—

having regard to Articles 2, 3, 21, 24 and 36 of the Treaty on European Union (TEU),

| — | having regard to Title V TEU and to the Treaty on the Functioning of the European Union (TFEU), |
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—

having regard to Title V TEU and to the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to the European Council conclusions of 14 December 2012, |
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—

having regard to the European Council conclusions of 14 December 2012,

| — | having regard to conclusions of the Inter-Parliamentary Conference for the Common Foreign and Security Policy and the Common Security Defence Policy of 6 September 2013, |
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—

having regard to conclusions of the Inter-Parliamentary Conference for the Common Foreign and Security Policy and the Common Security Defence Policy of 6 September 2013,

| — | having regard to the European Security Strategy entitled ‘A Secure Europe in a Better World’, adopted by the European Council on 12 December 2003, and to the report on its implementation entitled ‘Providing Security in a Changing World’, endorsed by the European Council on 11-12 December 2008, |
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—

having regard to the European Security Strategy entitled ‘A Secure Europe in a Better World’, adopted by the European Council on 12 December 2003, and to the report on its implementation entitled ‘Providing Security in a Changing World’, endorsed by the European Council on 11-12 December 2008,

| — | having regard to the Council conclusions on Common Security and Defence Policy of 1 December 2011 and of 23 July 2012, as well as to the Council conclusions on pooling and sharing of military capabilities of 23 March 2012, |
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—

having regard to the Council conclusions on Common Security and Defence Policy of 1 December 2011 and of 23 July 2012, as well as to the Council conclusions on pooling and sharing of military capabilities of 23 March 2012,

| — | having regard to the Council conclusions on maritime security strategy of 26 April 2010. |
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—

having regard to the Council conclusions on maritime security strategy of 26 April 2010.

| — | having regard to the Council conclusions on Critical Information Infrastructure Protection of 27 May 2011 and to the previous Council’s conclusions on cyber security, |
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—

having regard to the Council conclusions on Critical Information Infrastructure Protection of 27 May 2011 and to the previous Council’s conclusions on cyber security,

| — | having regard to the Code of Conduct on Pooling and Sharing adopted by the EU defence ministers on 19 November 2012, |
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—

having regard to the Code of Conduct on Pooling and Sharing adopted by the EU defence ministers on 19 November 2012,

| — | having regard to the Commission Communication of 24 July 2013 entitled ‘Towards a more competitive and efficient defence and security sector’ (COM(2013)0542), |
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—

having regard to the Commission Communication of 24 July 2013 entitled ‘Towards a more competitive and efficient defence and security sector’ (COM(2013)0542),

| — | having regard to 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 (1), |
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—

having regard to 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 (1),

| — | having regard to 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 (2), |
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—

having regard to 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 (2),

| — | having regard to its resolution of 12 September 2013 on the maritime dimension of the Common Security and Defence Policy (3) and on the EU’s military structures: state of play and future prospects (4), of 22 November 2012 on the implementation of the Common Security and Defence Policy (5), on the EU’s mutual defence and solidarity clauses: political and operational dimensions (6), on the role of the Common Security and Defence Policy in case of climate-driven crises and natural disasters (7), and on Cyber Security and Defence (8), of 14 December 2011 on the impact of the financial crisis on the defence sector in the EU Member States (9), of 11 May 2011 on the development of the common security and defence policy following the entry into force of the Lisbon Treaty (10) and of 23 November 2010 on civilian-military cooperation and the development of civilian-military capabilities (11), |
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—

having regard to its resolution of 12 September 2013 on the maritime dimension of the Common Security and Defence Policy (3) and on the EU’s military structures: state of play and future prospects (4), of 22 November 2012 on the implementation of the Common Security and Defence Policy (5), on the EU’s mutual defence and solidarity clauses: political and operational dimensions (6), on the role of the Common Security and Defence Policy in case of climate-driven crises and natural disasters (7), and on Cyber Security and Defence (8), of 14 December 2011 on the impact of the financial crisis on the defence sector in the EU Member States (9), of 11 May 2011 on the development of the common security and defence policy following the entry into force of the Lisbon Treaty (10) and of 23 November 2010 on civilian-military cooperation and the development of civilian-military capabilities (11),

| — | having regard to its recommendation to the High Representative of the Union for Foreign Affairs and Security Policy and Vice-President of the European Commission, to the Council and to the Commission of 13 June 2013 on the 2013 review of the organisation and the functioning of the EEAS (12) and to the EEAS Review 2013 presented by the High Representative in July 2013 (13), |
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—

having regard to its recommendation to the High Representative of the Union for Foreign Affairs and Security Policy and Vice-President of the European Commission, to the Council and to the Commission of 13 June 2013 on the 2013 review of the organisation and the functioning of the EEAS (12) and to the EEAS Review 2013 presented by the High Representative in July 2013 (13),

| — | having regard to the report of 15 October 2013 by the High Representative/Vice-President of the Commission on the Common Security and Defence Policy, |
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—

having regard to the report of 15 October 2013 by the High Representative/Vice-President of the Commission on the Common Security and Defence Policy,

| — | having regard to the EEAS report on the revision of CSDP crisis management procedures, adopted by the Political and Security Committee (PSC) on 18 June 2013, |
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—

having regard to the EEAS report on the revision of CSDP crisis management procedures, adopted by the Political and Security Committee (PSC) on 18 June 2013,

| — | having regard to the Charter of the United Nations, |
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—

having regard to the Charter of the United Nations,

| — | having regard to Rule 119(1) of its Rules of Procedure, |
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—

having regard to Rule 119(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Foreign Affairs (A7-0360/2013), |
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—

having regard to the report of the Committee on Foreign Affairs (A7-0360/2013),

European security and defence in a changing world

| 1. | Notes the significant and ongoing changes in the geopolitical environment characterised by multidimensional and asymmetric threats, by transnational terrorism, by the rise of emerging powers and a strategic shift in attention by the US towards the Pacific region, by increased poverty, hunger and instability in the EU’s southern neighbourhood, by growing maritime security challenges, by the proliferation of weapons of mass destruction and increased illicit trafficking of small arms and light weapons, by challenges in energy security, and by major systemic financial failure and a severe and long-lasting financial and economic crisis with a major impact on the GDP of many EU Member States and, consequently, on national defence budgets on both sides of the Atlantic; |
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1.

Notes the significant and ongoing changes in the geopolitical environment characterised by multidimensional and asymmetric threats, by transnational terrorism, by the rise of emerging powers and a strategic shift in attention by the US towards the Pacific region, by increased poverty, hunger and instability in the EU’s southern neighbourhood, by growing maritime security challenges, by the proliferation of weapons of mass destruction and increased illicit trafficking of small arms and light weapons, by challenges in energy security, and by major systemic financial failure and a severe and long-lasting financial and economic crisis with a major impact on the GDP of many EU Member States and, consequently, on national defence budgets on both sides of the Atlantic;

| 2. | Believes that reassessing and strengthening Europe's role in the world constitutes one of the major challenges of the 21st century and that the time has come for the Member States of the Union to show the political will needed for making the EU a relevant global actor and security provider with real strategic autonomy; considers that a change of mindset on the part of Member States is required in order to anchor a European approach to a committed and effective security and defence policy; |
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2.

Believes that reassessing and strengthening Europe's role in the world constitutes one of the major challenges of the 21st century and that the time has come for the Member States of the Union to show the political will needed for making the EU a relevant global actor and security provider with real strategic autonomy; considers that a change of mindset on the part of Member States is required in order to anchor a European approach to a committed and effective security and defence policy;

| 3. | Welcomes, therefore, the European Council decision to hold a discussion dedicated to security and defence at the December 2013 Summit; considers that this provides a timely opportunity to underline at the highest political level and to communicate to the public in Europe that security and defence issues still matter and that the European dimension is more relevant than ever; strongly believes that the EU needs to be able to provide security for its citizens, to promote and defend its fundamental values, to assume its share of responsibility for world peace and to play an effective role in preventing and managing regional crises in its wider neighbourhood, contributing to their resolution and protecting itself against the negative effects of these crises; |
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3.

Welcomes, therefore, the European Council decision to hold a discussion dedicated to security and defence at the December 2013 Summit; considers that this provides a timely opportunity to underline at the highest political level and to communicate to the public in Europe that security and defence issues still matter and that the European dimension is more relevant than ever; strongly believes that the EU needs to be able to provide security for its citizens, to promote and defend its fundamental values, to assume its share of responsibility for world peace and to play an effective role in preventing and managing regional crises in its wider neighbourhood, contributing to their resolution and protecting itself against the negative effects of these crises;

| 4. | Welcomes also the report by the High Representative/Vice-President of the Commission on the CSDP, which pinpoints a number of obstacles which the policy faces; deplores the fact, however, that the report does not propose more in the way of measures aimed specifically at remedying the shortcomings of the CSDP; |
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4.

Welcomes also the report by the High Representative/Vice-President of the Commission on the CSDP, which pinpoints a number of obstacles which the policy faces; deplores the fact, however, that the report does not propose more in the way of measures aimed specifically at remedying the shortcomings of the CSDP;

| 5. | Looks forward to substantive decisions being taken at the December Summit and puts forward its own recommendations with this report, building upon relevant positions taken by Parliament in the recent past and paying close attention to the ongoing debate on the three main issues (clusters) identified by the December 2012 European Council; |
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5.

Looks forward to substantive decisions being taken at the December Summit and puts forward its own recommendations with this report, building upon relevant positions taken by Parliament in the recent past and paying close attention to the ongoing debate on the three main issues (clusters) identified by the December 2012 European Council;

Unleashing the potential of the treaties

| 6. | Notes that the Lisbon Treaty introduced several new instruments in the area of the Common Security and Defence Policy (CSDP) which have not yet been put into practice; |
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6.

Notes that the Lisbon Treaty introduced several new instruments in the area of the Common Security and Defence Policy (CSDP) which have not yet been put into practice;

| 7. | Emphasises in this regard the possibility of establishing permanent structured cooperation (PESCO) among Member States (Article 46(6) TEU), of entrusting CSDP instruments and military planning and conduct capabilities in particular to that group of Member States (Articles 42(5) and 44(1) TEU), and of establishing a start-up fund for preparatory activities for missions which are not charged to the Union budget (Article 41(3) TEU) and are not incorporated into the ATHENA mechanism; calls, therefore on the President of the European Council and the Vice-President/High Representative to establish the start-up fund; highlights in this context the importance of mainstreaming CSDP matters into those EU policies which have a multifaceted impact on security and defence or contribute to CSDP, such as development and human rights, industrial research and innovation, internal market, international trade and space policies and others, in order to support those Member States which are engaged in further strengthening the CSDP; |
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7.

Emphasises in this regard the possibility of establishing permanent structured cooperation (PESCO) among Member States (Article 46(6) TEU), of entrusting CSDP instruments and military planning and conduct capabilities in particular to that group of Member States (Articles 42(5) and 44(1) TEU), and of establishing a start-up fund for preparatory activities for missions which are not charged to the Union budget (Article 41(3) TEU) and are not incorporated into the ATHENA mechanism; calls, therefore on the President of the European Council and the Vice-President/High Representative to establish the start-up fund; highlights in this context the importance of mainstreaming CSDP matters into those EU policies which have a multifaceted impact on security and defence or contribute to CSDP, such as development and human rights, industrial research and innovation, internal market, international trade and space policies and others, in order to support those Member States which are engaged in further strengthening the CSDP;

| 8. | Stresses the importance of these commonly agreed provisions for the development of the CSDP and calls on the European Council to conduct a serious discussion about their implementation in a coherent manner; calls on the President of the European Council, the President of the Commission and the Vice-President/High Representative (VP/HR) to play an active role in this process; |
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8.

Stresses the importance of these commonly agreed provisions for the development of the CSDP and calls on the European Council to conduct a serious discussion about their implementation in a coherent manner; calls on the President of the European Council, the President of the Commission and the Vice-President/High Representative (VP/HR) to play an active role in this process;

First cluster: increase the effectiveness, visibility and impact of the CSDP

| 9. | Points out that, according to the Treaties, the EU’s aim is to promote peace, its values and the well-being of its peoples (Article 3 TEU) and that its action on the international scene seeks to consolidate and support democracy, the rule of law and human rights, and to prevent conflicts and strengthen international security, in accordance with the purposes and principles of the United Nations Charter, with the principles of the Helsinki Final Act and with the aims of the Charter of Paris, including those relating to external borders (Article 21 TEU); is convinced that the CSDP serves these aims and underlines the need to upgrade it; |
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9.

Points out that, according to the Treaties, the EU’s aim is to promote peace, its values and the well-being of its peoples (Article 3 TEU) and that its action on the international scene seeks to consolidate and support democracy, the rule of law and human rights, and to prevent conflicts and strengthen international security, in accordance with the purposes and principles of the United Nations Charter, with the principles of the Helsinki Final Act and with the aims of the Charter of Paris, including those relating to external borders (Article 21 TEU); is convinced that the CSDP serves these aims and underlines the need to upgrade it;

| 10. | Stresses that the main asset of the European Union is the availability of various policies and instruments, combined through the ‘comprehensive approach’, and that it is possible to achieve better results at all levels by better integrating the CSDP into this approach; welcomes in this respect the review of the organisation and functioning of the EEAS published by the VP/HR in July 2013, which recognises the problems of coordination and those related to the speed and effectiveness of decision-making in the area of the CSDP; looks forward to specific decisions being taken at the December Summit and expects the further integration of the CSDP to be analysed thoroughly in the upcoming joint Communication by the VP/HR and the Commission on the implementation of the comprehensive approach; |
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10.

Stresses that the main asset of the European Union is the availability of various policies and instruments, combined through the ‘comprehensive approach’, and that it is possible to achieve better results at all levels by better integrating the CSDP into this approach; welcomes in this respect the review of the organisation and functioning of the EEAS published by the VP/HR in July 2013, which recognises the problems of coordination and those related to the speed and effectiveness of decision-making in the area of the CSDP; looks forward to specific decisions being taken at the December Summit and expects the further integration of the CSDP to be analysed thoroughly in the upcoming joint Communication by the VP/HR and the Commission on the implementation of the comprehensive approach;

| 11. | Reiterates its conviction that although elements of the 2003 European Security Strategy, as supplemented in 2008, remain valid, the EU needs to review and to complement this strategy by taking recent developments and the new array of security challenges and risks into account and redefining its strategic interests, objectives and priorities, with a greater emphasis on the protection of its citizens, the defence of critical infrastructures and its neighbourhood, and by dovetailing the different regional and topical sub-strategies; believes that such an exercise will provide a clearer strategic framework for external action by the EU, enhance consistency and, at the same time, communicate better to the citizens the challenges and risks facing them in the future; requests therefore that the European Council launch a debate on the appropriate strategic framework for the Union, mandate the VP/HR to come forward with proposals in this respect before the end of 2014 and ensure sustainable follow-up, subject to regular updates, as primarily defined in the context of the European Security Strategy; |
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11.

Reiterates its conviction that although elements of the 2003 European Security Strategy, as supplemented in 2008, remain valid, the EU needs to review and to complement this strategy by taking recent developments and the new array of security challenges and risks into account and redefining its strategic interests, objectives and priorities, with a greater emphasis on the protection of its citizens, the defence of critical infrastructures and its neighbourhood, and by dovetailing the different regional and topical sub-strategies; believes that such an exercise will provide a clearer strategic framework for external action by the EU, enhance consistency and, at the same time, communicate better to the citizens the challenges and risks facing them in the future; requests therefore that the European Council launch a debate on the appropriate strategic framework for the Union, mandate the VP/HR to come forward with proposals in this respect before the end of 2014 and ensure sustainable follow-up, subject to regular updates, as primarily defined in the context of the European Security Strategy;

| 12. | Calls for the review of the EU strategic framework to form the basis for a White Paper on EU security and defence policy and suggests that the European Council could set the necessary process in motion; urges the EU Member States, furthermore, to give serious consideration to the European dimension in their national security strategies, White Papers and decision-making in the field of defence; calls on the VP/HR to develop a common template for the shaping of concurrent national reviews; |
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12.

Calls for the review of the EU strategic framework to form the basis for a White Paper on EU security and defence policy and suggests that the European Council could set the necessary process in motion; urges the EU Member States, furthermore, to give serious consideration to the European dimension in their national security strategies, White Papers and decision-making in the field of defence; calls on the VP/HR to develop a common template for the shaping of concurrent national reviews;

| 13. | Points to the need to ensure that the EU is in a position to contribute, by means of crisis management operations, to conflict prevention, stabilisation and resolution; |
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13.

Points to the need to ensure that the EU is in a position to contribute, by means of crisis management operations, to conflict prevention, stabilisation and resolution;

| 14. | Believes that the introduction of a mutual defence clause and a solidarity clause by the Treaties (Article 42(7) TEU and Article 222 TFEU) reinforces the sense of common destiny among European citizens; reminds Member States that only in a spirit of commitment, mutual understanding and genuine solidarity will the Union be able to fulfil its global role, thus enhancing the security of Europe and that of its citizens; commends, therefore, the Commission and the European External Action Service (EEAS) for the Joint Proposal on the arrangements for the implementation by the Union of the solidarity clause and calls on the Heads of State and Government to reaffirm their commitment to mutual solidarity and to provide a clear operative interpretation of the two clauses; |
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14.

Believes that the introduction of a mutual defence clause and a solidarity clause by the Treaties (Article 42(7) TEU and Article 222 TFEU) reinforces the sense of common destiny among European citizens; reminds Member States that only in a spirit of commitment, mutual understanding and genuine solidarity will the Union be able to fulfil its global role, thus enhancing the security of Europe and that of its citizens; commends, therefore, the Commission and the European External Action Service (EEAS) for the Joint Proposal on the arrangements for the implementation by the Union of the solidarity clause and calls on the Heads of State and Government to reaffirm their commitment to mutual solidarity and to provide a clear operative interpretation of the two clauses;

| 15. | Notes with concern that the number and timeliness of CSDP missions and operations, and the development of civilian and especially military means and capabilities for the CSDP, fall short of what is required, given the EU's increasingly insecure and unstable neighbourhood; deplores, in particular, the limited overall scope of the CSDP missions related to the crises in Libya and Mali and regrets the lack of flexibility within the Union’s decision-making procedures which account for delayed effective responses in crisis scenarios, as the two examples illustrate; calls for the situation to be monitored and for the operational engagement in Eastern Europe and the Southern Caucasus, which has yielded positive results, to be maintained; calls for greater ambition and serious efforts to improve the design of future CSDP missions and operations under a ‘lessons learned process’ and to develop appropriate exit strategies; invites the VP/HR to steer this process and welcomes in this respect her report published on 15 October 2013 as an important step on how to make the CSDP more effective and proactive; |
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15.

Notes with concern that the number and timeliness of CSDP missions and operations, and the development of civilian and especially military means and capabilities for the CSDP, fall short of what is required, given the EU's increasingly insecure and unstable neighbourhood; deplores, in particular, the limited overall scope of the CSDP missions related to the crises in Libya and Mali and regrets the lack of flexibility within the Union’s decision-making procedures which account for delayed effective responses in crisis scenarios, as the two examples illustrate; calls for the situation to be monitored and for the operational engagement in Eastern Europe and the Southern Caucasus, which has yielded positive results, to be maintained; calls for greater ambition and serious efforts to improve the design of future CSDP missions and operations under a ‘lessons learned process’ and to develop appropriate exit strategies; invites the VP/HR to steer this process and welcomes in this respect her report published on 15 October 2013 as an important step on how to make the CSDP more effective and proactive;

| 16. | Emphasises the need to enhance the visibility of European crisis management and to place all efforts under the CSDP, making use, where appropriate, of the provision in Article 44 TEU for a Council decision entrusting the implementation of a task to a group of Member States which are willing and have the necessary capability for such a task; |
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16.

Emphasises the need to enhance the visibility of European crisis management and to place all efforts under the CSDP, making use, where appropriate, of the provision in Article 44 TEU for a Council decision entrusting the implementation of a task to a group of Member States which are willing and have the necessary capability for such a task;

| 17. | Expresses its concern, based on experience in the recent past, that the comprehensive approach to crisis management has not yet reached its full potential; considers that missions and operations are more meaningful when they are embedded into a regional strategy, as the positive example of the Horn of Africa demonstrates; takes note of the ‘Suggestions for crisis management procedures for CSDP crisis management operations’ endorsed by the Member States on 18 June 2013; |
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17.

Expresses its concern, based on experience in the recent past, that the comprehensive approach to crisis management has not yet reached its full potential; considers that missions and operations are more meaningful when they are embedded into a regional strategy, as the positive example of the Horn of Africa demonstrates; takes note of the ‘Suggestions for crisis management procedures for CSDP crisis management operations’ endorsed by the Member States on 18 June 2013;

| 18. | Asks that the functional problems of civilian CSDP missions, notably regarding the speed of deployment and staffing, be tackled by reviewing their legal and financial framework, which often complicates the decision-making process and leads to delays; calls for an increase in the number of qualified and politically independent strategic planners, which is too small in comparison to the number of missions; further asks Member States to create a ‘civilian reserve corps’ that could be deployed quickly if needed welcomes in this regard the recently established permanent CSDP warehouse; |
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18.

Asks that the functional problems of civilian CSDP missions, notably regarding the speed of deployment and staffing, be tackled by reviewing their legal and financial framework, which often complicates the decision-making process and leads to delays; calls for an increase in the number of qualified and politically independent strategic planners, which is too small in comparison to the number of missions; further asks Member States to create a ‘civilian reserve corps’ that could be deployed quickly if needed welcomes in this regard the recently established permanent CSDP warehouse;

| 19. | Recalls its 2001 resolution, which called for the creation of a European Civil Peace Corps; welcomes recent efforts to create a Voluntary Humanitarian Aid Corps within the Commission and a pool of experts in mediation, dialogue and reconciliation within the External Action Service; also welcomes the existence and continuation of the Peacebuilding Partnership between the External Action Service and relevant civil society stakeholders; |
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19.

Recalls its 2001 resolution, which called for the creation of a European Civil Peace Corps; welcomes recent efforts to create a Voluntary Humanitarian Aid Corps within the Commission and a pool of experts in mediation, dialogue and reconciliation within the External Action Service; also welcomes the existence and continuation of the Peacebuilding Partnership between the External Action Service and relevant civil society stakeholders;

| 20. | Stresses the important role of mediation and dialogue in preventing and resolving conflicts peacefully; commends the progress which the EEAS has made in strengthening its mediation capacities and reiterates its support for further enhancing Europe’s capacities in this field; believes that Parliament’s successful involvement in mediation processes has demonstrated the important role parliamentarians can play in supporting mediation and dialogue processes and intends to further step up its efforts in this field; |
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20.

Stresses the important role of mediation and dialogue in preventing and resolving conflicts peacefully; commends the progress which the EEAS has made in strengthening its mediation capacities and reiterates its support for further enhancing Europe’s capacities in this field; believes that Parliament’s successful involvement in mediation processes has demonstrated the important role parliamentarians can play in supporting mediation and dialogue processes and intends to further step up its efforts in this field;

| 21. | Proposes the inclusion of human rights and gender advisors in all CSDP missions and encourages the exchange of best practices among CSDP missions to ensure that human rights concerns are fully taken into account and women are fully protected and included in conflict and post-conflict resolution; invites the Council and the EEAS to take further steps to include gender aspects in staff planning for CSDP missions; |
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21.

Proposes the inclusion of human rights and gender advisors in all CSDP missions and encourages the exchange of best practices among CSDP missions to ensure that human rights concerns are fully taken into account and women are fully protected and included in conflict and post-conflict resolution; invites the Council and the EEAS to take further steps to include gender aspects in staff planning for CSDP missions;

| 22. | Highlights the fact that successful military operations require a clear command and control function; reiterates therefore its call for the establishment of a permanent military operational headquarters; notes with regret the lack of progress on this issue and the strong resistance by some Member States; stresses further that an effective CSDP requires adequate early warning and intelligence support; considers, therefore, that these headquarters should include cells for intelligence gathering and for early warning/situational awareness; |
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22.

Highlights the fact that successful military operations require a clear command and control function; reiterates therefore its call for the establishment of a permanent military operational headquarters; notes with regret the lack of progress on this issue and the strong resistance by some Member States; stresses further that an effective CSDP requires adequate early warning and intelligence support; considers, therefore, that these headquarters should include cells for intelligence gathering and for early warning/situational awareness;

| 23. | Reiterates its support for a provisional solution and draws attention to its proposal to improve the status of the currently active Operations Centre for the Horn of Africa and assist military planning and coordination among those operating on the ground; asks the VP/HR to develop such an option, within the constraints of its current size and infrastructure, in order to optimise the use of existing resources, and to examine the feasibility of widening the geographical area of operations to encompass other important regions; considers that this body should have legal capacity and be assigned the role of coordinating procurement between Brussels and individual mission headquarters, using economies of scale to maximise savings; |
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23.

Reiterates its support for a provisional solution and draws attention to its proposal to improve the status of the currently active Operations Centre for the Horn of Africa and assist military planning and coordination among those operating on the ground; asks the VP/HR to develop such an option, within the constraints of its current size and infrastructure, in order to optimise the use of existing resources, and to examine the feasibility of widening the geographical area of operations to encompass other important regions; considers that this body should have legal capacity and be assigned the role of coordinating procurement between Brussels and individual mission headquarters, using economies of scale to maximise savings;

| 24. | Notes the fact that EU battlegroups have never yet been deployed and considers that their existence will be difficult to justify over time; stresses that they constitute an important tool for timely force generation, training and rapid reaction; welcomes the decision to address this issue during the December Summit; is convinced that the EU should dispose of high-readiness standing battle forces, with land, air, naval, cyber and special forces components and a high level of ambition; underlines the fact that EU battlegroups should be deployable for all types of crises, including climate-driven humanitarian crisis; favours a more flexible and targeted approach to enhance the response and adaptability to different crisis situations, and to improve modularity in order to close gaps during the initial phases of the launch of CSDP operations without, however, compromising the operational capacity of the battlegroup as a whole; |
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24.

Notes the fact that EU battlegroups have never yet been deployed and considers that their existence will be difficult to justify over time; stresses that they constitute an important tool for timely force generation, training and rapid reaction; welcomes the decision to address this issue during the December Summit; is convinced that the EU should dispose of high-readiness standing battle forces, with land, air, naval, cyber and special forces components and a high level of ambition; underlines the fact that EU battlegroups should be deployable for all types of crises, including climate-driven humanitarian crisis; favours a more flexible and targeted approach to enhance the response and adaptability to different crisis situations, and to improve modularity in order to close gaps during the initial phases of the launch of CSDP operations without, however, compromising the operational capacity of the battlegroup as a whole;

| 25. | Highlights the fact that greater efforts should be made to integrate at EU level initiatives such as the Eurocorps and the European Air Group; |
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25.

Highlights the fact that greater efforts should be made to integrate at EU level initiatives such as the Eurocorps and the European Air Group;

| 26. | Confirms that the existing financial system of ‘costs lie where they fall’ constitutes a serious problem for the CSDP, leading to delays or complete blockages in decision-making, notably on the quick deployment of battlegroups; recommends that Member States agree on an EU financing mechanism based on burden-sharing for the use of battlegroups under the EU flag, in order to give them a realistic future; also calls — in the interests of consistency and efficiency — for the EEAS to be given control over the financial instruments linked to the crisis management measures that it plans and carries out; expects the VP/HR and interested Member States to put forward concrete proposals in this respect; |
| --- | --- |

26.

Confirms that the existing financial system of ‘costs lie where they fall’ constitutes a serious problem for the CSDP, leading to delays or complete blockages in decision-making, notably on the quick deployment of battlegroups; recommends that Member States agree on an EU financing mechanism based on burden-sharing for the use of battlegroups under the EU flag, in order to give them a realistic future; also calls — in the interests of consistency and efficiency — for the EEAS to be given control over the financial instruments linked to the crisis management measures that it plans and carries out; expects the VP/HR and interested Member States to put forward concrete proposals in this respect;

| 27. | Expresses its concern, furthermore, that the economic and debt crisis may have an impact on the willingness of EU Member States to contribute to CSDP missions and operations, particularly those with military and defence implications; calls therefore for extension of the scope of the ATHENA mechanism and use of the start-up fund (Article 41(3) TEU) to ensure the rapid financing of urgent tasks; stresses, however, that even if the CSDP needs to be reenergised, this should be done in accordance with budgetary constraints; |
| --- | --- |

27.

Expresses its concern, furthermore, that the economic and debt crisis may have an impact on the willingness of EU Member States to contribute to CSDP missions and operations, particularly those with military and defence implications; calls therefore for extension of the scope of the ATHENA mechanism and use of the start-up fund (Article 41(3) TEU) to ensure the rapid financing of urgent tasks; stresses, however, that even if the CSDP needs to be reenergised, this should be done in accordance with budgetary constraints;

| 28. | Invites Member States to exploit the possibilities offered by PESCO and to start implementing this Treaty provision in order to tackle the prevailing ‘CSDP fatigue’ and deepen military cooperation and integration; calls on the European Council to deliver clear guidelines for its implementation and invites Member States that are not interested to act constructively; stresses that the possibility of joining at a later stage should be left open in order to ensure flexibility and to avoid a two-speed Europe; |
| --- | --- |

28.

Invites Member States to exploit the possibilities offered by PESCO and to start implementing this Treaty provision in order to tackle the prevailing ‘CSDP fatigue’ and deepen military cooperation and integration; calls on the European Council to deliver clear guidelines for its implementation and invites Member States that are not interested to act constructively; stresses that the possibility of joining at a later stage should be left open in order to ensure flexibility and to avoid a two-speed Europe;

| 29. | Points out that the EU has a vital interest in a secure and open maritime environment that allows the free passage of commerce and the peaceful, legal and sustainable use of the oceans’ riches; stresses the need to develop an EU maritime foreign policy which aims at protecting and preserving critical infrastructure, open sea routes and natural resources and puts an emphasis on the peaceful resolution of conflicts, within the context of international law and in line with the provisions of the UN Convention on the Law of the Sea; looks forward to the adoption of the EU Maritime Security Strategy, in line with the April 2010 Council conclusions, and calls for the development of a specific implementation plan; points out that the integration of maritime surveillance across sectors and borders is already a cross-sectoral tool of the EU Integrated Maritime Policy (IPM); highlights the importance of swiftly implementing the Common Information Sharing Environment project and building a ‘bridge’ between the IPM and the CSDP to improve information sharing between them; |
| --- | --- |

29.

Points out that the EU has a vital interest in a secure and open maritime environment that allows the free passage of commerce and the peaceful, legal and sustainable use of the oceans’ riches; stresses the need to develop an EU maritime foreign policy which aims at protecting and preserving critical infrastructure, open sea routes and natural resources and puts an emphasis on the peaceful resolution of conflicts, within the context of international law and in line with the provisions of the UN Convention on the Law of the Sea; looks forward to the adoption of the EU Maritime Security Strategy, in line with the April 2010 Council conclusions, and calls for the development of a specific implementation plan; points out that the integration of maritime surveillance across sectors and borders is already a cross-sectoral tool of the EU Integrated Maritime Policy (IPM); highlights the importance of swiftly implementing the Common Information Sharing Environment project and building a ‘bridge’ between the IPM and the CSDP to improve information sharing between them;

| 30. | Underlines the need to prevent the militarisation of regions like the Arctic and stresses the need to use peaceful means of conflict resolution, including trade instruments; |
| --- | --- |

30.

Underlines the need to prevent the militarisation of regions like the Arctic and stresses the need to use peaceful means of conflict resolution, including trade instruments;

| 31. | Requests that the European Council reconfirm the importance of space, which underpins the strategic autonomy of the EU and its Member States and the potential to gain autonomous access to space by developing launchers and satellites; reiterates the importance of gathering precise intelligence for both civil and military CSDP missions and operations; emphasises in particular the role of space-based assets in the field of conflict prevention and crisis management before, during and after a crisis; invites the Commission to develop a specific policy to support the development of multiple-use space assets; |
| --- | --- |

31.

Requests that the European Council reconfirm the importance of space, which underpins the strategic autonomy of the EU and its Member States and the potential to gain autonomous access to space by developing launchers and satellites; reiterates the importance of gathering precise intelligence for both civil and military CSDP missions and operations; emphasises in particular the role of space-based assets in the field of conflict prevention and crisis management before, during and after a crisis; invites the Commission to develop a specific policy to support the development of multiple-use space assets;

| 32. | Reiterates the growing importance of tackling cyber security threats; invites the European Council to develop guidelines for the implementation of the EU Cyber Security Strategy and to take concrete measures regarding the protection of cyber infrastructure, and investing in enhancing EU-wide cooperation on crisis management procedures, cyber exercises, training and education; calls on the Commission and the VP/HR to ensure that cyber-security policy is enacted in a cross-sectoral manner, so as to ensure adequate bridging arrangements between the EU’s internal and external security policies, and on all Member States to develop or finalise their respective national Cyber Security Strategies and to aim for a greater degree of synchronisation at Union level; |
| --- | --- |

32.

Reiterates the growing importance of tackling cyber security threats; invites the European Council to develop guidelines for the implementation of the EU Cyber Security Strategy and to take concrete measures regarding the protection of cyber infrastructure, and investing in enhancing EU-wide cooperation on crisis management procedures, cyber exercises, training and education; calls on the Commission and the VP/HR to ensure that cyber-security policy is enacted in a cross-sectoral manner, so as to ensure adequate bridging arrangements between the EU’s internal and external security policies, and on all Member States to develop or finalise their respective national Cyber Security Strategies and to aim for a greater degree of synchronisation at Union level;

| 33. | Asks the European Council to reaffirm the significance of Europe’s energy supply and a diversified and sustainable access to energy resources; notes that some Member States lack the capacity to diversify their energy supplies and are thus becoming increasingly vulnerable; in this respect, strongly supports the collaborative efforts of Member States in crisis situations; stresses that the protection of critical infrastructure in Europe should activate the mutual defence and/or solidarity clause; notes also that operation ATALANTA is already performing an energy security role by combating pirates who have hijacked a number of oil tankers since 2008; believes, therefore, that these aspects need to be part of the necessary strategic approach; emphasises, in this connection, that energy supply is a crucial factor for successful CSDP missions and operations; |
| --- | --- |

33.

Asks the European Council to reaffirm the significance of Europe’s energy supply and a diversified and sustainable access to energy resources; notes that some Member States lack the capacity to diversify their energy supplies and are thus becoming increasingly vulnerable; in this respect, strongly supports the collaborative efforts of Member States in crisis situations; stresses that the protection of critical infrastructure in Europe should activate the mutual defence and/or solidarity clause; notes also that operation ATALANTA is already performing an energy security role by combating pirates who have hijacked a number of oil tankers since 2008; believes, therefore, that these aspects need to be part of the necessary strategic approach; emphasises, in this connection, that energy supply is a crucial factor for successful CSDP missions and operations;

| 34. | Underscores the importance of energy efficiency in the field of defence, in particular, stressing the need to assess the impact of energy consumption on defence budgets and military effectiveness and develop a comprehensive energy efficiency strategy for the armed forces; |
| --- | --- |

34.

Underscores the importance of energy efficiency in the field of defence, in particular, stressing the need to assess the impact of energy consumption on defence budgets and military effectiveness and develop a comprehensive energy efficiency strategy for the armed forces;

| 35. | Underlines the importance for the EU to further develop partnerships and deepen its security dialogue with the UN, regional organisations and relevant players, including Eastern Partnership and Southern Neighbourhood countries; |
| --- | --- |

35.

Underlines the importance for the EU to further develop partnerships and deepen its security dialogue with the UN, regional organisations and relevant players, including Eastern Partnership and Southern Neighbourhood countries;

| 36. | Points out that the EU should further engage with the UN, the African Union, the OSCE and ASEAN in order to share analysis and cooperate in addressing the challenges of environmental policy and climate change, including their security implications; underlines the need for preventive action and urges the EU to develop and improve early warning capabilities; |
| --- | --- |

36.

Points out that the EU should further engage with the UN, the African Union, the OSCE and ASEAN in order to share analysis and cooperate in addressing the challenges of environmental policy and climate change, including their security implications; underlines the need for preventive action and urges the EU to develop and improve early warning capabilities;

| 37. | Calls for stronger cooperation between the EU and NATO structures through a complementary approach and closer coordination in order to help avoid duplication between the two partners and to effectively tackle the new threats; is convinced that strengthening the CSDP does no harm to, and indeed reinforces, collective security and transatlantic links; asserts that the development of defence capabilities within an EU context also benefits NATO; notes the constructive collaboration regarding the EU’s pooling and sharing initiative and NATO’s smart defence initiative; welcomes the Republic of Cyprus’s intention to join NATO’s Partnership for Peace Programme, which can be a game changer, and urges Turkey to adopt an equally constructive attitude; urges the development of a comprehensive framework for EU-NATO cooperation and the deepening of political dialogue with full respect for the decision-making of each party; |
| --- | --- |

37.

Calls for stronger cooperation between the EU and NATO structures through a complementary approach and closer coordination in order to help avoid duplication between the two partners and to effectively tackle the new threats; is convinced that strengthening the CSDP does no harm to, and indeed reinforces, collective security and transatlantic links; asserts that the development of defence capabilities within an EU context also benefits NATO; notes the constructive collaboration regarding the EU’s pooling and sharing initiative and NATO’s smart defence initiative; welcomes the Republic of Cyprus’s intention to join NATO’s Partnership for Peace Programme, which can be a game changer, and urges Turkey to adopt an equally constructive attitude; urges the development of a comprehensive framework for EU-NATO cooperation and the deepening of political dialogue with full respect for the decision-making of each party;

| 38. | Takes the view that the EU needs to be able to act autonomously, particularly in its own neighbourhood, but always in line with the provisions of the UN Charter and ensuring full respect for international humanitarian law; |
| --- | --- |

38.

Takes the view that the EU needs to be able to act autonomously, particularly in its own neighbourhood, but always in line with the provisions of the UN Charter and ensuring full respect for international humanitarian law;

Second cluster: enhance the development of defence capabilities

| 39. | Echoes concerns that further cuts in national defence budgets will make it impossible to maintain critical military capabilities and will result in the irreversible loss of know-how and technologies; notes that the shortfalls in Member States’ capabilities became apparent during the operations in Libya and Mali and that the economic crisis has exacerbated existing structural problems; reiterates its view, however, that the problem is less of a budgetary nature than of a political one; |
| --- | --- |

39.

Echoes concerns that further cuts in national defence budgets will make it impossible to maintain critical military capabilities and will result in the irreversible loss of know-how and technologies; notes that the shortfalls in Member States’ capabilities became apparent during the operations in Libya and Mali and that the economic crisis has exacerbated existing structural problems; reiterates its view, however, that the problem is less of a budgetary nature than of a political one;

| 40. | Notes the proposals put forward by the VP/HR in her October 2013 report on the CSDP, in particular those intended to create incentives, including tax incentives, for cooperation in the defence capability field; stresses the opportunity for Member States to enjoy the full benefits of working closer together to generate military efficiency and to decide to optimise and spend scarce resources in a better and smarter way, by creating synergies and by a coordinated reduction of unnecessary duplication, redundant and obsolete capabilities; |
| --- | --- |

40.

Notes the proposals put forward by the VP/HR in her October 2013 report on the CSDP, in particular those intended to create incentives, including tax incentives, for cooperation in the defence capability field; stresses the opportunity for Member States to enjoy the full benefits of working closer together to generate military efficiency and to decide to optimise and spend scarce resources in a better and smarter way, by creating synergies and by a coordinated reduction of unnecessary duplication, redundant and obsolete capabilities;

| 41. | Welcomes the ongoing revision of the Capability Development Plan as the basis for a long-term joint transformation concept for capability-building; believes that this transformation concept should be discussed regularly and its implementation streamlined and, as appropriate, reviewed; |
| --- | --- |

41.

Welcomes the ongoing revision of the Capability Development Plan as the basis for a long-term joint transformation concept for capability-building; believes that this transformation concept should be discussed regularly and its implementation streamlined and, as appropriate, reviewed;

| 42. | Draws attention to the mission of the European Defence Agency (EDA), as provided for in Articles 42(3) and 45 TEU, according to which the Agency is entrusted with important tasks in terms of implementing permanent structured cooperation, formulating a European capabilities and armaments policy, developing the military capabilities of Member States and strengthening the industrial and technological base of the defence sector, but without financial implications for the EU budget; |
| --- | --- |

42.

Draws attention to the mission of the European Defence Agency (EDA), as provided for in Articles 42(3) and 45 TEU, according to which the Agency is entrusted with important tasks in terms of implementing permanent structured cooperation, formulating a European capabilities and armaments policy, developing the military capabilities of Member States and strengthening the industrial and technological base of the defence sector, but without financial implications for the EU budget;

| 43. | Considers that, although not a panacea, the pooling and sharing of military capabilities constitutes an important response to shortfalls in European capabilities; welcomes the facilitating role of the EDA and the progress achieved so far; believes that pooling and sharing should not only be considered in terms of joint sourcing, but also in terms of integration, and should cover the shared maintenance and utilisation of capabilities; |
| --- | --- |

43.

Considers that, although not a panacea, the pooling and sharing of military capabilities constitutes an important response to shortfalls in European capabilities; welcomes the facilitating role of the EDA and the progress achieved so far; believes that pooling and sharing should not only be considered in terms of joint sourcing, but also in terms of integration, and should cover the shared maintenance and utilisation of capabilities;

| 44. | Calls for the European Defence Agency (EDA) to be given a stronger role in coordinating capabilities, with a view to ending duplication and the existence of parallel programmes in the Member States, which place an excessive burden on taxpayers; |
| --- | --- |

44.

Calls for the European Defence Agency (EDA) to be given a stronger role in coordinating capabilities, with a view to ending duplication and the existence of parallel programmes in the Member States, which place an excessive burden on taxpayers;

| 45. | Invites the EU Member States to improve information-sharing on defence planning and, in line with the Code of Conduct on Pooling and Sharing, to include pooling and sharing solutions in national defence planning cycles and decision-making processes; |
| --- | --- |

45.

Invites the EU Member States to improve information-sharing on defence planning and, in line with the Code of Conduct on Pooling and Sharing, to include pooling and sharing solutions in national defence planning cycles and decision-making processes;

| 46. | Stresses that mutual trust, transparency and reliability are key factors for the success of any common endeavour in the area of security and defence; is convinced that the development of defence capabilities must be embedded into a strategic approach that determines the appropriate mix of capabilities and the goals for which they should be used; |
| --- | --- |

46.

Stresses that mutual trust, transparency and reliability are key factors for the success of any common endeavour in the area of security and defence; is convinced that the development of defence capabilities must be embedded into a strategic approach that determines the appropriate mix of capabilities and the goals for which they should be used;

| 47. | In the light of the above, expects the upcoming Defence Summit:






  (a) | to provide political and strategic guidance, reconfirming the Member States’ commitment to capability development and the level of ambition outlined in the 2008 Declaration on Strengthening Capabilities; |
| --- | --- | --- |

47.

In the light of the above, expects the upcoming Defence Summit:

(a)

to provide political and strategic guidance, reconfirming the Member States’ commitment to capability development and the level of ambition outlined in the 2008 Declaration on Strengthening Capabilities;

| (b) | to set the foundations for truly collective planning, ranging from strategic planning to procurement and technological development, whilst paying particular attention to the issues of financial arrangements and incentives; |
| --- | --- |

(b)

to set the foundations for truly collective planning, ranging from strategic planning to procurement and technological development, whilst paying particular attention to the issues of financial arrangements and incentives;

| (c) | to step up the implementation of existing projects, particularly those regarding strategic enablers, and to provide political support for the EDA’s flagship projects, i.e. Air-to-Air Refuelling, Satellite Communication, Remotely Piloted Aircraft Systems, Cyber Defence, and the Single European Sky; |
| --- | --- |

(c)

to step up the implementation of existing projects, particularly those regarding strategic enablers, and to provide political support for the EDA’s flagship projects, i.e. Air-to-Air Refuelling, Satellite Communication, Remotely Piloted Aircraft Systems, Cyber Defence, and the Single European Sky;

| (d) | to task the VP/HR and the EDA, in tandem with the Commission, to come forward with new practical proposals regarding the development of defence capabilities by the end of 2014; |
| --- | --- |

(d)

to task the VP/HR and the EDA, in tandem with the Commission, to come forward with new practical proposals regarding the development of defence capabilities by the end of 2014;

| (e) | to establish a monitoring process which regularly assesses the progress achieved; |
| --- | --- |

(e)

to establish a monitoring process which regularly assesses the progress achieved;

| (f) | to reiterate the value of closer collaboration with NATO and strategic partners in the capabilities’ development domain; |
| --- | --- |

(f)

to reiterate the value of closer collaboration with NATO and strategic partners in the capabilities’ development domain;

| (g) | to consider launching development work on a Military Headline Goal 2025, possibly complemented by an Industrial Headline Goal; |
| --- | --- |

(g)

to consider launching development work on a Military Headline Goal 2025, possibly complemented by an Industrial Headline Goal;

Third cluster: strengthen Europe’s defence industry

| 48. | Welcomes the Commission Communication entitled ‘Towards a more competitive and efficient defence and security sector’, which brings forward some fresh ideas and proposals; fully supports the Commission’s efforts to deepen the internal defence and security market and to develop a defence industrial policy, providing adequate support for SMEs which play a key role in innovation, R&D, job creation and economic growth, in line with the Europe 2020 Strategy; |
| --- | --- |

48.

Welcomes the Commission Communication entitled ‘Towards a more competitive and efficient defence and security sector’, which brings forward some fresh ideas and proposals; fully supports the Commission’s efforts to deepen the internal defence and security market and to develop a defence industrial policy, providing adequate support for SMEs which play a key role in innovation, R&D, job creation and economic growth, in line with the Europe 2020 Strategy;

| 49. | Underlines the fact that strengthening the technological and industrial base of the defence sector is an objective of the Union enshrined in Articles 42(3) and 45 TEU; stresses that a solid European Defence Technological and Industrial Base (EDTIB) which is able to sustain CSDP and further enhance Europe’s military capabilities, whilst preserving the EU’s strategic autonomy, is crucial for an effective European defence; highlights the link between research, industry and capability development, which are all necessary elements for economic growth, job creation and competitiveness, as well as for a stronger CSDP; |
| --- | --- |

49.

Underlines the fact that strengthening the technological and industrial base of the defence sector is an objective of the Union enshrined in Articles 42(3) and 45 TEU; stresses that a solid European Defence Technological and Industrial Base (EDTIB) which is able to sustain CSDP and further enhance Europe’s military capabilities, whilst preserving the EU’s strategic autonomy, is crucial for an effective European defence; highlights the link between research, industry and capability development, which are all necessary elements for economic growth, job creation and competitiveness, as well as for a stronger CSDP;

| 50. | Reiterates the need for a strong and less fragmented European defence industry that is capable of sustaining the CSDP and enhancing the EU’s strategic autonomy; highlights the importance of certification and standardisation for improving the interoperability of the armed forces; calls on the European Council to mandate the EDA to prepare a roadmap for the development of defence industrial standards, and on the Member States to streamline European certification procedures with the mutual recognition of certificates and to harmonise their certification procedures; |
| --- | --- |

50.

Reiterates the need for a strong and less fragmented European defence industry that is capable of sustaining the CSDP and enhancing the EU’s strategic autonomy; highlights the importance of certification and standardisation for improving the interoperability of the armed forces; calls on the European Council to mandate the EDA to prepare a roadmap for the development of defence industrial standards, and on the Member States to streamline European certification procedures with the mutual recognition of certificates and to harmonise their certification procedures;

| 51. | Stresses that the anticipation and management of change and restructuring are an integral part of any industrial policy; considers, therefore, that further market integration in the defence sector must go hand in hand with active social dialogue and the mitigation of its negative impacts on regional and local economies, making full use of EU financial instruments, such as the European Social Fund and the European Globalisation Fund; |
| --- | --- |

51.

Stresses that the anticipation and management of change and restructuring are an integral part of any industrial policy; considers, therefore, that further market integration in the defence sector must go hand in hand with active social dialogue and the mitigation of its negative impacts on regional and local economies, making full use of EU financial instruments, such as the European Social Fund and the European Globalisation Fund;

| 52. | Calls on the European Council to take action in these areas through sound financing of R&D, including at Union level; supports the development of effective and cost-efficient cooperation between civilian security and defence research activities; stresses, however, the continued need for an effective dual-use export regime; |
| --- | --- |

52.

Calls on the European Council to take action in these areas through sound financing of R&D, including at Union level; supports the development of effective and cost-efficient cooperation between civilian security and defence research activities; stresses, however, the continued need for an effective dual-use export regime;

| 53. | Stresses the need to ensure new sources of financing for research and innovation in the defence field, e.g. through Horizon 2020; |
| --- | --- |

53.

Stresses the need to ensure new sources of financing for research and innovation in the defence field, e.g. through Horizon 2020;

Concluding remarks

| 54. | Fully supports holding a debate on the three clusters at the December Defence Summit; highlights their equal importance and the fact that they are interlinked by an inherent logic serving the same strategic goals; |
| --- | --- |

54.

Fully supports holding a debate on the three clusters at the December Defence Summit; highlights their equal importance and the fact that they are interlinked by an inherent logic serving the same strategic goals;

| 55. | Calls on the European Council, as well as policymakers at all levels in the Member States of the Union, to show greater ambition and courage in launching a public debate, this being even more important in times of economic austerity; stresses the need to invest more and step up cooperation in the area of security and defence, and to explain the causal nexus between security and defence on the one hand, and freedom, democracy, rule of law and prosperity on the other; |
| --- | --- |

55.

Calls on the European Council, as well as policymakers at all levels in the Member States of the Union, to show greater ambition and courage in launching a public debate, this being even more important in times of economic austerity; stresses the need to invest more and step up cooperation in the area of security and defence, and to explain the causal nexus between security and defence on the one hand, and freedom, democracy, rule of law and prosperity on the other;

| 56. | Stresses the indivisible link between internal and external security and that a peaceful, secure and stable environment is a precondition for preserving the political, economic and social model in Europe; |
| --- | --- |

56.

Stresses the indivisible link between internal and external security and that a peaceful, secure and stable environment is a precondition for preserving the political, economic and social model in Europe;

| 57. | Expresses its high hopes that this European Council will not be an isolated event, but the starting point of a continuous process that revisits security and defence matters at European Council level on a regular basis; favours, as a follow-up to the European Council, the establishment of a roadmap with specific benchmarks and timelines, and a reporting mechanism; advocates the creation of a Council of Defence Ministers in the medium term in order to give security and defence matters the weight they deserve; |
| --- | --- |

57.

Expresses its high hopes that this European Council will not be an isolated event, but the starting point of a continuous process that revisits security and defence matters at European Council level on a regular basis; favours, as a follow-up to the European Council, the establishment of a roadmap with specific benchmarks and timelines, and a reporting mechanism; advocates the creation of a Council of Defence Ministers in the medium term in order to give security and defence matters the weight they deserve;

| 58. | Resolves to maintain and strengthen closer links with the Member States’ national parliaments through regular meetings in order to promote dialogue and exchanges of views on matters of security and defence; |
| --- | --- |

58.

Resolves to maintain and strengthen closer links with the Member States’ national parliaments through regular meetings in order to promote dialogue and exchanges of views on matters of security and defence;

| 59. | Believes that the CSDP is a basic pillar of the European integration process; |
| --- | --- |

59.

Believes that the CSDP is a basic pillar of the European integration process;

o

o o

| 60. | Instructs its President to forward this resolution to the President of the European Council, the VP/HR, the Council, the Commission, the governments and parliaments of the Member States, the Secretary-General of NATO, the President of the NATO Parliamentary Assembly, the Secretary-General of the United Nations, the Chairman-in-Office of the OSCE, the President of the OSCE Parliamentary Assembly, the Chair of the Assembly of the African Union and the Secretary General of ASEAN. |
| --- | --- |

60.

Instructs its President to forward this resolution to the President of the European Council, the VP/HR, the Council, the Commission, the governments and parliaments of the Member States, the Secretary-General of NATO, the President of the NATO Parliamentary Assembly, the Secretary-General of the United Nations, the Chairman-in-Office of the OSCE, the President of the OSCE Parliamentary Assembly, the Chair of the Assembly of the African Union and the Secretary General of ASEAN.

---

(1)  OJ L 146, 10.6.2009, p. 1.

(2)  OJ L 216, 20.8.2009, p. 76.

(3)  Texts adopted, P7_TA(2013)0380.

(4)  Texts adopted, P7_TA(2013)0381.

(5)  Texts adopted, P7_TA(2012)0455.

(6)  Texts adopted, P7_TA(2012)0456.

(7)  Texts adopted, P7_TA(2012)0458.

(8)  Texts adopted, P7_TA(2012)0457.

(9)  OJ C 168 E, 14.6.2013, p. 9.

(10)  OJ C 377 E, 7.12.2012, p. 51.

(11)  OJ C 99 E, 3.4.2012, p. 7.

(12)  Texts adopted, P7_TA(2013)0278.

(13)  http://eeas.europa.eu/library/publications/2013/3/2013_eeas_review_en.pdf

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/26 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/26

---

P7_TA(2013)0514

European defence technological and industrial base

European Parliament resolution of 21 November 2013 on the European Defence Technological and Industrial Base (2013/2125(INI))

(2016/C 436/05)

The European Parliament,

| — | having regard to Title V of the Treaty on European Union (TEU), in particular Articles 21, 42, 45 and 46 thereof, and Articles 173, 179-190 and 352 of the Treaty on the Functioning of the European Union (TFEU) and its Protocol No 10, |
| --- | --- |

—

having regard to Title V of the Treaty on European Union (TEU), in particular Articles 21, 42, 45 and 46 thereof, and Articles 173, 179-190 and 352 of the Treaty on the Functioning of the European Union (TFEU) and its Protocol No 10,

| — | having regard to the European Council conclusions of 13-14 December 2012 and to the process leading to the European Council meeting on defence scheduled for 19-20 December 2013, |
| --- | --- |

—

having regard to the European Council conclusions of 13-14 December 2012 and to the process leading to the European Council meeting on defence scheduled for 19-20 December 2013,

| — | having regard to the Commission Communication of 24 July 2013 entitled ‘Towards a more competitive and efficient defence and security sector’ (COM(2013)0542), |
| --- | --- |

—

having regard to the Commission Communication of 24 July 2013 entitled ‘Towards a more competitive and efficient defence and security sector’ (COM(2013)0542),

| — | having regard to the Commission Communication of 5 December 2007 entitled ‘A strategy for a stronger and more competitive European defence industry’ (COM(2007)0764), |
| --- | --- |

—

having regard to the Commission Communication of 5 December 2007 entitled ‘A strategy for a stronger and more competitive European defence industry’ (COM(2007)0764),

| — | having regard to the European Security Strategy, adopted by the European Council on 12 December 2003, and to the report on its implementation, endorsed by the European Council on 11-12 December 2008, |
| --- | --- |

—

having regard to the European Security Strategy, adopted by the European Council on 12 December 2003, and to the report on its implementation, endorsed by the European Council on 11-12 December 2008,

| — | having regard to the declaration on the enhancement of the European Security and Defence Policy, adopted by the European Council on 12 December 2008, and to the declaration on strengthening capabilities, adopted by the Council on 11 December 2008, |
| --- | --- |

—

having regard to the declaration on the enhancement of the European Security and Defence Policy, adopted by the European Council on 12 December 2008, and to the declaration on strengthening capabilities, adopted by the Council on 11 December 2008,

| — | having regard to the Strategy for the European Defence Technological and Industrial Base, adopted by the European Defence Agency (EDA) Steering Board on 14 May 2007, |
| --- | --- |

—

having regard to the Strategy for the European Defence Technological and Industrial Base, adopted by the European Defence Agency (EDA) Steering Board on 14 May 2007,

| — | having regard to Council Decision 2011/411/CFSP of 12 July 2011 defining the statute, seat and operational rules of the European Defence Agency and repealing Joint Action 2004/551/CFSP (1), |
| --- | --- |

—

having regard to Council Decision 2011/411/CFSP of 12 July 2011 defining the statute, seat and operational rules of the European Defence Agency and repealing Joint Action 2004/551/CFSP (1),

| — | having regard to Directive 2009/81/EC 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 (2), |
| --- | --- |

—

having regard to Directive 2009/81/EC 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 (2),

| — | having regard to its resolutions of 22 November 2012 on the implementation of the Common Security and Defence Policy (3), and of 14 December 2011 on the impact of the financial crisis on the defence sector in the EU Member States (4), |
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—

having regard to its resolutions of 22 November 2012 on the implementation of the Common Security and Defence Policy (3), and of 14 December 2011 on the impact of the financial crisis on the defence sector in the EU Member States (4),

| — | 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 Foreign Affairs and to the opinions of the Committee on Industry, Research and Energy and the Committee on the Internal Market and Consumer Protection (A7-0358/2013), |
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—

having regard to the report of the Committee on Foreign Affairs and to the opinions of the Committee on Industry, Research and Energy and the Committee on the Internal Market and Consumer Protection (A7-0358/2013),

An operational Common Security and Defence Policy needs a strong European defence technological and industrial base

| 1. | Recalls that an operational Common Security and Defence Policy needs a strong European defence technological and industrial base (EDTIB), constituting a key element for Europe's capacity to ensure the security of its citizens, protect its values and promote its interests; points out that the European defence sector is a major source of growth and innovation, key features for stability and security; believes that the establishment and development of a competitive EDTIB should be part of the strategic priorities of the EU; |
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1.

Recalls that an operational Common Security and Defence Policy needs a strong European defence technological and industrial base (EDTIB), constituting a key element for Europe's capacity to ensure the security of its citizens, protect its values and promote its interests; points out that the European defence sector is a major source of growth and innovation, key features for stability and security; believes that the establishment and development of a competitive EDTIB should be part of the strategic priorities of the EU;

| 2. | Recalls the level of operational ambitions outlined in the Council Declaration on strengthening capabilities of 11 December 2008 and the civilian and military tasks outlined in Article 43(1) TEU; recalls the Member States’ commitment to improve their military capabilities; calls on the European Council to launch the development of a European capabilities and armaments policy (ECAP) to that end, as provided for in Article 42(3) TEU; |
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2.

Recalls the level of operational ambitions outlined in the Council Declaration on strengthening capabilities of 11 December 2008 and the civilian and military tasks outlined in Article 43(1) TEU; recalls the Member States’ commitment to improve their military capabilities; calls on the European Council to launch the development of a European capabilities and armaments policy (ECAP) to that end, as provided for in Article 42(3) TEU;

| 3. | Notes that while some third countries such as China, India, Brazil and Russia are increasing their defence spending, EU defence budgets are being cut back; draws attention to the changing strategic global landscape, reduced defence budgets, caused especially by the economic and financial crisis, the quickening pace of technological development and the fact that European defence companies are adjusting to this situation by putting the emphasis on exports to third countries, at the cost of transferring sensitive technologies and intellectual property rights, and moving production outside the EU; |
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3.

Notes that while some third countries such as China, India, Brazil and Russia are increasing their defence spending, EU defence budgets are being cut back; draws attention to the changing strategic global landscape, reduced defence budgets, caused especially by the economic and financial crisis, the quickening pace of technological development and the fact that European defence companies are adjusting to this situation by putting the emphasis on exports to third countries, at the cost of transferring sensitive technologies and intellectual property rights, and moving production outside the EU;

| 4. | Is concerned about the reductions in defence investment, and calls on the Member States, the EDA and the Commission to take countermeasures in response to the increasing exposure of the EDTIB in the future to the risk of being controlled and constrained in its activities by third powers with different strategic interests; urges the Member States to reinforce European industrial cooperation with a view to ensuring, as far as possible, strategic autonomy by developing and producing efficient military and security capabilities using the most advanced technologies; |
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4.

Is concerned about the reductions in defence investment, and calls on the Member States, the EDA and the Commission to take countermeasures in response to the increasing exposure of the EDTIB in the future to the risk of being controlled and constrained in its activities by third powers with different strategic interests; urges the Member States to reinforce European industrial cooperation with a view to ensuring, as far as possible, strategic autonomy by developing and producing efficient military and security capabilities using the most advanced technologies;

| 5. | Stresses that with the entry into force of the Lisbon Treaty the EU’s industrial, space and research policies extend to the defence remit; points out that Union programmes in other areas such as internal and border security, disaster management and development offer a significant prospect of jointly developing capabilities relevant to those policies and to the conduct of CSDP missions; |
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5.

Stresses that with the entry into force of the Lisbon Treaty the EU’s industrial, space and research policies extend to the defence remit; points out that Union programmes in other areas such as internal and border security, disaster management and development offer a significant prospect of jointly developing capabilities relevant to those policies and to the conduct of CSDP missions;

| 6. | Recalls the need to make progress in consolidating the EDTIB and notes that — in the face of the increasing sophistication and costs of technologies, growing international competition and decreasing defence budgets and production volumes, there is continued scope for multinational defence projects and that it is no longer possible in any of the Member States for the defence industry to be sustainable on a strictly national basis; regrets the fact that, while a certain level of concentration has been achieved in the European aerospace industries, the land and naval equipment sectors are still overwhelmingly fragmented along national lines; |
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6.

Recalls the need to make progress in consolidating the EDTIB and notes that — in the face of the increasing sophistication and costs of technologies, growing international competition and decreasing defence budgets and production volumes, there is continued scope for multinational defence projects and that it is no longer possible in any of the Member States for the defence industry to be sustainable on a strictly national basis; regrets the fact that, while a certain level of concentration has been achieved in the European aerospace industries, the land and naval equipment sectors are still overwhelmingly fragmented along national lines;

| 7. | Stresses that the construction of a European defence industry should be carried out in a sustainable manner, in all Member States, on the basis of existing industrial infrastructure and of the established norms of European industrial policies as referred to in Article 173 TFEU, and not solely according to the principle of free competition; |
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7.

Stresses that the construction of a European defence industry should be carried out in a sustainable manner, in all Member States, on the basis of existing industrial infrastructure and of the established norms of European industrial policies as referred to in Article 173 TFEU, and not solely according to the principle of free competition;

| 8. | Reminds the EU Member States, the VP/HR, the European Commission and the European Defence Agency that more than two decades after the Cold War and after having had the benefit of relatively high national defence budgets, the EU Member States were not able to fulfil the Helsinki Headline Goals and other joint military capability development objectives; |
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8.

Reminds the EU Member States, the VP/HR, the European Commission and the European Defence Agency that more than two decades after the Cold War and after having had the benefit of relatively high national defence budgets, the EU Member States were not able to fulfil the Helsinki Headline Goals and other joint military capability development objectives;

| 9. | Recalls that if Europe wishes to maintain a solid security and defence industry its Member States need to coordinate their defence budgets in order to avoid duplication and to strengthen their joint research programmes; |
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9.

Recalls that if Europe wishes to maintain a solid security and defence industry its Member States need to coordinate their defence budgets in order to avoid duplication and to strengthen their joint research programmes;

| 10. | Notes that in spite of the crisis and the budget cuts, European citizens are still calling for European defence and industrial coordination and cooperation, which they perceive as a factor promoting security, efficiency and savings; |
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10.

Notes that in spite of the crisis and the budget cuts, European citizens are still calling for European defence and industrial coordination and cooperation, which they perceive as a factor promoting security, efficiency and savings;

| 11. | Notes the Commission Communication of 24 July 2013 and the report by the HR/VP of 15 October 2013 on the Common Security and Defence Policy; considers it regrettable that the Commission and the EEAS did not issue a joint European declaration in preparation for the European Council’s defence summit in December of this year; looks forward to the specific legislative suggestions by the Commission on how to use the European Structural Investment Funds, the Enterprise Europe Network (EEN), the European Social Fund and the European Globalisation Adjustment Fund in order to assure the equitable development of the defence industry in all parts of the European Union; |
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11.

Notes the Commission Communication of 24 July 2013 and the report by the HR/VP of 15 October 2013 on the Common Security and Defence Policy; considers it regrettable that the Commission and the EEAS did not issue a joint European declaration in preparation for the European Council’s defence summit in December of this year; looks forward to the specific legislative suggestions by the Commission on how to use the European Structural Investment Funds, the Enterprise Europe Network (EEN), the European Social Fund and the European Globalisation Adjustment Fund in order to assure the equitable development of the defence industry in all parts of the European Union;

| 12. | Recalls that the Commission and EU defence ministers already underlined the need for urgent action in this field in 2007 with a dedicated Commission Communication and the EDA’s EDTIB strategy; regrets the lost opportunities regularly to submit implementation reports and update strategies following the entry into force of the Lisbon Treaty; considers it regrettable that the new communication does not take stock of previous strategies; calls for the Commission and the EDA to develop a joint EDTIB strategy in the future, based on past experiences; |
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12.

Recalls that the Commission and EU defence ministers already underlined the need for urgent action in this field in 2007 with a dedicated Commission Communication and the EDA’s EDTIB strategy; regrets the lost opportunities regularly to submit implementation reports and update strategies following the entry into force of the Lisbon Treaty; considers it regrettable that the new communication does not take stock of previous strategies; calls for the Commission and the EDA to develop a joint EDTIB strategy in the future, based on past experiences;

| 13. | Considers, in its own broad assessment, that both strategies have been insufficiently implemented because of the lack of a common understanding of EDTIB resulting from differing national and industrial interests, and the persistence of established national habits in the armaments sectors; takes note of the fact that there are Member States with no national defence industry and/or niche industries of their own that are striving to obtain the best value for money globally, with less competitive defence industries favouring national supply chains and with more powerful national defence industries accepting strong global competition; |
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13.

Considers, in its own broad assessment, that both strategies have been insufficiently implemented because of the lack of a common understanding of EDTIB resulting from differing national and industrial interests, and the persistence of established national habits in the armaments sectors; takes note of the fact that there are Member States with no national defence industry and/or niche industries of their own that are striving to obtain the best value for money globally, with less competitive defence industries favouring national supply chains and with more powerful national defence industries accepting strong global competition;

| 14. | Welcomes the European Council's decision to put the strengthening of Europe's defence on the agenda for its December summit; calls on the European Council to provide the necessary fresh and ambitious impetus and to lay down guidelines, overarching political priorities and timelines for supporting a truly European defence technological and industrial base, which will be backed by appropriate integrity- and trust-building measures and which will be capability-driven and will promote synergies, provide for the efficient use of the limited resources, avoid duplication and be integrated and competitive on the global market; |
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14.

Welcomes the European Council's decision to put the strengthening of Europe's defence on the agenda for its December summit; calls on the European Council to provide the necessary fresh and ambitious impetus and to lay down guidelines, overarching political priorities and timelines for supporting a truly European defence technological and industrial base, which will be backed by appropriate integrity- and trust-building measures and which will be capability-driven and will promote synergies, provide for the efficient use of the limited resources, avoid duplication and be integrated and competitive on the global market;

Harmonisation of requirements and consolidation of demand

| 15. | Considers it regrettable that past efforts to consolidate demand have not improved the fragmentation of demand in the EU, with 28 national defence customers and an even higher number of customers of products for civilian and military use; regrets the limited results of the EDA’s Capability Development Plan; calls, therefore, on the European Council to launch a European defence review process and make the coordination of national defence planning processes at EU level a reality; based on this assessment, calls on the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy to initiate a wide-ranging process to develop a White Paper on European Security and Defence in order to streamline the EU’s strategic ambitions and capability development processes; |
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15.

Considers it regrettable that past efforts to consolidate demand have not improved the fragmentation of demand in the EU, with 28 national defence customers and an even higher number of customers of products for civilian and military use; regrets the limited results of the EDA’s Capability Development Plan; calls, therefore, on the European Council to launch a European defence review process and make the coordination of national defence planning processes at EU level a reality; based on this assessment, calls on the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy to initiate a wide-ranging process to develop a White Paper on European Security and Defence in order to streamline the EU’s strategic ambitions and capability development processes;

| 16. | Calls on the Member States to further explore the possibility of synchronising and jointly planning the life-cycle management of their defence capabilities in cooperation with the EDA; considers that a higher degree of synergies leading to a common European capabilities and armaments policy, as referred to in Article 42 TEU, would be a prerequisite for turning the harmonisation of military requirements into harmonised equipment acquisition among Member States, thus creating the conditions for a successful demand-driven transnational restructuring of the defence industry in the EU; |
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16.

Calls on the Member States to further explore the possibility of synchronising and jointly planning the life-cycle management of their defence capabilities in cooperation with the EDA; considers that a higher degree of synergies leading to a common European capabilities and armaments policy, as referred to in Article 42 TEU, would be a prerequisite for turning the harmonisation of military requirements into harmonised equipment acquisition among Member States, thus creating the conditions for a successful demand-driven transnational restructuring of the defence industry in the EU;

| 17. | Notes the work of the NATO defence planning process, through which members of the alliance, including 26 European allies, coordinate — where appropriate — in order to ensure that the right defence capabilities are developed and maintained to address future challenges; notes that NATO has long recognised the need for close cooperation with industry, not least in order to assist the development of military capability requirements, especially regarding standardisation and interoperability, while fostering transatlantic defence technological and industrial cooperation; |
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17.

Notes the work of the NATO defence planning process, through which members of the alliance, including 26 European allies, coordinate — where appropriate — in order to ensure that the right defence capabilities are developed and maintained to address future challenges; notes that NATO has long recognised the need for close cooperation with industry, not least in order to assist the development of military capability requirements, especially regarding standardisation and interoperability, while fostering transatlantic defence technological and industrial cooperation;

Industrial policy

| 18. | Considers that a European industrial defence policy should have the aim of optimising Member States’ capabilities by coordinating the development, deployment and maintenance of a range of capabilities, installations, equipment and services with a view to performing the full range of tasks, including the most demanding missions, by strengthening Europe’s defence industry, by promoting research and technology cooperation and by developing equipment cooperation programmes; |
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18.

Considers that a European industrial defence policy should have the aim of optimising Member States’ capabilities by coordinating the development, deployment and maintenance of a range of capabilities, installations, equipment and services with a view to performing the full range of tasks, including the most demanding missions, by strengthening Europe’s defence industry, by promoting research and technology cooperation and by developing equipment cooperation programmes;

| 19. | Recognises the importance of the European defence industries for innovation and growth, giving rise, directly and indirectly, to approximately 400 000 jobs in the Union; highlights the fact that while the European defence economy is facing several challenges, there is a need for a new approach avoiding duplication and leading to larger economies of scale and increased industrial competition; |
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19.

Recognises the importance of the European defence industries for innovation and growth, giving rise, directly and indirectly, to approximately 400 000 jobs in the Union; highlights the fact that while the European defence economy is facing several challenges, there is a need for a new approach avoiding duplication and leading to larger economies of scale and increased industrial competition;

| 20. | Believes that it is time to promote a voluntary approach in acting on the fragmentation of the European industrial defence market, furthering its consolidation (and initiating harmonisation) as regards supply and demand, rules and standards, and that it is also time to invest in an integrated sustainable industrial policy based on research, innovation, increasing efficiency of resources, a strategy for raw materials, the strengthening of SMEs and the development of regional networks; fully supports Commission efforts to underpin the internal defence and security market through suitable assistance for small and medium-sized enterprises playing a major role in innovation, in developing specialised capabilities and in state-of-the-art technologies and job creation under the ‘Europe 2020’ strategy; |
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20.

Believes that it is time to promote a voluntary approach in acting on the fragmentation of the European industrial defence market, furthering its consolidation (and initiating harmonisation) as regards supply and demand, rules and standards, and that it is also time to invest in an integrated sustainable industrial policy based on research, innovation, increasing efficiency of resources, a strategy for raw materials, the strengthening of SMEs and the development of regional networks; fully supports Commission efforts to underpin the internal defence and security market through suitable assistance for small and medium-sized enterprises playing a major role in innovation, in developing specialised capabilities and in state-of-the-art technologies and job creation under the ‘Europe 2020’ strategy;

| 21. | Considers it important for Member States to step up cooperation in order to meet industrial challenges and notes that budgetary constraints and increasing global competition mean that the EU needs internal partnerships and other groupings as well as task-sharing; supports the EDA in its endeavour to promote regional clusters; |
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21.

Considers it important for Member States to step up cooperation in order to meet industrial challenges and notes that budgetary constraints and increasing global competition mean that the EU needs internal partnerships and other groupings as well as task-sharing; supports the EDA in its endeavour to promote regional clusters;

| 22. | Takes the view that the very specific nature of defence markets should be recognised in view of the export control and anti-proliferation obligations and the strict confidentiality requirements which apply, and the fact that the number of companies supplying the market is limited and demand comes almost exclusively from governments; |
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22.

Takes the view that the very specific nature of defence markets should be recognised in view of the export control and anti-proliferation obligations and the strict confidentiality requirements which apply, and the fact that the number of companies supplying the market is limited and demand comes almost exclusively from governments;

| 23. | Believes that the defence industry is very specific in nature, given lengthy product development and the need to keep systems operational for several decades, the substantial and growing cost of programmes and finally the fact that product commercialisation is highly dependent on Member State governments; |
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23.

Believes that the defence industry is very specific in nature, given lengthy product development and the need to keep systems operational for several decades, the substantial and growing cost of programmes and finally the fact that product commercialisation is highly dependent on Member State governments;

| 24. | Supports the potential and encourages the dual use of the products of the security and defence industries, particularly in the space, maritime, aviation and telecommunications fields; stresses that the defence industry is an important driver for advanced technologies to be used at a later stage for commercial purposes; |
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24.

Supports the potential and encourages the dual use of the products of the security and defence industries, particularly in the space, maritime, aviation and telecommunications fields; stresses that the defence industry is an important driver for advanced technologies to be used at a later stage for commercial purposes;

| 25. | Urges the European Council to give all possible support to the EDTIB, and to that end first and foremost to define its scope more clearly, particularly as regards those involved, by conferring a specific status on them, that of Economic Defence Operators in Europe (EDOEs); |
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25.

Urges the European Council to give all possible support to the EDTIB, and to that end first and foremost to define its scope more clearly, particularly as regards those involved, by conferring a specific status on them, that of Economic Defence Operators in Europe (EDOEs);

| 26. | Calls for EDOEs to be granted that status on the grounds of the real added value, both technological and socio-economic, they bring to Europe; considers, therefore, that only these economic defence operators in Europe should benefit from European programmes; |
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26.

Calls for EDOEs to be granted that status on the grounds of the real added value, both technological and socio-economic, they bring to Europe; considers, therefore, that only these economic defence operators in Europe should benefit from European programmes;

| 27. | Believes that the concept of ‘Economic Defence Operator in Europe’ should be acknowledged and that reasonable criteria relating to jobs, scientific and technological expertise, decision-making and production within the EU should be met with a view to their protection; |
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27.

Believes that the concept of ‘Economic Defence Operator in Europe’ should be acknowledged and that reasonable criteria relating to jobs, scientific and technological expertise, decision-making and production within the EU should be met with a view to their protection;

| 28. | Calls on the Member States to develop their defence industrial and technological bases and centres of excellence around key technologies, and provide them with effective corporate governance mechanisms within the European Union, thus enhancing the interdependence between these facilities; |
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28.

Calls on the Member States to develop their defence industrial and technological bases and centres of excellence around key technologies, and provide them with effective corporate governance mechanisms within the European Union, thus enhancing the interdependence between these facilities;

| 29. | Urges the Member States to encourage cooperation between major defence companies and universities; emphasises that the knowledge base of universities can be widened through such cooperation; |
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29.

Urges the Member States to encourage cooperation between major defence companies and universities; emphasises that the knowledge base of universities can be widened through such cooperation;

| 30. | Calls on the Member States and the Commission to minimise unnecessary regulatory obstacles, to improve dialogue between defence undertakings and to promote the rationalisation of these undertakings so that they can acquire the equipment best suited to their needs in terms of performance and cost; calls for an urgent restructuring of European companies to overcome national barriers and adopt a global outlook; |
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30.

Calls on the Member States and the Commission to minimise unnecessary regulatory obstacles, to improve dialogue between defence undertakings and to promote the rationalisation of these undertakings so that they can acquire the equipment best suited to their needs in terms of performance and cost; calls for an urgent restructuring of European companies to overcome national barriers and adopt a global outlook;

| 31. | Takes the view that small and medium-sized enterprises, which design and manufacture many innovative products, play a vital part in maintaining and consolidating the EDTIB; notes that the fragmentation of the European defence market is an obstacle to the ability of SMEs to market their products; calls on the Member States, the EDA and the Commission to work together to develop ways and means of consolidating small and medium-sized enterprises in a sustainable manner and of facilitating their access to defence procurement; emphasises that a common system of standardisation and certification would be of benefit to European companies, including SMEs, as it would improve their access to European and international markets, create employment and expand their access to EU funding; |
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31.

Takes the view that small and medium-sized enterprises, which design and manufacture many innovative products, play a vital part in maintaining and consolidating the EDTIB; notes that the fragmentation of the European defence market is an obstacle to the ability of SMEs to market their products; calls on the Member States, the EDA and the Commission to work together to develop ways and means of consolidating small and medium-sized enterprises in a sustainable manner and of facilitating their access to defence procurement; emphasises that a common system of standardisation and certification would be of benefit to European companies, including SMEs, as it would improve their access to European and international markets, create employment and expand their access to EU funding;

Need for a common approach to standardisation and certification

| 32. | Reiterates the fundamental importance of standardisation of defence equipment for the establishment of a competitive single European defence market, as well as for ensuring interoperability and facilitating cooperation on armaments programmes, for pooling and sharing projects, and for sustained interoperability among Member States’ forces, thereby reducing maintenance and operational cost levels and ensuring that optimum use can be made of Member States' defence capabilities in joint operations; |
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32.

Reiterates the fundamental importance of standardisation of defence equipment for the establishment of a competitive single European defence market, as well as for ensuring interoperability and facilitating cooperation on armaments programmes, for pooling and sharing projects, and for sustained interoperability among Member States’ forces, thereby reducing maintenance and operational cost levels and ensuring that optimum use can be made of Member States' defence capabilities in joint operations;

| 33. | Recalls that there is a proliferation of competing industrial standards for civilian and military products; regrets the limited success of the implementation of NATO's standardization agreements (STANAG) and recommendations (STANREC); calls on the Commission and EDA to promote a coherent set of common standards in defence and to develop ‘hybrid standards’ in dual-use areas; calls on the Member States to ensure that their future steps to set defence standards are based on the civilian suggestions made by the Commission and European standardisation organisations; |
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33.

Recalls that there is a proliferation of competing industrial standards for civilian and military products; regrets the limited success of the implementation of NATO's standardization agreements (STANAG) and recommendations (STANREC); calls on the Commission and EDA to promote a coherent set of common standards in defence and to develop ‘hybrid standards’ in dual-use areas; calls on the Member States to ensure that their future steps to set defence standards are based on the civilian suggestions made by the Commission and European standardisation organisations;

| 34. | Encourages the Member States to explore the possibilities offered by the European Defence Agency (EDA) in terms of drafting European standards for military products and applications, for example for the construction of hospital ships or in the field of remote-controlled aerial systems; |
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34.

Encourages the Member States to explore the possibilities offered by the European Defence Agency (EDA) in terms of drafting European standards for military products and applications, for example for the construction of hospital ships or in the field of remote-controlled aerial systems;

| 35. | Welcomes the Commission’s proposals on standardisation, and calls on the European Council to note them and put forward concrete proposals in this area; |
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35.

Welcomes the Commission’s proposals on standardisation, and calls on the European Council to note them and put forward concrete proposals in this area;

| 36. | Calls on the Member States to streamline European certification procedures, with the mutual recognition of certificates and the development of common civilian and military European certification procedures; |
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36.

Calls on the Member States to streamline European certification procedures, with the mutual recognition of certificates and the development of common civilian and military European certification procedures;

Ensuring security of supply

| 37. | Highlights, in the context of the industry's restructuring, the importance of ensuring that security of supply is not put at risk; calls on the Member States, the EDA and the Commission rapidly to develop a comprehensive and ambitious EU-wide security-of-supply regime, in particular for strategic materials and critical technologies, based on a system of mutual guarantees and an analysis of risks and needs, and possibly using the legal basis of permanent structured cooperation; |
| --- | --- |

37.

Highlights, in the context of the industry's restructuring, the importance of ensuring that security of supply is not put at risk; calls on the Member States, the EDA and the Commission rapidly to develop a comprehensive and ambitious EU-wide security-of-supply regime, in particular for strategic materials and critical technologies, based on a system of mutual guarantees and an analysis of risks and needs, and possibly using the legal basis of permanent structured cooperation;

| 38. | Urges the Member States, as first steps towards this objective, to fully exploit the potential of the general and global licences under Directive 2009/43/EC on transfers of defence-related products within the EU and to speed up work to operationalise the 2006 Framework Arrangement for Security of Supply in Circumstances of Operational Urgency; |
| --- | --- |

38.

Urges the Member States, as first steps towards this objective, to fully exploit the potential of the general and global licences under Directive 2009/43/EC on transfers of defence-related products within the EU and to speed up work to operationalise the 2006 Framework Arrangement for Security of Supply in Circumstances of Operational Urgency;

| 39. | Calls on the EDA and the Commission to submit a joint non-dependency strategy on critical technologies, in particular as regards unlimited access to and availability of civilian and military (dual-use) emerging and key enabling technologies, such as cutting-edge micro-/nano-electronics, artificial intelligence and photonics, which must be regarded as critical to CSDP missions; calls on the Member States to use the EDTIB to strengthen the EU's self-sufficiency in these key areas; |
| --- | --- |

39.

Calls on the EDA and the Commission to submit a joint non-dependency strategy on critical technologies, in particular as regards unlimited access to and availability of civilian and military (dual-use) emerging and key enabling technologies, such as cutting-edge micro-/nano-electronics, artificial intelligence and photonics, which must be regarded as critical to CSDP missions; calls on the Member States to use the EDTIB to strengthen the EU's self-sufficiency in these key areas;

Giving a new impetus to armaments cooperation

| 40. | Encourages the Member States to address the industrial overcapacities that result from declining demand by launching new joint projects, relying more heavily on the under-used and under-funded EDA and learning the lessons from recent joint operations which have revealed shortcomings, e.g. in strategic and tactical airlift and air and space observation; recommends in particular developing key enablers with civil-military applications, which are sorely lacking in the majority of the Member States, such as some remotely piloted aircraft systems (RPAS), fostering the development of high technologies and helping sustain key competencies within Europe; encourages EU participation in joint projects through leasing and/or acquisition of dual-use capabilities and the possible procurement of prototypes; |
| --- | --- |

40.

Encourages the Member States to address the industrial overcapacities that result from declining demand by launching new joint projects, relying more heavily on the under-used and under-funded EDA and learning the lessons from recent joint operations which have revealed shortcomings, e.g. in strategic and tactical airlift and air and space observation; recommends in particular developing key enablers with civil-military applications, which are sorely lacking in the majority of the Member States, such as some remotely piloted aircraft systems (RPAS), fostering the development of high technologies and helping sustain key competencies within Europe; encourages EU participation in joint projects through leasing and/or acquisition of dual-use capabilities and the possible procurement of prototypes;

| 41. | Considers, in the light of past experience, that the sharing of development and production activities in the context of joint arms programmes should be organised strictly in accordance with the principle of industrial efficiency and economic performance, so as to prevent duplication and spiralling costs; |
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41.

Considers, in the light of past experience, that the sharing of development and production activities in the context of joint arms programmes should be organised strictly in accordance with the principle of industrial efficiency and economic performance, so as to prevent duplication and spiralling costs;

| 42. | Calls on the Member States to give preference, when exploring large-scale defence technology acquisitions, to intra-EU projects or joint schemes, or European-based new technologies, which can foster at the same time European trade, increased cooperation and competition in terms of quality and price on the global defence market; |
| --- | --- |

42.

Calls on the Member States to give preference, when exploring large-scale defence technology acquisitions, to intra-EU projects or joint schemes, or European-based new technologies, which can foster at the same time European trade, increased cooperation and competition in terms of quality and price on the global defence market;

| 43. | Urges the European Council, against the background of the existing administrative arrangement between the EDA and the Organisation for Joint Armament Cooperation (OCCAR), to ensure the successful implementation of common projects and envisage stronger links between the two organisations; |
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43.

Urges the European Council, against the background of the existing administrative arrangement between the EDA and the Organisation for Joint Armament Cooperation (OCCAR), to ensure the successful implementation of common projects and envisage stronger links between the two organisations;

| 44. | Calls on the European Council to enable the EDA fully to assume its institutional role, as outlined in Articles 42(3) and 45 TEU, by giving it the necessary resources; reiterates the urgent need for Member States to provide the EDA with adequate funding for the full range of its missions and tasks; takes the view that this would be best done by financing the Agency's staffing and running costs from the Union budget, starting with the forthcoming multiannual financial framework; |
| --- | --- |

44.

Calls on the European Council to enable the EDA fully to assume its institutional role, as outlined in Articles 42(3) and 45 TEU, by giving it the necessary resources; reiterates the urgent need for Member States to provide the EDA with adequate funding for the full range of its missions and tasks; takes the view that this would be best done by financing the Agency's staffing and running costs from the Union budget, starting with the forthcoming multiannual financial framework;

Supporting CSDP missions through European research and development

| 45. | Notes that the economic and financial crisis and the cuts in the defence budgets of most Member States risk causing considerable reductions, setbacks or delays in the research and technological innovation programmes of almost all Member States, which will probably continue to affect the European defence industry and the Union’s scientific progress in this area; stresses that this situation risks entailing job losses in the medium and long term and loss of industrial capacity and know-how; |
| --- | --- |

45.

Notes that the economic and financial crisis and the cuts in the defence budgets of most Member States risk causing considerable reductions, setbacks or delays in the research and technological innovation programmes of almost all Member States, which will probably continue to affect the European defence industry and the Union’s scientific progress in this area; stresses that this situation risks entailing job losses in the medium and long term and loss of industrial capacity and know-how;

| 46. | Emphasises the importance of research and innovation in the security and defence sector and of the Horizon 2020 research programme; in particular, the seventh societal challenge dedicated to ‘Secure societies: protecting freedom and security of Europe and its citizens’; emphasises the importance of fostering multinational cooperation among Member States and their respective agencies in this field; believes, given the high degree of confidentiality inherent to innovative research for the defence industry, that it is vital to finance such research in a manner related to needs; feels, in this context, that establishing a European Defence and Security Institute under the JRC should be considered; |
| --- | --- |

46.

Emphasises the importance of research and innovation in the security and defence sector and of the Horizon 2020 research programme; in particular, the seventh societal challenge dedicated to ‘Secure societies: protecting freedom and security of Europe and its citizens’; emphasises the importance of fostering multinational cooperation among Member States and their respective agencies in this field; believes, given the high degree of confidentiality inherent to innovative research for the defence industry, that it is vital to finance such research in a manner related to needs; feels, in this context, that establishing a European Defence and Security Institute under the JRC should be considered;

| 47. | Welcomes the Commission’s intention to launch a preparatory action for EU-funded research in support of CSDP missions, and invites the Commission to make a specific proposal as a precursor to such programmes early in the forthcoming multiannual financial framework; |
| --- | --- |

47.

Welcomes the Commission’s intention to launch a preparatory action for EU-funded research in support of CSDP missions, and invites the Commission to make a specific proposal as a precursor to such programmes early in the forthcoming multiannual financial framework;

| 48. | Considers that EDTIB-related defence research and innovation continues to constitute a valid ethical basis; notes that a whole chapter of the Treaty of Lisbon is devoted to the common security and defence policy, which includes defence technology research and the framing of a common Union defence; calls on the Member States and the EDA to significantly increase the quantity and quality of joint research and development projects; |
| --- | --- |

48.

Considers that EDTIB-related defence research and innovation continues to constitute a valid ethical basis; notes that a whole chapter of the Treaty of Lisbon is devoted to the common security and defence policy, which includes defence technology research and the framing of a common Union defence; calls on the Member States and the EDA to significantly increase the quantity and quality of joint research and development projects;

| 49. | Recalls that Article 179 TFEU requires the Union to promote all the research activities deemed necessary by virtue of the Treaties; |
| --- | --- |

49.

Recalls that Article 179 TFEU requires the Union to promote all the research activities deemed necessary by virtue of the Treaties;

| 50. | Recalls that in November 2007 European Ministers of Defence agreed collective benchmarks to increase defence R&T spending to 2 % of all defence expenditure and to bring European collaborative defence R&T spending to a level of 20 %; |
| --- | --- |

50.

Recalls that in November 2007 European Ministers of Defence agreed collective benchmarks to increase defence R&T spending to 2 % of all defence expenditure and to bring European collaborative defence R&T spending to a level of 20 %;

| 51. | Supports the Defence Task Force, which includes the European Commission, European External Action Service (EEAS) and European Defence Agency (EDA), in its efforts to ensure that the results of Horizon 2020 research can feed into innovation-related research in the defence field and to optimise synergies between civil and military applications; calls, further, for consideration to be given to ways of using public-private funding through the creation of joint undertakings, in accordance with Article 187 TFEU; |
| --- | --- |

51.

Supports the Defence Task Force, which includes the European Commission, European External Action Service (EEAS) and European Defence Agency (EDA), in its efforts to ensure that the results of Horizon 2020 research can feed into innovation-related research in the defence field and to optimise synergies between civil and military applications; calls, further, for consideration to be given to ways of using public-private funding through the creation of joint undertakings, in accordance with Article 187 TFEU;

| 52. | Encourages the EDA to build on its track record of successful joint investment programmes and to work in liaison with the Commission in order to launch research and development programmes, based on Article 185 TFEU; |
| --- | --- |

52.

Encourages the EDA to build on its track record of successful joint investment programmes and to work in liaison with the Commission in order to launch research and development programmes, based on Article 185 TFEU;

| 53. | Highlights the importance of synergies between civilian and military research in areas with high added value; stresses that, while taking into account that certain projects have mainly civilian uses and others are sovereign matters, the possibility of more effective dual use might be explored with a view to pooling costs, since these are sectors which create growth and jobs; further stresses that such synergies could also take the form of consolidating supply from private European sources to market outlets; |
| --- | --- |

53.

Highlights the importance of synergies between civilian and military research in areas with high added value; stresses that, while taking into account that certain projects have mainly civilian uses and others are sovereign matters, the possibility of more effective dual use might be explored with a view to pooling costs, since these are sectors which create growth and jobs; further stresses that such synergies could also take the form of consolidating supply from private European sources to market outlets;

| 54. | Calls on the Member States to establish an appropriate platform for bringing defence research to the civilian sphere, with a focus on cutting-edge technological applications; calls on the Member States also to focus research in the area of defence technology on managing natural disasters (over the last 40 years, the number of natural disasters in Europe has quadrupled); |
| --- | --- |

54.

Calls on the Member States to establish an appropriate platform for bringing defence research to the civilian sphere, with a focus on cutting-edge technological applications; calls on the Member States also to focus research in the area of defence technology on managing natural disasters (over the last 40 years, the number of natural disasters in Europe has quadrupled);

| 55. | Believes that the EU defence industry should maintain a high level of innovation in both military and civilian terms, in order to respond to all the threats and challenges the Member States and the EU will have to face in the years to come by making use of the most promising technological advances, whether developed specifically for defence or for civilian purposes; |
| --- | --- |

55.

Believes that the EU defence industry should maintain a high level of innovation in both military and civilian terms, in order to respond to all the threats and challenges the Member States and the EU will have to face in the years to come by making use of the most promising technological advances, whether developed specifically for defence or for civilian purposes;

| 56. | Stresses the need to make sure that research results are properly safeguarded in a common intellectual property policy and believes that the role of the EDA in this area should be further strengthened in order to facilitate, at an early stage, future technological and industrial cooperation between EU partners; |
| --- | --- |

56.

Stresses the need to make sure that research results are properly safeguarded in a common intellectual property policy and believes that the role of the EDA in this area should be further strengthened in order to facilitate, at an early stage, future technological and industrial cooperation between EU partners;

Space

| 57. | Is convinced that the space sector contributes to the strategic autonomy of the EU and that the possibility for Member States to have independent access plays a vital role in the area of defence and security; stresses the importance of maintaining the excellence of this technologically innovative and efficient industry in order to ensure the technological independence of the European Union; |
| --- | --- |

57.

Is convinced that the space sector contributes to the strategic autonomy of the EU and that the possibility for Member States to have independent access plays a vital role in the area of defence and security; stresses the importance of maintaining the excellence of this technologically innovative and efficient industry in order to ensure the technological independence of the European Union;

| 58. | Welcomes the creation and development of a European satellite system (Galileo, Copernicus and EGNOS); stresses that the development of a system of that kind will be a major boost not only to the space industry but also to Europe’s autonomy and that it provides an opportunity to develop a critical component of the industrial and technological base of European defence; |
| --- | --- |

58.

Welcomes the creation and development of a European satellite system (Galileo, Copernicus and EGNOS); stresses that the development of a system of that kind will be a major boost not only to the space industry but also to Europe’s autonomy and that it provides an opportunity to develop a critical component of the industrial and technological base of European defence;

| 59. | Stresses the need to protect Europe’s space infrastructures by developing its space surveillance and tracking (SST) capacity; |
| --- | --- |

59.

Stresses the need to protect Europe’s space infrastructures by developing its space surveillance and tracking (SST) capacity;

ICT and data security

| 60. | Points out that the digital era brings about increasing challenges for the safety and security of infrastructure and technology, therefore highlights the need for greater cooperation and exchange of know-how among Member States, on the one hand, and between the European Union and its key partners, on the other; |
| --- | --- |

60.

Points out that the digital era brings about increasing challenges for the safety and security of infrastructure and technology, therefore highlights the need for greater cooperation and exchange of know-how among Member States, on the one hand, and between the European Union and its key partners, on the other;

| 61. | Stresses the importance of developing European ICT and cyber-security standards and integrating them with international standards; |
| --- | --- |

61.

Stresses the importance of developing European ICT and cyber-security standards and integrating them with international standards;

| 62. | Calls on the Commission and Member States to cooperate with one another to ensure that cyber-security is a key element, which should therefore be particularly promoted through research and innovation in the security and defence sector and should be part of the short-, medium- and long-term strategy; |
| --- | --- |

62.

Calls on the Commission and Member States to cooperate with one another to ensure that cyber-security is a key element, which should therefore be particularly promoted through research and innovation in the security and defence sector and should be part of the short-, medium- and long-term strategy;

| 63. | Calls on the Commission and the Member States to take cyber-security issues into account as a matter of course in existing or future European civilian and military programmes (Galileo, Copernicus, Single Sky/Sesar, etc.); |
| --- | --- |

63.

Calls on the Commission and the Member States to take cyber-security issues into account as a matter of course in existing or future European civilian and military programmes (Galileo, Copernicus, Single Sky/Sesar, etc.);

Strengthening the internal market in defence equipment

| 64. | Recalls that Member States urgently need to improve the transparency and increase the openness of their defence markets, while stressing the specific nature of defence procurement and pointing out that it affects vital national security interests and cannot therefore be placed on the same footing as other sectors; calls on the Member States and the Commission to make sure that the 2009 directives on defence procurement and transfers are correctly and coherently applied, in particular with regard to any exemptions from EU rules under Article 346 TFEU, in order to strengthen the single market by reducing the complexity of procurement rules in the defence sector where appropriate; |
| --- | --- |

64.

Recalls that Member States urgently need to improve the transparency and increase the openness of their defence markets, while stressing the specific nature of defence procurement and pointing out that it affects vital national security interests and cannot therefore be placed on the same footing as other sectors; calls on the Member States and the Commission to make sure that the 2009 directives on defence procurement and transfers are correctly and coherently applied, in particular with regard to any exemptions from EU rules under Article 346 TFEU, in order to strengthen the single market by reducing the complexity of procurement rules in the defence sector where appropriate;

| 65. | Urges the Commission to step up efforts to build a level playing field in the defence market, limiting the use of market-distorting practices to the strict minimum of duly justified derogations; points out, in particular, the need to strengthen state aid control, and urges the Member States to practise greater transparency with regard to state aid and procurement practices in the defence sector, towards both European authorities and agencies and the general public; |
| --- | --- |

65.

Urges the Commission to step up efforts to build a level playing field in the defence market, limiting the use of market-distorting practices to the strict minimum of duly justified derogations; points out, in particular, the need to strengthen state aid control, and urges the Member States to practise greater transparency with regard to state aid and procurement practices in the defence sector, towards both European authorities and agencies and the general public;

| 66. | Is concerned by the fact that a number of Member States are preparing to buy used F-16 fighter jets without giving European companies a fair chance to compete; considers that such a practice runs counter to the objective of the European Council to strengthen the European Defence Industrial Base; reminds these Member States of the need also to implement the principles of non-discrimination and transparency, as laid down in the Treaty of Lisbon, in relation to government-to-government sales; |
| --- | --- |

66.

Is concerned by the fact that a number of Member States are preparing to buy used F-16 fighter jets without giving European companies a fair chance to compete; considers that such a practice runs counter to the objective of the European Council to strengthen the European Defence Industrial Base; reminds these Member States of the need also to implement the principles of non-discrimination and transparency, as laid down in the Treaty of Lisbon, in relation to government-to-government sales;

| 67. | Calls on the Member States, the EDA and the Commission to work together towards the gradual phasing-out of offset requirements, while fostering the integration of smaller Member States' industries into the European defence technological and industrial base by means other than offsets; encourages Member States in particular to make full use of the Directives’ provisions on subcontracting and General Licences to achieve this objective; |
| --- | --- |

67.

Calls on the Member States, the EDA and the Commission to work together towards the gradual phasing-out of offset requirements, while fostering the integration of smaller Member States' industries into the European defence technological and industrial base by means other than offsets; encourages Member States in particular to make full use of the Directives’ provisions on subcontracting and General Licences to achieve this objective;

| 68. | Stresses that greater use of innovative procurement techniques — especially e-procurement and pre-commercial procurement, as well as incentives setting for R&D — should be encouraged in defence procurement, as they may be particularly suited to this field and can play a major role in reducing the administrative burden and costs related to procurement procedures; believes that at the same time the protection of intellectual property rights and know-how needs to be ensured; urges the Member States to make strategic use of defence procurement and to implement innovative awarding principles based on the concept of the Most Economically Advantageous Tender; |
| --- | --- |

68.

Stresses that greater use of innovative procurement techniques — especially e-procurement and pre-commercial procurement, as well as incentives setting for R&D — should be encouraged in defence procurement, as they may be particularly suited to this field and can play a major role in reducing the administrative burden and costs related to procurement procedures; believes that at the same time the protection of intellectual property rights and know-how needs to be ensured; urges the Member States to make strategic use of defence procurement and to implement innovative awarding principles based on the concept of the Most Economically Advantageous Tender;

| 69. | Considers that contracting authorities and entities in the fields of defence and security should have access to a specific procurement procedure in respect of contracts where there is a need for the development of an innovative product or service or innovative works and the subsequent purchase of the resulting supplies, services or works, which cannot be met by solutions already available on the market; |
| --- | --- |

69.

Considers that contracting authorities and entities in the fields of defence and security should have access to a specific procurement procedure in respect of contracts where there is a need for the development of an innovative product or service or innovative works and the subsequent purchase of the resulting supplies, services or works, which cannot be met by solutions already available on the market;

| 70. | Considers furthermore that such a procedure would improve the functioning of the internal market and the development of a European defence equipment market and a European defence technological and industrial base and would drive growth for innovative SMEs; stresses that such a procedure has already been agreed in the revised Classic and Utilities Procurement Directives, allowing contracting authorities to establish a long-term innovation partnership for the development and subsequent purchase of new, innovative products, services or works, providing the necessary ‘market pull’ and incentivising the development of an innovative solution without foreclosing the market; |
| --- | --- |

70.

Considers furthermore that such a procedure would improve the functioning of the internal market and the development of a European defence equipment market and a European defence technological and industrial base and would drive growth for innovative SMEs; stresses that such a procedure has already been agreed in the revised Classic and Utilities Procurement Directives, allowing contracting authorities to establish a long-term innovation partnership for the development and subsequent purchase of new, innovative products, services or works, providing the necessary ‘market pull’ and incentivising the development of an innovative solution without foreclosing the market;

| 71. | Calls, therefore, on the Commission to take these developments into account in its implementation report to the European Parliament and the Council on the Defence Procurement Directive (Directive 2009/81/EC), which is due by 21 August 2016, and to accompany this report with a legislative proposal amending Directive 2009/81/EC, introducing the innovation partnerships procedure for the contracts concerned; |
| --- | --- |

71.

Calls, therefore, on the Commission to take these developments into account in its implementation report to the European Parliament and the Council on the Defence Procurement Directive (Directive 2009/81/EC), which is due by 21 August 2016, and to accompany this report with a legislative proposal amending Directive 2009/81/EC, introducing the innovation partnerships procedure for the contracts concerned;

| 72. | Urges the Member States also to take steps to eliminate duplication and excess capacity in the sector by boosting cooperation in the internal market; highlights the potential benefits of joint procurement in terms of economies of scale and interoperability; points out that shared projects will reduce costs and enable long-term investment; |
| --- | --- |

72.

Urges the Member States also to take steps to eliminate duplication and excess capacity in the sector by boosting cooperation in the internal market; highlights the potential benefits of joint procurement in terms of economies of scale and interoperability; points out that shared projects will reduce costs and enable long-term investment;

| 73. | Recalls that the contracts awarded in the field of defence and security are often technically complex; stresses that in order to facilitate cross-border tendering there is a need to review — where appropriate — unnecessary, incompatible or disproportionate technical requirements so as to minimise and, where possible, eliminate barriers to the internal market; |
| --- | --- |

73.

Recalls that the contracts awarded in the field of defence and security are often technically complex; stresses that in order to facilitate cross-border tendering there is a need to review — where appropriate — unnecessary, incompatible or disproportionate technical requirements so as to minimise and, where possible, eliminate barriers to the internal market;

The EDTIB in a global context

| 74. | Notes that the development of a viable EDTIB can only be conceived as part of the global market and encourages the Commission and the European Council to approach the issue with a global outlook; considers that taking protectionist measures would be contrary to the goal of enhancing the competitiveness of the European defence industry; |
| --- | --- |

74.

Notes that the development of a viable EDTIB can only be conceived as part of the global market and encourages the Commission and the European Council to approach the issue with a global outlook; considers that taking protectionist measures would be contrary to the goal of enhancing the competitiveness of the European defence industry;

| 75. | Deplores the existing inequality in terms of mutual market access between the US and Europe and the resulting imbalance in defence trade; calls for efforts to achieve genuine reciprocity in access to public defence procurement on both sides of the Atlantic; |
| --- | --- |

75.

Deplores the existing inequality in terms of mutual market access between the US and Europe and the resulting imbalance in defence trade; calls for efforts to achieve genuine reciprocity in access to public defence procurement on both sides of the Atlantic;

| 76. | Urges the Member States to comply strictly with the obligations set out in Council Common Position 2008/944/CFSP defining common rules governing control of exports of military technology and equipment, and to make sure they rigorously assess all licence applications against all the eight criteria as required; calls on the Member States and the EU to act in international forums in favour of greater transparency in international defence procurement markets, in order to increase the controllability of global trade flows in armaments, in particular by promoting the Arms Trade Treaty; calls on the Member States to ratify the Treaty expeditiously so that it can enter into force, following the consent of Parliament; |
| --- | --- |

76.

Urges the Member States to comply strictly with the obligations set out in Council Common Position 2008/944/CFSP defining common rules governing control of exports of military technology and equipment, and to make sure they rigorously assess all licence applications against all the eight criteria as required; calls on the Member States and the EU to act in international forums in favour of greater transparency in international defence procurement markets, in order to increase the controllability of global trade flows in armaments, in particular by promoting the Arms Trade Treaty; calls on the Member States to ratify the Treaty expeditiously so that it can enter into force, following the consent of Parliament;

o

o o

| 77. | Instructs its President to forward this resolution to the President of the European Council, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Council, the Commission, the parliaments of the Member States, the NATO Parliamentary Assembly and the Secretary-General of NATO. |
| --- | --- |

77.

Instructs its President to forward this resolution to the President of the European Council, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the Council, the Commission, the parliaments of the Member States, the NATO Parliamentary Assembly and the Secretary-General of NATO.

---

(1)  OJ L 183, 13.7.2011, p. 16.

(2)  OJ L 216, 20.8.2009, p. 76.

(3)  Texts adopted, P7_TA(2012)0455.

(4)  OJ C 168 E, 14.6.2013, p. 9.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/35 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/35

---

P7_TA(2013)0515

Strengthening the social dimension of the EMU

European Parliament resolution of 21 November 2013 on the Commission communication entitled ‘Strengthening the social dimension of the Economic and Monetary Union (EMU)’ (2013/2841(RSP))

(2016/C 436/06)

The European Parliament,

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

—

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

| — | having regard to the report by the President of the European Council, Herman Van Rompuy, to the European Council of 26 June 2012 entitled ‘Towards a genuine Economic and Monetary Union’ (1), |
| --- | --- |

—

having regard to the report by the President of the European Council, Herman Van Rompuy, to the European Council of 26 June 2012 entitled ‘Towards a genuine Economic and Monetary Union’ (1),

| — | having regard to the Commission communication of 30 November 2012 entitled ‘A blueprint for a deep and genuine economic and monetary union: Launching a European Debate’ (COM(2012)0777), |
| --- | --- |

—

having regard to the Commission communication of 30 November 2012 entitled ‘A blueprint for a deep and genuine economic and monetary union: Launching a European Debate’ (COM(2012)0777),

| — | having regard to the European Council conclusions of 14 December 2012 on the roadmap for the completion of Economic and Monetary Union (2), |
| --- | --- |

—

having regard to the European Council conclusions of 14 December 2012 on the roadmap for the completion of Economic and Monetary Union (2),

| — | having regard to the Commission communication of 20 March 2013 entitled ‘Towards a Deep and Genuine Economic and Monetary Union: The introduction of a Convergence and Competitiveness Instrument’ (COM(2013)0165), |
| --- | --- |

—

having regard to the Commission communication of 20 March 2013 entitled ‘Towards a Deep and Genuine Economic and Monetary Union: The introduction of a Convergence and Competitiveness Instrument’ (COM(2013)0165),

| — | having regard to the Commission communication of 20 March 2013 entitled ‘Towards a Deep and Genuine Economic and Monetary Union: Ex ante coordination of plans for major economic policy reforms’ (COM(2013)0166), |
| --- | --- |

—

having regard to the Commission communication of 20 March 2013 entitled ‘Towards a Deep and Genuine Economic and Monetary Union: Ex ante coordination of plans for major economic policy reforms’ (COM(2013)0166),

| — | having regard to the European Council conclusions of 14 March 2013 (3), 28 June 2013 (4) and 25 October 2013 (5), |
| --- | --- |

—

having regard to the European Council conclusions of 14 March 2013 (3), 28 June 2013 (4) and 25 October 2013 (5),

| — | having regard to its resolution of 20 November 2012 entitled ‘Towards a genuine Economic and Monetary Union’ (6), |
| --- | --- |

—

having regard to its resolution of 20 November 2012 entitled ‘Towards a genuine Economic and Monetary Union’ (6),

| — | 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) and to its resolution of 12 June 2013 thereon (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) and to its resolution of 12 June 2013 thereon (7),

| — | having regard to its resolution of 23 October 2013 on the European Semester for economic policy coordination: implementation of 2013 priorities (8), |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on the European Semester for economic policy coordination: implementation of 2013 priorities (8),

| — | having regard to the Commission communication of 20 October 2009 entitled ‘Solidarity in health: Reducing health inequalities in the EU’(COM(2009)0567), |
| --- | --- |

—

having regard to the Commission communication of 20 October 2009 entitled ‘Solidarity in health: Reducing health inequalities in the EU’(COM(2009)0567),

| — | having regard to the public hearing organised by its Employment and Social Affairs Committee on 9 July 2013 on the ‘Social Dimension of the Economic and Monetary Union (EMU) — European Unemployment Benefit Scheme’, |
| --- | --- |

—

having regard to the public hearing organised by its Employment and Social Affairs Committee on 9 July 2013 on the ‘Social Dimension of the Economic and Monetary Union (EMU) — European Unemployment Benefit Scheme’,

| — | having regard to the Paper on Automatic Stabilisers of 4 October 2013 by the Commission’s DG Employment, Social Affairs and Inclusion working group, |
| --- | --- |

—

having regard to the Paper on Automatic Stabilisers of 4 October 2013 by the Commission’s DG Employment, Social Affairs and Inclusion working group,

| — | having regard to the Policy Brief of 13 September 2013 by the European Policy Centre (EPC) entitled ‘Developing the social dimension of a deep and genuine Economic and Monetary Union’, |
| --- | --- |

—

having regard to the Policy Brief of 13 September 2013 by the European Policy Centre (EPC) entitled ‘Developing the social dimension of a deep and genuine Economic and Monetary Union’,

| — | having regard to Notre Europe’s ‘Blueprint for a Cyclical Shock Insurance in the euro area’ of September 2013, |
| --- | --- |

—

having regard to Notre Europe’s ‘Blueprint for a Cyclical Shock Insurance in the euro area’ of September 2013,

| — | having regard to the International Monetary Fund staff discussion note of September 2013 entitled ‘Toward a Fiscal Union for the Euro Area’ (9), |
| --- | --- |

—

having regard to the International Monetary Fund staff discussion note of September 2013 entitled ‘Toward a Fiscal Union for the Euro Area’ (9),

| — | having regard to its resolution of 4 July 2013 entitled ‘Impact of the crisis on access to care for vulnerable groups’ (10), |
| --- | --- |

—

having regard to its resolution of 4 July 2013 entitled ‘Impact of the crisis on access to care for vulnerable groups’ (10),

| — | having regard to the Commission’s EU Employment and Social Situation: Quarterly Review of October 2013, |
| --- | --- |

—

having regard to the Commission’s EU Employment and Social Situation: Quarterly Review of October 2013,

| — | having regard to the question to the Commission on the social dimension of the Economic and Monetary Union (O-000122/2013 — B7-0524/2013), |
| --- | --- |

—

having regard to the question to the Commission on the social dimension of the Economic and Monetary Union (O-000122/2013 — B7-0524/2013),

| — | 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 unemployment in the EU has reached the alarming level of 26,6 million people (11); |
| --- | --- |

A.

whereas unemployment in the EU has reached the alarming level of 26,6 million people (11);

| B. | whereas youth unemployment rates have reached unprecedented levels, averaging 23 % for the EU as a whole; |
| --- | --- |

B.

whereas youth unemployment rates have reached unprecedented levels, averaging 23 % for the EU as a whole;

| C. | whereas long-term unemployment has risen in most Member States and reached an all-time high in the EU as a whole; |
| --- | --- |

C.

whereas long-term unemployment has risen in most Member States and reached an all-time high in the EU as a whole;

| D. | whereas structural unemployment and mismatches between labour supply and demand have been growing; |
| --- | --- |

D.

whereas structural unemployment and mismatches between labour supply and demand have been growing;

| E. | whereas poverty levels have been increasing in the EU since 2007, while household incomes are declining, with the result that 24,2 % of the EU population is currently at risk of poverty or social exclusion; |
| --- | --- |

E.

whereas poverty levels have been increasing in the EU since 2007, while household incomes are declining, with the result that 24,2 % of the EU population is currently at risk of poverty or social exclusion;

| F. | whereas in-work poverty has been increasing steadily since the onset of the crisis; |
| --- | --- |

F.

whereas in-work poverty has been increasing steadily since the onset of the crisis;

| G. | whereas increases in the rate of in-work poverty and the number of jobless households have resulted in rising levels of child poverty; |
| --- | --- |

G.

whereas increases in the rate of in-work poverty and the number of jobless households have resulted in rising levels of child poverty;

| H. | whereas inequalities both within and between Member States, especially in the euro area, have been rising; |
| --- | --- |

H.

whereas inequalities both within and between Member States, especially in the euro area, have been rising;

| I. | whereas there are persistent divergences between Member States, resulting in the rapid polarisation of unemployment rates, and whereas such divergences are also increasing among regions and social groups in some countries; |
| --- | --- |

I.

whereas there are persistent divergences between Member States, resulting in the rapid polarisation of unemployment rates, and whereas such divergences are also increasing among regions and social groups in some countries;

| J. | whereas social imbalances have grown faster inside the euro area than in the EU as a whole; |
| --- | --- |

J.

whereas social imbalances have grown faster inside the euro area than in the EU as a whole;

| K. | whereas the Social Protection Performance Monitor identified key social trends to watch; |
| --- | --- |

K.

whereas the Social Protection Performance Monitor identified key social trends to watch;

| L. | whereas unemployment rates on the periphery of the euro area reached an average of 17,3 % in 2012, compared with 7,1 % in the core of the euro area; |
| --- | --- |

L.

whereas unemployment rates on the periphery of the euro area reached an average of 17,3 % in 2012, compared with 7,1 % in the core of the euro area;

| M. | whereas the rate of young people on the periphery of the euro area who are not in employment, education or training (NEETs) reached an average of 22,4 % in 2012, compared with 11,4 % in the core of the euro area; |
| --- | --- |

M.

whereas the rate of young people on the periphery of the euro area who are not in employment, education or training (NEETs) reached an average of 22,4 % in 2012, compared with 11,4 % in the core of the euro area;

| N. | whereas poverty levels have increased in two thirds of the Member States, but stabilised in the remaining third; |
| --- | --- |

N.

whereas poverty levels have increased in two thirds of the Member States, but stabilised in the remaining third;

| O. | whereas major steps have been taken to reinforce the EU’s economic governance; whereas, however, the prospect of achieving the Europe 2020 targets is currently under threat; |
| --- | --- |

O.

whereas major steps have been taken to reinforce the EU’s economic governance; whereas, however, the prospect of achieving the Europe 2020 targets is currently under threat;

| P. | whereas the discussion of social imbalances should be put on the same footing as the discussion of macroeconomic imbalances; |
| --- | --- |

P.

whereas the discussion of social imbalances should be put on the same footing as the discussion of macroeconomic imbalances;

| Q. | whereas its Committee on Employment and Social Affairs held a public hearing on 9 July 2013 on the ‘Social dimension of the EMU — European unemployment benefit scheme’, which discussed and explored the idea of automatic stabilisers at the euro area level and possible modalities for their introduction; |
| --- | --- |

Q.

whereas its Committee on Employment and Social Affairs held a public hearing on 9 July 2013 on the ‘Social dimension of the EMU — European unemployment benefit scheme’, which discussed and explored the idea of automatic stabilisers at the euro area level and possible modalities for their introduction;

| R. | whereas the Troika has confirmed that high-quality participation by the social partners and strong social dialogue, including at national level, are necessary and may contribute to the success of any reforms, in particular reforms of the EMU; |
| --- | --- |

R.

whereas the Troika has confirmed that high-quality participation by the social partners and strong social dialogue, including at national level, are necessary and may contribute to the success of any reforms, in particular reforms of the EMU;

| S. | whereas the economic situation in some Member States has compromised the quality of employment, social protection and health and safety standards; |
| --- | --- |

S.

whereas the economic situation in some Member States has compromised the quality of employment, social protection and health and safety standards;

| 1. | Welcomes the Commission communication entitled ‘Strengthening the social dimension of the Economic and Monetary Union (EMU)’ and considers it to be a first step towards building a social dimension of the EMU; |
| --- | --- |

1.

Welcomes the Commission communication entitled ‘Strengthening the social dimension of the Economic and Monetary Union (EMU)’ and considers it to be a first step towards building a social dimension of the EMU;

| 2. | Recognises explicitly that the implementation of the social dimension of the EMU is subject to the subsidiarity principle and can be best achieved through the best practice method and the peer review method at European level; |
| --- | --- |

2.

Recognises explicitly that the implementation of the social dimension of the EMU is subject to the subsidiarity principle and can be best achieved through the best practice method and the peer review method at European level;

| 3. | Believes, however, that more specific proposals are needed to ensure that economic governance respects the social dimension; |
| --- | --- |

3.

Believes, however, that more specific proposals are needed to ensure that economic governance respects the social dimension;

| 4. | Urges that social considerations be placed at the core of European integration and mainstreamed into all EU policies and initiatives; |
| --- | --- |

4.

Urges that social considerations be placed at the core of European integration and mainstreamed into all EU policies and initiatives;

| 5. | Considers that the social dimension should be a reconciliation/trade-off factor in terms of ‘benchlearning’; |
| --- | --- |

5.

Considers that the social dimension should be a reconciliation/trade-off factor in terms of ‘benchlearning’;

| 6. | Notes that the purpose of the social dimension of the EMU is to provide social security and a sufficient living standard for current and future generations; considers it important, therefore, for EU citizens to see that their Union is capable of promoting social progress; |
| --- | --- |

6.

Notes that the purpose of the social dimension of the EMU is to provide social security and a sufficient living standard for current and future generations; considers it important, therefore, for EU citizens to see that their Union is capable of promoting social progress;

| 7. | Considers that the development of a social Europe, with the target of a ‘social union’, is a consequence of European integration; |
| --- | --- |

7.

Considers that the development of a social Europe, with the target of a ‘social union’, is a consequence of European integration;

| 8. | Supports the proposed establishment of a scoreboard of key employment and social indicators complementary to the Macroeconomic Imbalance Procedure (MIP) with a view to making the social consequences of economic and other policies more transparent through ex ante and ex post impact assessments or monitoring, and which could be used in the drafting of the Commission’s Joint Employment Report (JER); |
| --- | --- |

8.

Supports the proposed establishment of a scoreboard of key employment and social indicators complementary to the Macroeconomic Imbalance Procedure (MIP) with a view to making the social consequences of economic and other policies more transparent through ex ante and ex post impact assessments or monitoring, and which could be used in the drafting of the Commission’s Joint Employment Report (JER);

| 9. | Rejects any harmonisation or alignment which results in the minimisation of social standards in the Member States; |
| --- | --- |

9.

Rejects any harmonisation or alignment which results in the minimisation of social standards in the Member States;

| 10. | Notes the fact that the proposed indicators are a possible way of ensuring comprehensive coverage of the Member States’ employment and social situations; |
| --- | --- |

10.

Notes the fact that the proposed indicators are a possible way of ensuring comprehensive coverage of the Member States’ employment and social situations;

| 11. | Calls on the Commission to ensure that all relevant indicators are gender-sensitive; |
| --- | --- |

11.

Calls on the Commission to ensure that all relevant indicators are gender-sensitive;

| 12. | Calls for the proposed indicator on youth unemployment levels to include young people up to the age of 30 on a voluntary basis, as provided for by the Youth Guarantee; |
| --- | --- |

12.

Calls for the proposed indicator on youth unemployment levels to include young people up to the age of 30 on a voluntary basis, as provided for by the Youth Guarantee;

| 13. | Calls for the scoreboard to include indicators relating to child poverty levels, access to healthcare, homelessness, and a decent work index in order to allow proper assessment of the social situation in the EU; |
| --- | --- |

13.

Calls for the scoreboard to include indicators relating to child poverty levels, access to healthcare, homelessness, and a decent work index in order to allow proper assessment of the social situation in the EU;

| 14. | Calls on the Council and the Commission to take concrete action to make the social impact of policies and reforms more transparent, through the ex ante and ex post impact assessment and monitoring of policy reforms; |
| --- | --- |

14.

Calls on the Council and the Commission to take concrete action to make the social impact of policies and reforms more transparent, through the ex ante and ex post impact assessment and monitoring of policy reforms;

| 15. | Calls on the Council to define concrete benchmarks for the employment and social indicators in the form of an EU social protection floor, with a view to promoting upward social convergence and social progress; |
| --- | --- |

15.

Calls on the Council to define concrete benchmarks for the employment and social indicators in the form of an EU social protection floor, with a view to promoting upward social convergence and social progress;

| 16. | Invites the Commission and the Member States to allow Parliament and the social partners to be involved in defining the employment and social indicators; |
| --- | --- |

16.

Invites the Commission and the Member States to allow Parliament and the social partners to be involved in defining the employment and social indicators;

| 17. | Stresses the need to support the great potential of social entrepreneurship in respect of all aspects of social innovation at the European level, in order to foster national social systems, boost growth and create new jobs in the white and green economies, especially for young people, in all Member States and regions; |
| --- | --- |

17.

Stresses the need to support the great potential of social entrepreneurship in respect of all aspects of social innovation at the European level, in order to foster national social systems, boost growth and create new jobs in the white and green economies, especially for young people, in all Member States and regions;

| 18. | Stresses the need to ensure that the monitoring of employment and social developments is able to contribute to better understanding and aims to reduce social divergences between Member States and prevent social dumping; |
| --- | --- |

18.

Stresses the need to ensure that the monitoring of employment and social developments is able to contribute to better understanding and aims to reduce social divergences between Member States and prevent social dumping;

| 19. | Calls on the Commission to monitor the compliance of all Member State reports with Europe 2020 targets, notably with regard to poverty reduction and employment, and to look carefully at the interconnections and interdependence between policies; |
| --- | --- |

19.

Calls on the Commission to monitor the compliance of all Member State reports with Europe 2020 targets, notably with regard to poverty reduction and employment, and to look carefully at the interconnections and interdependence between policies;

| 20. | Regrets the fact that the aforementioned Commission communication of 2 October 2013 does not address the role and modalities of stabilisers; |
| --- | --- |

20.

Regrets the fact that the aforementioned Commission communication of 2 October 2013 does not address the role and modalities of stabilisers;

| 21. | Welcomes the proposed involvement of the social partners in the European Semester process, inter alia in the framework of the Social Dialogue Committee prior to the adoption of the Annual Growth Survey (AGS) each year; |
| --- | --- |

21.

Welcomes the proposed involvement of the social partners in the European Semester process, inter alia in the framework of the Social Dialogue Committee prior to the adoption of the Annual Growth Survey (AGS) each year;

| 22. | Welcomes the call for optimum use of the EU budget with a view to developing the social dimension of the EMU and further supporting voluntary worker mobility in order to derive maximum benefit from the EU’s employment potential; |
| --- | --- |

22.

Welcomes the call for optimum use of the EU budget with a view to developing the social dimension of the EMU and further supporting voluntary worker mobility in order to derive maximum benefit from the EU’s employment potential;

| 23. | Calls for the social partners to play an even more active role in the European Semester; considers regrettable the overly formal nature of the macroeconomic dialogue; |
| --- | --- |

23.

Calls for the social partners to play an even more active role in the European Semester; considers regrettable the overly formal nature of the macroeconomic dialogue;

| 24. | Calls on the Commission better to integrate Parliament’s aforementioned resolution of 23 October 2013, the aforementioned Commission communication of 2 October 2013 and this resolution thereon in the drafting of the 2014 AGS; |
| --- | --- |

24.

Calls on the Commission better to integrate Parliament’s aforementioned resolution of 23 October 2013, the aforementioned Commission communication of 2 October 2013 and this resolution thereon in the drafting of the 2014 AGS;

| 25. | Recalls that good governance of the EMU and its impact can be effective only if all stakeholders, including the social partners, are involved; invites the Commission and the Member States to ensure that all stakeholders, including the social partners, are involved in economic governance, and in particular in the European Semester process; |
| --- | --- |

25.

Recalls that good governance of the EMU and its impact can be effective only if all stakeholders, including the social partners, are involved; invites the Commission and the Member States to ensure that all stakeholders, including the social partners, are involved in economic governance, and in particular in the European Semester process;

| 26. | Invites the December 2013 European Council to define the steps forward in terms of strengthening the social aspect of the EMU; |
| --- | --- |

26.

Invites the December 2013 European Council to define the steps forward in terms of strengthening the social aspect of the EMU;

| 27. | Instructs its President to forward this resolution to the Commission, the Council and the European Council. |
| --- | --- |

27.

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

---

(1)  EUCO 00120/2012.

(2)  EUCO 00205/2012.

(3)  EUCO 00023/2013.

(4)  EUCO 00104/2/2013.

(5)  EUCO 00169/2013.

(6)  Texts adopted, P7_TA(2012)0430.

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

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

(9)  SDN/13/09.

(10)  Texts adopted, P7_TA(2013)0328.

(11)  EU Employment and Social Situation: Quarterly Review, October 2013.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/39 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/39

---

P7_TA(2013)0516

Bangladesh: human rights and forthcoming elections

European Parliament resolution of 21 November 2013 on Bangladesh: human rights and forthcoming elections (2013/2951(RSP))

(2016/C 436/07)

The European Parliament,

| — | having regard to its previous resolutions on Bangladesh, in particular those of 23 May 2013 (1), 14 March 2013 (2), 17 January 2013 (3), 10 July 2008 (4) and 6 September 2007 (5), |
| --- | --- |

—

having regard to its previous resolutions on Bangladesh, in particular those of 23 May 2013 (1), 14 March 2013 (2), 17 January 2013 (3), 10 July 2008 (4) and 6 September 2007 (5),

| — | having regard to the letter sent by the European Union Heads of Mission to mark the European Day against the Death Penalty on 10 October 2013, |
| --- | --- |

—

having regard to the letter sent by the European Union Heads of Mission to mark the European Day against the Death Penalty on 10 October 2013,

| — | having regard to the statement issued by the EU Delegation to Bangladesh on 12 August 2013 on the detention of Adilur Rahman Khan, |
| --- | --- |

—

having regard to the statement issued by the EU Delegation to Bangladesh on 12 August 2013 on the detention of Adilur Rahman Khan,

| — | having regard to the statement of United Nations High Commissioner for Human Rights Navi Pillay of 6 November 2013 on Bangladesh’s sentencing of 152 soldiers to death over the bloody mutiny in 2009, |
| --- | --- |

—

having regard to the statement of United Nations High Commissioner for Human Rights Navi Pillay of 6 November 2013 on Bangladesh’s sentencing of 152 soldiers to death over the bloody mutiny in 2009,

| — | having regard to the UN Declaration on Human Rights Defenders, adopted by the UN General Assembly on 9 December 1998, |
| --- | --- |

—

having regard to the UN Declaration on Human Rights Defenders, adopted by the UN General Assembly on 9 December 1998,

| — | having regard to the Universal Periodic Review on Bangladesh of 2013, |
| --- | --- |

—

having regard to the Universal Periodic Review on Bangladesh of 2013,

| — | having regard to Rules 122(5) and 110(4) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 122(5) and 110(4) of its Rules of Procedure,

| A. | whereas the EU has good, long-standing relations with Bangladesh, including through the Cooperation Agreement on Partnership and Development; |
| --- | --- |

A.

whereas the EU has good, long-standing relations with Bangladesh, including through the Cooperation Agreement on Partnership and Development;

| B. | whereas parliamentary elections are to be held in Bangladesh before 25 January 2014, following five years of rule by an elected, civilian government; whereas free, fair and transparent elections are essential in order to strengthen the relatively stable democratic governance that the country has developed over the past five years; |
| --- | --- |

B.

whereas parliamentary elections are to be held in Bangladesh before 25 January 2014, following five years of rule by an elected, civilian government; whereas free, fair and transparent elections are essential in order to strengthen the relatively stable democratic governance that the country has developed over the past five years;

| C. | whereas so far some 30 Bangladeshis have been killed, and hundreds wounded, in political violence during general strikes (‘hartals’) called for by the Bangladesh Nationalist Party (BNP) led by former Prime Minister Begum Khaleda Zia, with its ally, the Jamaat-e-Islami party, demanding that the forthcoming election be overseen by a ‘non-party’ caretaker government and calling for the resignation of Prime Minister Sheikh Hasina; |
| --- | --- |

C.

whereas so far some 30 Bangladeshis have been killed, and hundreds wounded, in political violence during general strikes (‘hartals’) called for by the Bangladesh Nationalist Party (BNP) led by former Prime Minister Begum Khaleda Zia, with its ally, the Jamaat-e-Islami party, demanding that the forthcoming election be overseen by a ‘non-party’ caretaker government and calling for the resignation of Prime Minister Sheikh Hasina;

| D. | whereas these shutdowns have led to five senior opposition leaders being arrested by the government, along with — according to BNP sources — the arrest of approximately 1 000 BNP followers in rural areas since Friday, 8 November 2013; |
| --- | --- |

D.

whereas these shutdowns have led to five senior opposition leaders being arrested by the government, along with — according to BNP sources — the arrest of approximately 1 000 BNP followers in rural areas since Friday, 8 November 2013;

| E. | whereas the incumbent ministers have resigned and Prime Minister Hasina, of the Awami League, has offered to form an ‘all-party government’, but whereas the principal opposition party has not taken up this offer so far; |
| --- | --- |

E.

whereas the incumbent ministers have resigned and Prime Minister Hasina, of the Awami League, has offered to form an ‘all-party government’, but whereas the principal opposition party has not taken up this offer so far;

| F. | whereas over the years both the BNP and the Awami League have held contradictory and changing views on the merits of a caretaker government, while in May 2011 the Supreme Court declared illegal the 15-year-old constitutional provision mandating an elected government to transfer power on completion of its term to an appointed non-partisan caretaker administration which would oversee a new parliamentary election; whereas, however, the Supreme Court stated that the voided system could be continued for another two parliamentary terms for the sake of the ‘safety of the state and its people’; whereas the system was discredited by the last military-backed caretaker government in 2007-2008, when it refused to hold elections for nearly two years and sent the leaders of the two main parties, Sheikh Hasina and Begum Khaleda Zia (along with her son Tarique Rahman), to jail; |
| --- | --- |

F.

whereas over the years both the BNP and the Awami League have held contradictory and changing views on the merits of a caretaker government, while in May 2011 the Supreme Court declared illegal the 15-year-old constitutional provision mandating an elected government to transfer power on completion of its term to an appointed non-partisan caretaker administration which would oversee a new parliamentary election; whereas, however, the Supreme Court stated that the voided system could be continued for another two parliamentary terms for the sake of the ‘safety of the state and its people’; whereas the system was discredited by the last military-backed caretaker government in 2007-2008, when it refused to hold elections for nearly two years and sent the leaders of the two main parties, Sheikh Hasina and Begum Khaleda Zia (along with her son Tarique Rahman), to jail;

| G. | whereas, following this judgment, the Awami League introduced the 15th Constitutional Amendment Bill and scrapped the caretaker system, notwithstanding the refusal of the BNP opposition to cooperate on the reform; |
| --- | --- |

G.

whereas, following this judgment, the Awami League introduced the 15th Constitutional Amendment Bill and scrapped the caretaker system, notwithstanding the refusal of the BNP opposition to cooperate on the reform;

| H. | whereas, since Sheikh Hasina came to power, five regional elections have been held in Bangladesh which the Awami League has lost and which have not given rise to any claims of irregularities; |
| --- | --- |

H.

whereas, since Sheikh Hasina came to power, five regional elections have been held in Bangladesh which the Awami League has lost and which have not given rise to any claims of irregularities;

| I. | whereas the impoverished part of the Bangladeshi population, which is dependent on daily pay to survive, is severely affected by the strikes, and whereas Bangladesh’s fragile economy, which has already had to cope with the recent traumatic accidents in the garment sector, is likely to suffer further; |
| --- | --- |

I.

whereas the impoverished part of the Bangladeshi population, which is dependent on daily pay to survive, is severely affected by the strikes, and whereas Bangladesh’s fragile economy, which has already had to cope with the recent traumatic accidents in the garment sector, is likely to suffer further;

| J. | whereas there are allegations that Jamaat-e-Islami is promoting the strikes in order to obstruct the proceedings of war crimes cases against its leaders; |
| --- | --- |

J.

whereas there are allegations that Jamaat-e-Islami is promoting the strikes in order to obstruct the proceedings of war crimes cases against its leaders;

| K. | whereas on 5 November 2013, in one of the largest trials in history, 152 soldiers were handed death sentences by the special court set up to prosecute crimes committed during the 2009 mutiny, when 74 people, including 57 army officers, were brutally murdered; whereas UN High Commissioner for Human Rights Navi Pillay expressed alarm at these death sentences, following reports that the accused had been tortured and that the mass trials fell short of human rights standards; |
| --- | --- |

K.

whereas on 5 November 2013, in one of the largest trials in history, 152 soldiers were handed death sentences by the special court set up to prosecute crimes committed during the 2009 mutiny, when 74 people, including 57 army officers, were brutally murdered; whereas UN High Commissioner for Human Rights Navi Pillay expressed alarm at these death sentences, following reports that the accused had been tortured and that the mass trials fell short of human rights standards;

| L. | whereas NGO activists, lawyers, journalists and trade unionists who defend civil rights continue to be put under pressure, and whereas the authorities have failed to launch effective investigations into extrajudicial killings, torture and disappearances, as in the case of labour leader and human rights defender Aminul Islam; |
| --- | --- |

L.

whereas NGO activists, lawyers, journalists and trade unionists who defend civil rights continue to be put under pressure, and whereas the authorities have failed to launch effective investigations into extrajudicial killings, torture and disappearances, as in the case of labour leader and human rights defender Aminul Islam;

| 1. | Expresses its serious concern over the continuing paralysis of everyday life in Bangladesh as a result of general strikes organised by the BNP and Jamaat-e-Islami opposition and the confrontation between the two political camps — the Awami League and the opposition — in the run-up to the parliamentary elections; |
| --- | --- |

1.

Expresses its serious concern over the continuing paralysis of everyday life in Bangladesh as a result of general strikes organised by the BNP and Jamaat-e-Islami opposition and the confrontation between the two political camps — the Awami League and the opposition — in the run-up to the parliamentary elections;

| 2. | Regrets the fact that the Bangladeshi parliament did not manage to achieve an all-party consensus for the exercise of power by the government in the pre-election period, bearing in mind that most democracies manage this phase without a caretaker government, and urgently calls on the Bangladeshi Government and the opposition to put Bangladesh’s best interests first and to find a compromise which would give the Bangladeshi people a chance to express their democratic will; |
| --- | --- |

2.

Regrets the fact that the Bangladeshi parliament did not manage to achieve an all-party consensus for the exercise of power by the government in the pre-election period, bearing in mind that most democracies manage this phase without a caretaker government, and urgently calls on the Bangladeshi Government and the opposition to put Bangladesh’s best interests first and to find a compromise which would give the Bangladeshi people a chance to express their democratic will;

| 3. | Recognises Bangladesh’s reputation as a tolerant and multi-confessional society, and condemns groups and factions trying to stir up inter-community tensions for their own ends; calls on all groups and individuals to exercise tolerance and restraint, especially in the lead-up to, during, and after the elections; |
| --- | --- |

3.

Recognises Bangladesh’s reputation as a tolerant and multi-confessional society, and condemns groups and factions trying to stir up inter-community tensions for their own ends; calls on all groups and individuals to exercise tolerance and restraint, especially in the lead-up to, during, and after the elections;

| 4. | Calls on all parties not to boycott the elections, as this would deprive citizens of a political choice and undermine Bangladesh’s social and economic stability and its impressive development progress, notably on the Millennium Development Goals, disaster management, labour rights and the empowerment of women; |
| --- | --- |

4.

Calls on all parties not to boycott the elections, as this would deprive citizens of a political choice and undermine Bangladesh’s social and economic stability and its impressive development progress, notably on the Millennium Development Goals, disaster management, labour rights and the empowerment of women;

| 5. | Calls on the Bangladesh Election Commission to organise and oversee the next general elections in a fully transparent manner; supports the recognition of new political parties that intend to participate in the next general elections and meet reasonable criteria for political participation and representation; |
| --- | --- |

5.

Calls on the Bangladesh Election Commission to organise and oversee the next general elections in a fully transparent manner; supports the recognition of new political parties that intend to participate in the next general elections and meet reasonable criteria for political participation and representation;

| 6. | Calls on all political parties to refrain from any violence or instigation of violence during the electoral process and to prevent a repetition of the politically motivated violent clashes that occurred in the first half of 2013; expresses its serious concerns, in this connection, about the recent flare-up of politically motivated violence that left dozens of people dead at the end of October 2013; |
| --- | --- |

6.

Calls on all political parties to refrain from any violence or instigation of violence during the electoral process and to prevent a repetition of the politically motivated violent clashes that occurred in the first half of 2013; expresses its serious concerns, in this connection, about the recent flare-up of politically motivated violence that left dozens of people dead at the end of October 2013;

| 7. | Acknowledges the need for reconciliation, justice and accountability for the crimes committed during the 1971 war of independence; stresses and supports the important role of the International Crimes Tribunal in this respect; |
| --- | --- |

7.

Acknowledges the need for reconciliation, justice and accountability for the crimes committed during the 1971 war of independence; stresses and supports the important role of the International Crimes Tribunal in this respect;

| 8. | Deplores, however, the increasing numbers on death row in Bangladesh and the mass death sentences handed down in the trials of those involved in the 2009 border guard mutiny; insists on the application of national and international standards relating to fair trials and due process; |
| --- | --- |

8.

Deplores, however, the increasing numbers on death row in Bangladesh and the mass death sentences handed down in the trials of those involved in the 2009 border guard mutiny; insists on the application of national and international standards relating to fair trials and due process;

| 9. | Reiterates its strong opposition to the use of the death penalty in all cases and under any circumstances, and calls on the competent authorities in Bangladesh to introduce an official moratorium on executions as a first step towards the abolition of capital punishment; |
| --- | --- |

9.

Reiterates its strong opposition to the use of the death penalty in all cases and under any circumstances, and calls on the competent authorities in Bangladesh to introduce an official moratorium on executions as a first step towards the abolition of capital punishment;

| 10. | Calls on the Bangladeshi Government to restore the enabling environment for civil society organisations, including human rights defenders, which has contributed much to Bangladesh’s development, so that they can carry out their activities freely; |
| --- | --- |

10.

Calls on the Bangladeshi Government to restore the enabling environment for civil society organisations, including human rights defenders, which has contributed much to Bangladesh’s development, so that they can carry out their activities freely;

| 11. | Urges the Bangladeshi authorities to carry out prompt, independent and transparent investigations into cases involving violations of the rights of human rights defenders, including threats, attacks, killings, torture and ill-treatment, in order to identify all those responsible and bring them to justice; underlines, in particular, the case of labour leader Aminul Islam, as well as those of journalists Sagar Sarowar and Meherun Runi; |
| --- | --- |

11.

Urges the Bangladeshi authorities to carry out prompt, independent and transparent investigations into cases involving violations of the rights of human rights defenders, including threats, attacks, killings, torture and ill-treatment, in order to identify all those responsible and bring them to justice; underlines, in particular, the case of labour leader Aminul Islam, as well as those of journalists Sagar Sarowar and Meherun Runi;

| 12. | Welcomes the joint initiative by the Government of Bangladesh and the International Labour Organisation (ILO), in collaboration with government, employers’ and workers’ representatives, on ‘Improving Working Conditions in the Ready-Made Garment Sector’; urges European and other international clothing brands to fulfil the promises and pledges made in the aftermath of the Rana Plaza factory collapse, including under the Accord on Fire and Building Safety in Bangladesh; |
| --- | --- |

12.

Welcomes the joint initiative by the Government of Bangladesh and the International Labour Organisation (ILO), in collaboration with government, employers’ and workers’ representatives, on ‘Improving Working Conditions in the Ready-Made Garment Sector’; urges European and other international clothing brands to fulfil the promises and pledges made in the aftermath of the Rana Plaza factory collapse, including under the Accord on Fire and Building Safety in Bangladesh;

| 13. | Calls on the Bangladeshi Government to scrap the 30 % ‘representativity’ requirement for the registration of trade unions, to extend the scope of the Labour Act to cover categories of workers currently excluded, to adopt a prohibition on employers interfering in internal trade union affairs, to extend the scope of the Labour Act to apply to export processing zones, and to grant collective bargaining rights to Workers’ Welfare Associations (WWA), while making it easier to register WWAs; |
| --- | --- |

13.

Calls on the Bangladeshi Government to scrap the 30 % ‘representativity’ requirement for the registration of trade unions, to extend the scope of the Labour Act to cover categories of workers currently excluded, to adopt a prohibition on employers interfering in internal trade union affairs, to extend the scope of the Labour Act to apply to export processing zones, and to grant collective bargaining rights to Workers’ Welfare Associations (WWA), while making it easier to register WWAs;

| 14. | Is looking forward to Bangladesh fully cooperating with the UN Treaty Bodies and extending a standing invitation to the UN Human Rights Council Special Procedures; |
| --- | --- |

14.

Is looking forward to Bangladesh fully cooperating with the UN Treaty Bodies and extending a standing invitation to the UN Human Rights Council Special Procedures;

| 15. | Instructs its President to forward this resolution to the Council, the Commission, the European External Action Service, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the EU Special Representative for Human Rights, the governments and parliaments of the Member States, the UN Secretary-General, the UN Human Rights Council and the Government and Parliament of Bangladesh. |
| --- | --- |

15.

Instructs its President to forward this resolution to the Council, the Commission, the European External Action Service, the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy, the EU Special Representative for Human Rights, the governments and parliaments of the Member States, the UN Secretary-General, the UN Human Rights Council and the Government and Parliament of Bangladesh.

---

(1)  Texts adopted, P7_TA(2013)0230.

(2)  Texts adopted, P7_TA(2013)0100.

(3)  Texts adopted, P7_TA(2013)0027.

(4)  OJ C 294 E, 3.12.2009, p. 77.

(5)  OJ C 187 E, 24.7.2008, p. 240.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/42 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/42

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P7_TA(2013)0517

Qatar: situation of migrant workers

European Parliament resolution of 21 November 2013 on Qatar: situation of migrant workers (2013/2952(RSP))

(2016/C 436/08)

The European Parliament,

| — | having regard to its resolution of 24 March 2011 on European Union relations with the Gulf Cooperation Council (1), |
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—

having regard to its resolution of 24 March 2011 on European Union relations with the Gulf Cooperation Council (1),

| — | having regard to the EU-Gulf Cooperation Council Joint Council and Ministerial Meeting in Manama, Bahrain, of 30 June 2013, |
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—

having regard to the EU-Gulf Cooperation Council Joint Council and Ministerial Meeting in Manama, Bahrain, of 30 June 2013,

| — | having regard to the United Nations Convention on the Protection of the Rights of All Migrant Workers and Members of their Families of 18 December 1990, |
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—

having regard to the United Nations Convention on the Protection of the Rights of All Migrant Workers and Members of their Families of 18 December 1990,

| — | having regard to the announcement by the International Federation of Association Football (FIFA) of 2 December 2010 regarding the selection of Qatar as the venue for the 2022 Football World Cup, |
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—

having regard to the announcement by the International Federation of Association Football (FIFA) of 2 December 2010 regarding the selection of Qatar as the venue for the 2022 Football World Cup,

| — | having regard to Qatar’s ratification of the International Labour Organisation Convention concerning Forced or Compulsory Labour (C029) on 12 March 1998, |
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—

having regard to Qatar’s ratification of the International Labour Organisation Convention concerning Forced or Compulsory Labour (C029) on 12 March 1998,

| — | having regard to the decisions of the Qatari Minister of Civil Service and Housing on the application of Labour Law No 14/2004 on regulating the conditions and procedures for issuing licences to Qatari nationals wanting to employ foreign workers, of 22 August 2005, and on Qatar’s Sponsorship Law No 4, of 2009, |
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—

having regard to the decisions of the Qatari Minister of Civil Service and Housing on the application of Labour Law No 14/2004 on regulating the conditions and procedures for issuing licences to Qatari nationals wanting to employ foreign workers, of 22 August 2005, and on Qatar’s Sponsorship Law No 4, of 2009,

| — | having regard to the mission statement by the UN Special Rapporteur on the human rights of migrants, François Crépeau, of 10 November 2013, |
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—

having regard to the mission statement by the UN Special Rapporteur on the human rights of migrants, François Crépeau, of 10 November 2013,

| — | having regard to the reports of Human Rights Watch and Amnesty International (AI) on the situation of Qatar’s construction workers ahead of the World Cup and the recent visit to Qatar by the Secretary General of Amnesty International, |
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—

having regard to the reports of Human Rights Watch and Amnesty International (AI) on the situation of Qatar’s construction workers ahead of the World Cup and the recent visit to Qatar by the Secretary General of Amnesty International,

| — | having regard to Rules 122(5) and 110(4) of its Rules of Procedure, |
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—

having regard to Rules 122(5) and 110(4) of its Rules of Procedure,

| A. | whereas there are an estimated 1.35 million foreign nationals in Qatar, making up nearly 90 % of the country’s workforce; whereas migrants are employed largely in construction, services and domestic work; whereas these figures give Qatar the highest ratio of migrant workers to domestic population in the world; whereas at least 500 000 more migrant workers are expected in Qatar to accelerate construction work in preparation for the 2022 Football World Cup; whereas the majority of migrant workers come from India and Nepal, but also from Bangladesh, Pakistan, the Philippines and Sri Lanka; |
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A.

whereas there are an estimated 1.35 million foreign nationals in Qatar, making up nearly 90 % of the country’s workforce; whereas migrants are employed largely in construction, services and domestic work; whereas these figures give Qatar the highest ratio of migrant workers to domestic population in the world; whereas at least 500 000 more migrant workers are expected in Qatar to accelerate construction work in preparation for the 2022 Football World Cup; whereas the majority of migrant workers come from India and Nepal, but also from Bangladesh, Pakistan, the Philippines and Sri Lanka;

| B. | whereas, according to the International Trade Union Confederation (ITUC), figures obtained from the Embassies of India and Nepal in Qatar show that an average of 200 workers from each of those two countries die every year in Qatar, a situation that may further deteriorate in the run-up to the 2022 World Cup; |
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B.

whereas, according to the International Trade Union Confederation (ITUC), figures obtained from the Embassies of India and Nepal in Qatar show that an average of 200 workers from each of those two countries die every year in Qatar, a situation that may further deteriorate in the run-up to the 2022 World Cup;

| C. | whereas the International Labour Organisation (ILO) has warned that Qatar has not yet fully implemented the international convention banning the use of forced or compulsory labour, which it ratified in 1998; whereas the ILO has set up a tripartite committee to review the evidence and make recommendations to the Government of Qatar on how to comply with its international commitments; |
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C.

whereas the International Labour Organisation (ILO) has warned that Qatar has not yet fully implemented the international convention banning the use of forced or compulsory labour, which it ratified in 1998; whereas the ILO has set up a tripartite committee to review the evidence and make recommendations to the Government of Qatar on how to comply with its international commitments;

| D. | whereas the Chair of Qatar’s National Human Rights Committee admitted that ‘there had been some problems’ and pledged that he and the government were doing their utmost to put these right; whereas the Qatari authorities have announced that the labour laws will be amended and that accommodation for workers is being built; |
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D.

whereas the Chair of Qatar’s National Human Rights Committee admitted that ‘there had been some problems’ and pledged that he and the government were doing their utmost to put these right; whereas the Qatari authorities have announced that the labour laws will be amended and that accommodation for workers is being built;

| E. | whereas the visa sponsorship rules, known as the ‘kafala’ system, mean that workers cannot change jobs without their employer’s permission and cannot leave the country unless their employer signs an exit permit; whereas the kafala system is often exploited, as employers withhold workers’ passports and wages and workers are charged fees as high as USD 3 500 to obtain a visa from the ‘kafeel’, or sponsor, leaving migrant workers with excessively high debts; |
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E.

whereas the visa sponsorship rules, known as the ‘kafala’ system, mean that workers cannot change jobs without their employer’s permission and cannot leave the country unless their employer signs an exit permit; whereas the kafala system is often exploited, as employers withhold workers’ passports and wages and workers are charged fees as high as USD 3 500 to obtain a visa from the ‘kafeel’, or sponsor, leaving migrant workers with excessively high debts;

| F. | whereas the International Trade Union Confederation (ITUC) lodged a complaint with the Qatari Ministry of Labour against a number of Qatari companies in March 2013; whereas the Labour Relations Department of the Qatari Ministry of Labour received 6 000 worker complaints in 2012; whereas the ITUC and Building and Wood Workers’ International (BWI) have denounced this situation and jointly filed complaints with the ILO about working conditions and freedom of association in Qatar; |
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F.

whereas the International Trade Union Confederation (ITUC) lodged a complaint with the Qatari Ministry of Labour against a number of Qatari companies in March 2013; whereas the Labour Relations Department of the Qatari Ministry of Labour received 6 000 worker complaints in 2012; whereas the ITUC and Building and Wood Workers’ International (BWI) have denounced this situation and jointly filed complaints with the ILO about working conditions and freedom of association in Qatar;

| 1. | Considers regrettable the deaths of migrant workers in Qatar and expresses its condolences to their families; |
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1.

Considers regrettable the deaths of migrant workers in Qatar and expresses its condolences to their families;

| 2. | Is concerned about the situation of migrant workers in Qatar, including long working hours, hazardous working conditions, going unpaid for months, having their passports confiscated, being forced to live in overcrowded camps, being denied the right to form unions, and having no access to free drinking water in extreme heat; |
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2.

Is concerned about the situation of migrant workers in Qatar, including long working hours, hazardous working conditions, going unpaid for months, having their passports confiscated, being forced to live in overcrowded camps, being denied the right to form unions, and having no access to free drinking water in extreme heat;

| 3. | Recognises the challenges facing the Qatari authorities in managing a national labour force of which nearly 90 % is made up of migrant workers, as well as the practical challenges related to enforcing the law in this respect; |
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3.

Recognises the challenges facing the Qatari authorities in managing a national labour force of which nearly 90 % is made up of migrant workers, as well as the practical challenges related to enforcing the law in this respect;

| 4. | Welcomes the announcement by the Qatari Government that it will blacklist companies that abuse migrant workers; welcomes the efforts made by the government and, in particular, by Qatar’s National Human Rights Council (NHRC) to raise awareness among migrant workers about their rights and duties under international law; commends, in this connection, the NHRC’s decision to set up a new centre to address and resolve migrant workers’ complaints; |
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4.

Welcomes the announcement by the Qatari Government that it will blacklist companies that abuse migrant workers; welcomes the efforts made by the government and, in particular, by Qatar’s National Human Rights Council (NHRC) to raise awareness among migrant workers about their rights and duties under international law; commends, in this connection, the NHRC’s decision to set up a new centre to address and resolve migrant workers’ complaints;

| 5. | Calls on the Qatari authorities to effectively implement existing legislation in this field, including by enforcing the ban on confiscating passports, by prosecuting violations and by imposing meaningful sanctions on companies and individuals who violate laws designed to protect migrants’ rights; welcomes the Qatari authorities’ commitment to adopt legislation on domestic workers that includes meaningful protection of labour rights and effective compliance mechanisms; calls, in this connection, for the speedy adoption of the draft law on domestic workers that is currently being debated by the Supreme Council of Family Affairs; notes that the majority of domestic workers are women; |
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5.

Calls on the Qatari authorities to effectively implement existing legislation in this field, including by enforcing the ban on confiscating passports, by prosecuting violations and by imposing meaningful sanctions on companies and individuals who violate laws designed to protect migrants’ rights; welcomes the Qatari authorities’ commitment to adopt legislation on domestic workers that includes meaningful protection of labour rights and effective compliance mechanisms; calls, in this connection, for the speedy adoption of the draft law on domestic workers that is currently being debated by the Supreme Council of Family Affairs; notes that the majority of domestic workers are women;

| 6. | Welcomes the proposal by the relevant government authorities to conduct investigations into all allegations, and the Qatari authorities’ promise to increase the number of labour inspectors charged with monitoring the enforcement of proper labour laws; expects the labour inspectors to receive training on human rights standards and hopes that they will be supported in their work by interpreters; |
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6.

Welcomes the proposal by the relevant government authorities to conduct investigations into all allegations, and the Qatari authorities’ promise to increase the number of labour inspectors charged with monitoring the enforcement of proper labour laws; expects the labour inspectors to receive training on human rights standards and hopes that they will be supported in their work by interpreters;

| 7. | Is concerned about the detention of individuals solely because they have ‘run away’ from their employers and calls on the Qatari authorities to stop such practices; further urges that all migrants deprived of their liberty have the means of contacting their families and consular services, have access to a lawyer and an interpreter, and have the right to challenge their detention promptly; |
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7.

Is concerned about the detention of individuals solely because they have ‘run away’ from their employers and calls on the Qatari authorities to stop such practices; further urges that all migrants deprived of their liberty have the means of contacting their families and consular services, have access to a lawyer and an interpreter, and have the right to challenge their detention promptly;

| 8. | Welcomes the reported movement towards resolving the problems facing the French football players Zahir Belounis and Stéphane Morello, who have fallen foul of the sponsorship system and have thus been prevented from leaving the country, and calls on the Qatari authorities and on FIFA to make sure that such cases do not occur again; |
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8.

Welcomes the reported movement towards resolving the problems facing the French football players Zahir Belounis and Stéphane Morello, who have fallen foul of the sponsorship system and have thus been prevented from leaving the country, and calls on the Qatari authorities and on FIFA to make sure that such cases do not occur again;

| 9. | Calls on Qatar to ratify the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families, the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights; |
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9.

Calls on Qatar to ratify the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families, the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights;

| 10. | Calls on Qatar to ratify the ILO conventions, including those on migrant workers, freedom of association, the right to organise and collective bargaining, domestic workers, and private employment agencies and to consider seeking technical assistance from the ILO to ensure that Qatari legislation and practice is in line with these conventions; |
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10.

Calls on Qatar to ratify the ILO conventions, including those on migrant workers, freedom of association, the right to organise and collective bargaining, domestic workers, and private employment agencies and to consider seeking technical assistance from the ILO to ensure that Qatari legislation and practice is in line with these conventions;

| 11. | Calls for the establishment of more shelters for migrant workers, with a special focus on shelters for women and children which are suitable for their needs; welcomes the announcement on 9 November 2013 of the construction of accommodation for 60 000 workers, to be opened in December 2013; |
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11.

Calls for the establishment of more shelters for migrant workers, with a special focus on shelters for women and children which are suitable for their needs; welcomes the announcement on 9 November 2013 of the construction of accommodation for 60 000 workers, to be opened in December 2013;

| 12. | Reiterates that the ratification and full implementation by the Gulf Cooperation Council (GCC) member states, including Qatar, of the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families should be a key issue in EU-GCC relations; |
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12.

Reiterates that the ratification and full implementation by the Gulf Cooperation Council (GCC) member states, including Qatar, of the International Convention on the Protection of the Rights of All Migrant Workers and Members of their Families should be a key issue in EU-GCC relations;

| 13. | Appeals to the responsibility of European corporations building stadiums or other infrastructure projects in Qatar to provide working conditions that are in line with international human rights standards and encourages the EU Member States to take steps to ensure that their engineering, construction and consultancy firms comply with Organisation for Economic Cooperation and Development guidelines and with the Ruggie Principles; |
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13.

Appeals to the responsibility of European corporations building stadiums or other infrastructure projects in Qatar to provide working conditions that are in line with international human rights standards and encourages the EU Member States to take steps to ensure that their engineering, construction and consultancy firms comply with Organisation for Economic Cooperation and Development guidelines and with the Ruggie Principles;

| 14. | Calls on the Qatari authorities to work closely with the relevant authorities in migrant workers’ countries of origin, which should monitor the role of recruitment agencies supplying migrant workers to Qatar; calls on the European External Action Service to support the sending governments, notably in Asia, in delivering better treatment of the migrant labour force; |
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14.

Calls on the Qatari authorities to work closely with the relevant authorities in migrant workers’ countries of origin, which should monitor the role of recruitment agencies supplying migrant workers to Qatar; calls on the European External Action Service to support the sending governments, notably in Asia, in delivering better treatment of the migrant labour force;

| 15. | Welcomes the call by the international footballers’ union, FIFPro, for independent workplace experts, appointed by FIFA and the ILO, to be given access to all sites and the power to make binding recommendations to ensure that international labour standards are respected in Qatar; |
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15.

Welcomes the call by the international footballers’ union, FIFPro, for independent workplace experts, appointed by FIFA and the ILO, to be given access to all sites and the power to make binding recommendations to ensure that international labour standards are respected in Qatar;

| 16. | Reminds FIFA that its responsibility goes beyond the development of football and the organisation of competitions and calls on it, with the active support of its European members, to send a clear and strong message to Qatar to prevent the preparations for the 2022 Football World Cup being overshadowed by allegations of forced labour; |
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16.

Reminds FIFA that its responsibility goes beyond the development of football and the organisation of competitions and calls on it, with the active support of its European members, to send a clear and strong message to Qatar to prevent the preparations for the 2022 Football World Cup being overshadowed by allegations of forced labour;

| 17. | 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 governments and parliaments of the Member States, the Government and Parliament of the State of Qatar, the governments and parliaments of the members of the Gulf Cooperation Council, the International Federation of Association Football (FIFA), the Union of European Football Associations (UEFA), the International Labour Organisation (ILO) and the UN High Commissioner for Human Rights. |
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17.

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 governments and parliaments of the Member States, the Government and Parliament of the State of Qatar, the governments and parliaments of the members of the Gulf Cooperation Council, the International Federation of Association Football (FIFA), the Union of European Football Associations (UEFA), the International Labour Organisation (ILO) and the UN High Commissioner for Human Rights.

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(1)  OJ C 247 E, 17.8.2012, p. 1.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/45 |
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24.11.2016

EN

Official Journal of the European Union

C 436/45

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P7_TA(2013)0518

Fair justice in Bolivia, in particular the cases of Előd Tóásó and Mario Tadić

European Parliament resolution of 21 November 2013 on fair justice in Bolivia, in particular the cases of Előd Tóásó and Mario Tadić (2013/2953(RSP))

(2016/C 436/09)

The European Parliament,

| — | having regard to the Universal Declaration of Human Rights, and especially Articles 9 and 10 thereof, |
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—

having regard to the Universal Declaration of Human Rights, and especially Articles 9 and 10 thereof,

| — | having regard to the International Covenant on Civil and Political Rights, which has been signed and ratified by Bolivia, and especially Articles 9, 10, 14, 15 and 16 thereof, |
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—

having regard to the International Covenant on Civil and Political Rights, which has been signed and ratified by Bolivia, and especially Articles 9, 10, 14, 15 and 16 thereof,

| — | having regard to the UN Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, which has been signed and ratified by Bolivia, |
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—

having regard to the UN Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, which has been signed and ratified by Bolivia,

| — | having regard to the European Convention on Human Rights, and especially Articles 1, 2, 3, 5, 6 and 7 thereof, |
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—

having regard to the European Convention on Human Rights, and especially Articles 1, 2, 3, 5, 6 and 7 thereof,

| — | having regard to the Charter of Fundamental Rights of the European Union, and especially Articles 47 and 48 thereof, |
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—

having regard to the Charter of Fundamental Rights of the European Union, and especially Articles 47 and 48 thereof,

| — | having regard to the American Convention on Human Rights, which has been signed and ratified by Bolivia, |
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—

having regard to the American Convention on Human Rights, which has been signed and ratified by Bolivia,

| — | having regard to the Inter-American Convention to Prevent and Punish Torture, which has been signed and ratified by Bolivia, |
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—

having regard to the Inter-American Convention to Prevent and Punish Torture, which has been signed and ratified by Bolivia,

| — | having regard to the Bolivian Constitution and Code of Criminal Proceedings, |
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—

having regard to the Bolivian Constitution and Code of Criminal Proceedings,

| — | having regard to the declaration of 23 May 2012 by the Committee on Human Rights, Minority, Civic and Religious Affairs and the Committee on Foreign Affairs of the Hungarian National Assembly; having regard to the declaration adopted by the Bolivian House of Representatives on 12 June 2012 in response to the Hungarian declaration, |
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—

having regard to the declaration of 23 May 2012 by the Committee on Human Rights, Minority, Civic and Religious Affairs and the Committee on Foreign Affairs of the Hungarian National Assembly; having regard to the declaration adopted by the Bolivian House of Representatives on 12 June 2012 in response to the Hungarian declaration,

| — | having regard to its previous resolutions on the situation in Bolivia, |
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—

having regard to its previous resolutions on the situation in Bolivia,

| — | having regard to Rules 122(5) and 110(4) of its Rules of Procedure, |
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—

having regard to Rules 122(5) and 110(4) of its Rules of Procedure,

| A. | whereas on 16 April 2009, in the Bolivian city of Santa Cruz de la Sierra, the Bolivian Special Forces arrested Előd Tóásó, a Hungarian citizen, and Mario Tadić, a Croatian citizen; whereas three other people, namely Árpád Magyarósi, a Romanian citizen, Michael Martin Dwyer, an Irish citizen, and Eduardo Rózsa-Flores, a Hungarian citizen, died in the shooting; |
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A.

whereas on 16 April 2009, in the Bolivian city of Santa Cruz de la Sierra, the Bolivian Special Forces arrested Előd Tóásó, a Hungarian citizen, and Mario Tadić, a Croatian citizen; whereas three other people, namely Árpád Magyarósi, a Romanian citizen, Michael Martin Dwyer, an Irish citizen, and Eduardo Rózsa-Flores, a Hungarian citizen, died in the shooting;

| B. | whereas Előd Tóásó and Mario Tadić have been held without charge in pre-trial detention ever since, in disregard of the Bolivian law that sets a maximum length for pre-trial detention of 36 months, a period which should have ended on 16 April 2012; |
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B.

whereas Előd Tóásó and Mario Tadić have been held without charge in pre-trial detention ever since, in disregard of the Bolivian law that sets a maximum length for pre-trial detention of 36 months, a period which should have ended on 16 April 2012;

| C. | whereas it is alleged that the basic human rights of Előd Tóásó and Mario Tadić have been breached, both on their arrest and during the criminal proceedings; |
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C.

whereas it is alleged that the basic human rights of Előd Tóásó and Mario Tadić have been breached, both on their arrest and during the criminal proceedings;

| D. | whereas on 18 May 2010, when Előd Tóásó and Mario Tadić were already in custody, Article 239 of the Bolivian Code of Criminal Procedure, referring to the length of pre-trial detention, was amended to prolong the maximum period from 12 to 36 months, with retrospective effect; |
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D.

whereas on 18 May 2010, when Előd Tóásó and Mario Tadić were already in custody, Article 239 of the Bolivian Code of Criminal Procedure, referring to the length of pre-trial detention, was amended to prolong the maximum period from 12 to 36 months, with retrospective effect;

| E. | whereas on 17 December 2010 charges of terrorism were publicly formulated; |
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E.

whereas on 17 December 2010 charges of terrorism were publicly formulated;

| F. | whereas Opinion No 63/2011 (Plurinational State of Bolivia) of the UN Working Group on Arbitrary Detention stated that Bolivia was in breach of the Universal Declaration of Human Rights on several points and reaffirmed that Előd Tóásó had been arrested without a warrant and kept in jail illegally; whereas the UN Working Group accordingly called on the Bolivian Government to release Előd Tóásó immediately; |
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F.

whereas Opinion No 63/2011 (Plurinational State of Bolivia) of the UN Working Group on Arbitrary Detention stated that Bolivia was in breach of the Universal Declaration of Human Rights on several points and reaffirmed that Előd Tóásó had been arrested without a warrant and kept in jail illegally; whereas the UN Working Group accordingly called on the Bolivian Government to release Előd Tóásó immediately;

| 1. | Calls on the Bolivian authorities to ensure a fair and independent trial in the cases of Előd Tóásó and Mario Tadić; |
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1.

Calls on the Bolivian authorities to ensure a fair and independent trial in the cases of Előd Tóásó and Mario Tadić;

| 2. | Takes note of the report adopted and subsequently widely disseminated by the Bolivian parliament, based on its own political investigation into the case; |
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2.

Takes note of the report adopted and subsequently widely disseminated by the Bolivian parliament, based on its own political investigation into the case;

| 3. | Calls for an independent investigation, involving international experts, into the deaths of Árpád Magyarósi, Michael Martin Dwyer and Eduardo Rózsa-Flores; |
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3.

Calls for an independent investigation, involving international experts, into the deaths of Árpád Magyarósi, Michael Martin Dwyer and Eduardo Rózsa-Flores;

| 4. | Calls on the European External Action Service to keep the case high on the agenda in its contacts with the Bolivian Government, and to take concrete measures and steps on the matter; |
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4.

Calls on the European External Action Service to keep the case high on the agenda in its contacts with the Bolivian Government, and to take concrete measures and steps on the matter;

| 5. | 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 EU Special Representative for Human Rights, the parliaments and governments of the Member States, the Government and Plurinational Legislative Assembly of the Plurinational State of Bolivia, the Secretary-General of the Organisation of American States, the Secretary-General of the United Nations and the UN Human Rights Council. |
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5.

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 EU Special Representative for Human Rights, the parliaments and governments of the Member States, the Government and Plurinational Legislative Assembly of the Plurinational State of Bolivia, the Secretary-General of the Organisation of American States, the Secretary-General of the United Nations and the UN Human Rights Council.

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II Information

INFORMATION FROM EUROPEAN UNION INSTITUTIONS, BODIES, OFFICES AND AGENCIES

European Parliament

Tuesday 19 November 2013

| 24.11.2016 | EN | Official Journal of the European Union | C 436/47 |
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24.11.2016

EN

Official Journal of the European Union

C 436/47

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P7_TA(2013)0456

Interinstitutional agreement on budgetary discipline, on cooperation in budgetary matters and on sound financial management

European Parliament decision of 19 November 2013 on conclusion of an interinstitutional agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (2011/2152(ACI))

(2016/C 436/10)

The European Parliament,

| — | having regard to the draft interinstitutional agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management, |
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—

having regard to the draft interinstitutional agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management,

| — | having regard to Articles 310, 311, 312 and 323 of the Treaty on the Functioning of the European Union (TFEU), |
| --- | --- |

—

having regard to Articles 310, 311, 312 and 323 of the Treaty on the Functioning of the European Union (TFEU),

| — | having regard to its resolution of 23 October 2012 in the interests of achieving a positive outcome of the Multiannual Financial Framework 2014-2020 approval procedure (1), |
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—

having regard to its resolution of 23 October 2012 in the interests of achieving a positive outcome of the Multiannual Financial Framework 2014-2020 approval procedure (1),

| — | having regard to the conclusions of the European Council adopted on 8 February 2013, |
| --- | --- |

—

having regard to the conclusions of the European Council adopted on 8 February 2013,

| — | having regard to its resolution of 13 March 2013 on the European Council conclusions of 7-8 February 2013 concerning the Multiannual Financial Framework (2), |
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—

having regard to its resolution of 13 March 2013 on the European Council conclusions of 7-8 February 2013 concerning the Multiannual Financial Framework (2),

| — | having regard to the conclusions of the European Council adopted on 28 June 2013, |
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—

having regard to the conclusions of the European Council adopted on 28 June 2013,

| — | having regard to its resolution of 3 July 2013 on the political agreement on the Multiannual Financial Framework 2014-2020 (3), |
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—

having regard to its resolution of 3 July 2013 on the political agreement on the Multiannual Financial Framework 2014-2020 (3),

| — | having regard to Rule 127(1) of its Rules of Procedure, |
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—

having regard to Rule 127(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Constitutional Affairs and the opinion of the Committee on Budgets (A7-0337/2013), |
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—

having regard to the report of the Committee on Constitutional Affairs and the opinion of the Committee on Budgets (A7-0337/2013),

| A. | Whereas a political agreement was reached on 27 June 2013 at the highest political level between the European Parliament, the Irish Presidency of the Council and the Commission on the Multiannual Financial Framework (MFF) for 2014-2020 and on a new interinstitutional agreement; |
| --- | --- |

A.

Whereas a political agreement was reached on 27 June 2013 at the highest political level between the European Parliament, the Irish Presidency of the Council and the Commission on the Multiannual Financial Framework (MFF) for 2014-2020 and on a new interinstitutional agreement;

| B. | Whereas new provisions relating to the MFF as introduced by the Treaty of Lisbon, in particular with regard to the greater role and prerogatives granted by them to the European Parliament, were used for the first time; |
| --- | --- |

B.

Whereas new provisions relating to the MFF as introduced by the Treaty of Lisbon, in particular with regard to the greater role and prerogatives granted by them to the European Parliament, were used for the first time;

| C. | Whereas it is appropriate to adopt, in the context of the MFF, an interinstitutional agreement for implementing budgetary discipline and for improving the functioning of the annual budgetary procedure and cooperation between the institutions on budgetary matters; |
| --- | --- |

C.

Whereas it is appropriate to adopt, in the context of the MFF, an interinstitutional agreement for implementing budgetary discipline and for improving the functioning of the annual budgetary procedure and cooperation between the institutions on budgetary matters;

| 1. | Accepts the political agreement reached on the MFF for 2014-2020 and on a new interinstitutional agreement; is determined to make full use, in the course of forthcoming budgetary procedures, of the new instruments established, notably as regards flexibility; |
| --- | --- |

1.

Accepts the political agreement reached on the MFF for 2014-2020 and on a new interinstitutional agreement; is determined to make full use, in the course of forthcoming budgetary procedures, of the new instruments established, notably as regards flexibility;

| 2. | Highlights that the long and laborious process of negotiations, both within Council and at interinstitutional level, together with its outcome constitute an unsatisfactory implementation of the new provisions relating to the MFF as introduced by the Treaty of Lisbon, in particular with regard to the greater role and prerogatives granted by them to the European Parliament; |
| --- | --- |

2.

Highlights that the long and laborious process of negotiations, both within Council and at interinstitutional level, together with its outcome constitute an unsatisfactory implementation of the new provisions relating to the MFF as introduced by the Treaty of Lisbon, in particular with regard to the greater role and prerogatives granted by them to the European Parliament;

| 3. | Denounces the negotiating strategy of the Council, in which its negotiators were bound by conclusions of the European Council of 8 February 2013 in matters falling under the ordinary legislative procedure, such as detailed allocation criteria, envelopes by programmes or beneficiary, and discretionary financial allocations adjusting the level of national returns from the Union budget, thus preventing both legislative arms from conducting proper negotiations; |
| --- | --- |

3.

Denounces the negotiating strategy of the Council, in which its negotiators were bound by conclusions of the European Council of 8 February 2013 in matters falling under the ordinary legislative procedure, such as detailed allocation criteria, envelopes by programmes or beneficiary, and discretionary financial allocations adjusting the level of national returns from the Union budget, thus preventing both legislative arms from conducting proper negotiations;

| 4. | Regrets, moreover, that the numerous contacts and meetings held over the past few years between its delegation and the successive presidencies of the Council had no impact on the spirit, calendar or content of the negotiations or on the Council’s position, including the need to distinguish the legislative from the budgetary aspects of the agreement on the MFF; |
| --- | --- |

4.

Regrets, moreover, that the numerous contacts and meetings held over the past few years between its delegation and the successive presidencies of the Council had no impact on the spirit, calendar or content of the negotiations or on the Council’s position, including the need to distinguish the legislative from the budgetary aspects of the agreement on the MFF;

| 5. | Concludes that, in line with Article 312(5) TFEU, alternative working arrangements should be defined in the future to facilitate the adoption of the MFF, ensuring that Parliament’s legislative and budgetary powers, as granted by the TFEU, are fully respected, that the Council actually negotiates any so-called ‘MFF-related’ parts of the legal bases for the programmes also, and that the European Council refrains from acting as a legislator, in breach of the TFEU; |
| --- | --- |

5.

Concludes that, in line with Article 312(5) TFEU, alternative working arrangements should be defined in the future to facilitate the adoption of the MFF, ensuring that Parliament’s legislative and budgetary powers, as granted by the TFEU, are fully respected, that the Council actually negotiates any so-called ‘MFF-related’ parts of the legal bases for the programmes also, and that the European Council refrains from acting as a legislator, in breach of the TFEU;

| 6. | Calls for its Committee responsible for budgets, in cooperation with its Committee responsible for constitutional affairs, to draw the necessary conclusions and come forward with new proposals, in due time ahead of the 2016 post-electoral revision, on the modalities of MFF negotiations, so as to ensure the democratic and transparent nature of the whole budget-setting process; |
| --- | --- |

6.

Calls for its Committee responsible for budgets, in cooperation with its Committee responsible for constitutional affairs, to draw the necessary conclusions and come forward with new proposals, in due time ahead of the 2016 post-electoral revision, on the modalities of MFF negotiations, so as to ensure the democratic and transparent nature of the whole budget-setting process;

| 7. | Approves conclusion of the agreement below; |
| --- | --- |

7.

Approves conclusion of the agreement below;

| 8. | Instructs its President to sign the agreement with the President of the Council and the President of the Commission and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

8.

Instructs its President to sign the agreement with the President of the Council and the President of the Commission and arrange for its publication in the Official Journal of the European Union;

| 9. | Instructs its President to forward this decision, including its annex, to the Council and the Commission for information. |
| --- | --- |

9.

Instructs its President to forward this decision, including its annex, to the Council and the Commission for information.

---

(1)  Texts adopted, P7_TA(2012)0360.

(2)  Texts adopted, P7_TA(2013)0078.

(3)  Texts adopted, P7_TA(2013)0304.

---

ANNEX

Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

(The text of this annex is not reproduced here since it corresponds to the interinstitutional agreement as published in OJ C 373 of 20 December 2013, p. 1.)

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III Preparatory acts

EUROPEAN PARLIAMENT

Tuesday 19 November 2013

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Official Journal of the European Union

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P7_TA(2013)0455

Multiannual financial framework 2014–2020 ***

European Parliament legislative resolution of 19 November 2013 on the draft Council regulation laying down the multiannual financial framework for the years 2014–2020 (11791/2013 — C7-0238/2013 — 2011/0177(APP))

(Consent)

(2016/C 436/11)

The European Parliament,

| — | having regard to the proposal for a Council regulation (COM(2011)0398) amended by (COM(2012)0388), |
| --- | --- |

—

having regard to the proposal for a Council regulation (COM(2011)0398) amended by (COM(2012)0388),

| — | having regard to the draft Council regulation (11791/2013), and Council’s corrigendum of 14 November 2013 thereon (11791/2013 COR 1), |
| --- | --- |

—

having regard to the draft Council regulation (11791/2013), and Council’s corrigendum of 14 November 2013 thereon (11791/2013 COR 1),

| — | having regard to the request for consent submitted by the Council in accordance with Article 312 of the Treaty on the Functioning of the European Union and Article 106a of Treaty establishing the European Atomic Energy Community (C7-0238/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 312 of the Treaty on the Functioning of the European Union and Article 106a of Treaty establishing the European Atomic Energy Community (C7-0238/2013),

| — | having regard to its resolution of 23 October 2012 in the interest of achieving a positive outcome of the Multiannual Financial Framework approval procedure (1), |
| --- | --- |

—

having regard to its resolution of 23 October 2012 in the interest of achieving a positive outcome of the Multiannual Financial Framework approval procedure (1),

| — | having regard to its resolution of 13 March 2013 on the European Council conclusions of 7-8 February 2013 concerning the Multiannual Financial Framework (2), |
| --- | --- |

—

having regard to its resolution of 13 March 2013 on the European Council conclusions of 7-8 February 2013 concerning the Multiannual Financial Framework (2),

| — | having regard to its resolution of 3 July 2013 on the political agreement on the Multiannual Financial Framework 2014-2020 (3), |
| --- | --- |

—

having regard to its resolution of 3 July 2013 on the political agreement on the Multiannual Financial Framework 2014-2020 (3),

| — | having regard to Rules 75 and 81(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 75 and 81(1) of its Rules of Procedure,

| — | having regard to the recommendation of the Committee on Budgets, the opinion of the Committee on Regional Development and the letter of the Committee on Transport and Tourism (A7-0389/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on Budgets, the opinion of the Committee on Regional Development and the letter of the Committee on Transport and Tourism (A7-0389/2013),

| 1. | Consents to the draft Council regulation laying down the Multiannual Financial Framework for the years 2014-2020 as set out in annex to this resolution; |
| --- | --- |

1.

Consents to the draft Council regulation laying down the Multiannual Financial Framework for the years 2014-2020 as set out in annex to this resolution;

| 2. | Approves the joint declarations by Parliament, the Council and the Commission annexed to this resolution; |
| --- | --- |

2.

Approves the joint declarations by Parliament, the Council and the Commission annexed to this resolution;

| 3. | Takes note of the Commission declarations annexed to this resolution; |
| --- | --- |

3.

Takes note of the Commission declarations annexed to this resolution;

| 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.

---

(1)  Texts adopted, P7_TA(2012)0360.

(2)  Texts adopted, P7_TA(2013)0078.

(3)  Texts adopted, P7_TA(2013)0304.

---

ANNEX 1

DRAFT COUNCIL REGULATION LAYING DOWN THE MULTIANNUAL FINANCIAL FRAMEWORK FOR THE YEARS 2014-2020

(The text of this annex is not reproduced here since it corresponds to the final act, Council Regulation (EU, Euratom) No 1311/2013.)

---

ANNEX 2

DECLARATIONS

Joint Declaration on Own Resources

| 1. | According to Article 311 of the TFEU the Union shall provide itself with the means necessary to attain its objectives and carry through its policies; it also stipulates that, without prejudice to other revenue, the budget shall be financed wholly from own resources. Article 311 al. 3 indicates that the Council, acting in accordance with a special legislative procedure, shall unanimously and after consulting the European Parliament adopt a decision on the system of own resources and that, in that context, the Council may establish new categories of own resources or abolish an existing category. |
| --- | --- |

1.

According to Article 311 of the TFEU the Union shall provide itself with the means necessary to attain its objectives and carry through its policies; it also stipulates that, without prejudice to other revenue, the budget shall be financed wholly from own resources. Article 311 al. 3 indicates that the Council, acting in accordance with a special legislative procedure, shall unanimously and after consulting the European Parliament adopt a decision on the system of own resources and that, in that context, the Council may establish new categories of own resources or abolish an existing category.

| 2. | On this basis, the Commission presented in June 2011 a set of proposals to reform the Own Resources system of the Union. At its meeting of 7/8 February, the European Council agreed that Own Resources arrangements should be guided by the overall objectives of simplicity, transparency and equity. In addition, the European Council called on the Council to continue working on the proposal of the Commission for a new own resource based on value added tax (VAT). It also invited the Member States participating in the enhanced cooperation in the area of financial transaction tax (FTT) to examine if it could become the base for a new own resource for the EU budget. |
| --- | --- |

2.

On this basis, the Commission presented in June 2011 a set of proposals to reform the Own Resources system of the Union. At its meeting of 7/8 February, the European Council agreed that Own Resources arrangements should be guided by the overall objectives of simplicity, transparency and equity. In addition, the European Council called on the Council to continue working on the proposal of the Commission for a new own resource based on value added tax (VAT). It also invited the Member States participating in the enhanced cooperation in the area of financial transaction tax (FTT) to examine if it could become the base for a new own resource for the EU budget.

| 3. | The question of own resources requires further work. To this end, a high-level Group will be convened, composed of members appointed by the three institutions. It will take into account all existing or forthcoming input which may be brought by the three European institutions and by National Parliaments. It should draw on appropriate expertise, including from national budgetary and fiscal authorities as well as independent experts. |
| --- | --- |

3.

The question of own resources requires further work. To this end, a high-level Group will be convened, composed of members appointed by the three institutions. It will take into account all existing or forthcoming input which may be brought by the three European institutions and by National Parliaments. It should draw on appropriate expertise, including from national budgetary and fiscal authorities as well as independent experts.

| 4. | The Group will undertake a general review of the Own Resources system guided by the overall objectives of simplicity, transparency, equity and democratic accountability. A first assessment will be available at the end of 2014. Progress of the work will be assessed at political level by regular meetings, at least once every six months. |
| --- | --- |

4.

The Group will undertake a general review of the Own Resources system guided by the overall objectives of simplicity, transparency, equity and democratic accountability. A first assessment will be available at the end of 2014. Progress of the work will be assessed at political level by regular meetings, at least once every six months.

| 5. | National Parliaments will be invited to an inter-institutional conference during 2016 to assess the outcome of this work. |
| --- | --- |

5.

National Parliaments will be invited to an inter-institutional conference during 2016 to assess the outcome of this work.

| 6. | On the basis of the results of this work, the Commission will assess if new Own Resource initiatives are appropriate. This assessment will be done in parallel to the review referred to in Article 1a of the MFF Regulation with a view to possible reforms to be considered for the period covered by the next multiannual financial framework. |
| --- | --- |

6.

On the basis of the results of this work, the Commission will assess if new Own Resource initiatives are appropriate. This assessment will be done in parallel to the review referred to in Article 1a of the MFF Regulation with a view to possible reforms to be considered for the period covered by the next multiannual financial framework.

Joint Declaration on improving effectiveness of public spending in matters subject to EU's action

The European Parliament, the Council and the Commission agree to work together with the objective of cost savings and better synergies at national and European levels in order to improve the effectiveness of public spending in matters subject to EU's action. To this end, the institutions will, as they consider most appropriate, draw on, inter alia, knowledge of best practices, information sharing as well as available independent assessment. The results should be available and serve as one basis for the proposal of the Commission for the next multiannual financial framework.

Joint Declaration

The European Parliament, the Council and the Commission agree that the annual budgetary procedures applied for the MFF 2014-2020 will integrate, as appropriate, gender-responsive elements, taking into account the ways in which the overall financial framework of the Union contributes to increased gender equality (and ensures gender mainstreaming).

Joint Declaration on Article 15 of the Council Regulation laying down the multiannual financial framework for the years 2014-2020

The Institutions agree to use the amount referred to in Article 15 of the Council Regulation laying down the multiannual financial framework for the years 2014-2020 as follows: EUR 2143 million for Youth Employment, EUR 200 million for Horizon 2020, EUR 150 million for Erasmus and EUR 50 million for COSME.

Declaration by the European Commission on national management declarations

In its discharge resolution of 17 April 2013, the European Parliament requested to establish a template for national management declarations to be issued by Member States at the appropriate political level. The Commission is prepared to examine this request and is willing to invite the European Parliament and the Council to participate in a working group with a view to issue recommendations by the end of this year.

Declaration by the European Commission on the review/revision

With regard to the provisions of Article 1A MFFR, taking into account the result of the Review, the Commission confirms its intention to submit legislative proposals for a revision of the MFF Regulation. In this context, it will pay particular attention to the functioning of the global margin for payments in order to ensure that the overall payments ceiling remains available throughout the period. It will also examine the evolution of the global margin for commitments. The Commission will also take into account the particular requirements of the Horizon 2020 programme. The Commission will also examine aligning its proposals for the next MFF with the political cycles of the Institutions.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/52 |
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P7_TA(2013)0457

Draft amending budget No 7/2013 — Strengthening the European Social Fund (ESF) to address youth unemployment, poverty and social exclusion in France, Italy and Spain

European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 7/2013 of the European Union for the financial year 2013, Section III — Commission (14180/2013 — C7-0350/2013 — 2013/2160(BUD))

(2016/C 436/12)

The European Parliament,

| — | having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty, |
| --- | --- |

—

having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty,

| — | having regard to 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 (1), |
| --- | --- |

—

having regard to 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 (1),

| — | having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2), |
| --- | --- |

—

having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3),

| — | having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (4), |
| --- | --- |

—

having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (4),

| — | having regard to Draft amending budget No 7/2013, which the Commission adopted on 25 July 2013 (COM(2013)0557), |
| --- | --- |

—

having regard to Draft amending budget No 7/2013, which the Commission adopted on 25 July 2013 (COM(2013)0557),

| — | having regard to the position on Draft amending budget No 7/2013 which the Council adopted on 7 October and forwarded to Parliament on 14 October 2013 (14180/2013 — C7-0350/2013), |
| --- | --- |

—

having regard to the position on Draft amending budget No 7/2013 which the Council adopted on 7 October and forwarded to Parliament on 14 October 2013 (14180/2013 — C7-0350/2013),

| — | having regard to Rule 75b and 75e of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 75b and 75e of its Rules of Procedure,

| — | having regard to the report of the Committee on Budgets (A7-0367/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0367/2013),

| A. | whereas Draft amending budget No 7 for the year 2013 (DAB 7/2013) covers an increase of commitment appropriations of EUR 150 million in heading 1b of the multiannual financial framework (MFF), with the aim of addressing ‘certain issues’ resulting from the final outcome of the negotiations of the MFF for the years 2014-2020, affecting France, Italy and Spain, |
| --- | --- |

A.

whereas Draft amending budget No 7 for the year 2013 (DAB 7/2013) covers an increase of commitment appropriations of EUR 150 million in heading 1b of the multiannual financial framework (MFF), with the aim of addressing ‘certain issues’ resulting from the final outcome of the negotiations of the MFF for the years 2014-2020, affecting France, Italy and Spain,

| B. | whereas this additional allocations should contribute to tackling specific situations of unemployment, in particular youth unemployment, poverty and social exclusion in those Member States, |
| --- | --- |

B.

whereas this additional allocations should contribute to tackling specific situations of unemployment, in particular youth unemployment, poverty and social exclusion in those Member States,

| C. | whereas the Commission considers that the most appropriate way to assist those Member States is by increasing the European Social Fund (ESF), |
| --- | --- |

C.

whereas the Commission considers that the most appropriate way to assist those Member States is by increasing the European Social Fund (ESF),

| D. | whereas the reinforcement of EUR 150 million in commitment appropriations will be covered by the margin under the expenditure ceiling of heading 1b (EUR 16 million) and by the mobilisation of the Flexibility Instrument (EUR 134 million) targeted to this specific action, |
| --- | --- |

D.

whereas the reinforcement of EUR 150 million in commitment appropriations will be covered by the margin under the expenditure ceiling of heading 1b (EUR 16 million) and by the mobilisation of the Flexibility Instrument (EUR 134 million) targeted to this specific action,

| 1. | Takes note of DAB 7/2013, presented by the Commission on 25 July 2013, which covers an increase of commitment appropriations of EUR 150 million in heading 1b of the MFF, with the aim of addressing ‘certain issues’ resulting from the final outcome of the negotiations within the European Council of the MFF 2014-2020 affecting France, Italy and Spain; |
| --- | --- |

1.

Takes note of DAB 7/2013, presented by the Commission on 25 July 2013, which covers an increase of commitment appropriations of EUR 150 million in heading 1b of the MFF, with the aim of addressing ‘certain issues’ resulting from the final outcome of the negotiations within the European Council of the MFF 2014-2020 affecting France, Italy and Spain;

| 2. | Endorses the Commission’s proposal to dedicate this additional allocation to existing ESF programmes in the affected Member States in order to address the specific situation of unemployment, in particular youth unemployment and social exclusion; expects that the Commission will report back to Parliament in due time on the concrete measures and actions financed by this allocation; |
| --- | --- |

2.

Endorses the Commission’s proposal to dedicate this additional allocation to existing ESF programmes in the affected Member States in order to address the specific situation of unemployment, in particular youth unemployment and social exclusion; expects that the Commission will report back to Parliament in due time on the concrete measures and actions financed by this allocation;

| 3. | Notes, moreover, that the additional EUR 150 million will be mostly financed through the mobilisation of the Flexibility Instrument; |
| --- | --- |

3.

Notes, moreover, that the additional EUR 150 million will be mostly financed through the mobilisation of the Flexibility Instrument;

| 4. | Approves the Council position on Draft amending budget No 7/2013; |
| --- | --- |

4.

Approves the Council position on Draft amending budget No 7/2013;

| 5. | Instructs its President to declare that Amending budget No 7/2013 has been definitively adopted and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

5.

Instructs its President to declare that Amending budget No 7/2013 has been definitively adopted and arrange for its publication in the Official Journal of the European Union;

| 6. | Instructs its President to forward this resolution to the Council, the Commission and the national parliaments. |
| --- | --- |

6.

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

---

(1)  OJ L 298, 26.10.2012, p. 1.

(2)  OJ L 66, 8.3.2013.

(3)  OJ C 139, 14.6.2006, p. 1.

(4)  OJ L 163, 23.6.2007, p. 17.

---

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Official Journal of the European Union

C 436/54

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P7_TA(2013)0458

Draft amending budget No 8/2013 (DAB 2 bis) — Reinforcement of payments by MFF heading and shortage of payment appropriations in the 2013 budget

European Parliament resolution of 19 November 2013 on the Council position on Draft amending budget No 8/2013 of the European Union for the financial year 2013, Section III — Commission (14871/2013 — C7-0387/2013 — 2013/2227(BUD))

(2016/C 436/13)

The European Parliament,

| — | having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty, |
| --- | --- |

—

having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty,

| — | having regard to 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 (1), |
| --- | --- |

—

having regard to 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 (1),

| — | having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2), |
| --- | --- |

—

having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3),

| — | having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (4), |
| --- | --- |

—

having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (4),

| — | having regard to Draft amending budget No 8/2013, which the Commission adopted on 25 September 2013 (COM(2013)0669), |
| --- | --- |

—

having regard to Draft amending budget No 8/2013, which the Commission adopted on 25 September 2013 (COM(2013)0669),

| — | having regard to the position on Draft amending budget No 8/2013 which the Council adopted on 30 October and forwarded to Parliament on 31 October 2013 (14871/2013 — C7-0387/2013), |
| --- | --- |

—

having regard to the position on Draft amending budget No 8/2013 which the Council adopted on 30 October and forwarded to Parliament on 31 October 2013 (14871/2013 — C7-0387/2013),

| — | having regard to Rule 75b and 75e of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 75b and 75e of its Rules of Procedure,

| — | having regard to the report of the Committee on Budgets (A7-0371/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0371/2013),

| A. | whereas Draft amending budget No 8 for the year 2013 (DAB 8/2013) concerns the increase of payment appropriations of EUR 3,9 billion across headings 1a, 1b, 2, 3a, 3b and 4 of the multiannual financial framework (MFF), with the aim of meeting the outstanding needs to the end of the year so that legal obligations stemming from past and current commitments can be honoured, financial penalties can be avoided, and beneficiaries can receive the funds envisaged by the agreed Union policies, for which Parliament and Council authorised the related commitment appropriations in previous annual budgets, |
| --- | --- |

A.

whereas Draft amending budget No 8 for the year 2013 (DAB 8/2013) concerns the increase of payment appropriations of EUR 3,9 billion across headings 1a, 1b, 2, 3a, 3b and 4 of the multiannual financial framework (MFF), with the aim of meeting the outstanding needs to the end of the year so that legal obligations stemming from past and current commitments can be honoured, financial penalties can be avoided, and beneficiaries can receive the funds envisaged by the agreed Union policies, for which Parliament and Council authorised the related commitment appropriations in previous annual budgets,

| B. | whereas the requested additional payment appropriations will reduce the level of outstanding commitments (‘reste à liquider’, RAL), as well as the risk of rolling over onto 2014 abnormally high levels of unpaid bills, |
| --- | --- |

B.

whereas the requested additional payment appropriations will reduce the level of outstanding commitments (‘reste à liquider’, RAL), as well as the risk of rolling over onto 2014 abnormally high levels of unpaid bills,

| C. | whereas DAB 8/2013, which updates DAB 2/2013, was presented by the Commission in March 2013 for an amount of EUR 11,2 billion and only partially approved by the budgetary authority in September 2013 for an amount of EUR 7,3 billion, |
| --- | --- |

C.

whereas DAB 8/2013, which updates DAB 2/2013, was presented by the Commission in March 2013 for an amount of EUR 11,2 billion and only partially approved by the budgetary authority in September 2013 for an amount of EUR 7,3 billion,

| D. | whereas the overall amount of payment claims pending at the end of 2012 for cohesion policy (2007-2013), amounting to EUR 16,2 billion, had to be rolled over to 2013, consequently reducing the level of payments available in the budget 2013 to cover the payment needs of this year; whereas that amount should reach EUR 20 billion at the end of 2013, under the assumption that DAB 8/2013 is adopted in its entirety, |
| --- | --- |

D.

whereas the overall amount of payment claims pending at the end of 2012 for cohesion policy (2007-2013), amounting to EUR 16,2 billion, had to be rolled over to 2013, consequently reducing the level of payments available in the budget 2013 to cover the payment needs of this year; whereas that amount should reach EUR 20 billion at the end of 2013, under the assumption that DAB 8/2013 is adopted in its entirety,

| E. | whereas the political agreement reached on 27 June 2013 at the highest political level between Parliament, the Council Presidency and the Commission on the MFF for the period 2014-2020 included a political commitment from the Council to take all necessary steps to ensure that the Union's obligations of 2013 are fully honoured, to formally adopt DAB 2/2013 for EUR 7,3 billion, as well as to adopt without delay a further draft amending budget to be proposed by the Commission in early autumn to avoid any shortfall in justified payment appropriations, |
| --- | --- |

E.

whereas the political agreement reached on 27 June 2013 at the highest political level between Parliament, the Council Presidency and the Commission on the MFF for the period 2014-2020 included a political commitment from the Council to take all necessary steps to ensure that the Union's obligations of 2013 are fully honoured, to formally adopt DAB 2/2013 for EUR 7,3 billion, as well as to adopt without delay a further draft amending budget to be proposed by the Commission in early autumn to avoid any shortfall in justified payment appropriations,

| F. | whereas, in accordance with Article 41(2) of the Financial Regulation, the Commission has examined the scope for internal redeployment within an overall review of year-end payment needs and proposed the redeployment of EUR 509,8 million in the so-called ‘global transfer’, |
| --- | --- |

F.

whereas, in accordance with Article 41(2) of the Financial Regulation, the Commission has examined the scope for internal redeployment within an overall review of year-end payment needs and proposed the redeployment of EUR 509,8 million in the so-called ‘global transfer’,

| G. | whereas Parliament in its resolution of 3 July 2013 links the adoption by the Council of the further draft amending budget in early autumn with the adoption of the MFF Regulation or budget 2014, |
| --- | --- |

G.

whereas Parliament in its resolution of 3 July 2013 links the adoption by the Council of the further draft amending budget in early autumn with the adoption of the MFF Regulation or budget 2014,

| 1. | Welcomes the presentation of DAB 8/2013 by the Commission on 25 September 2013, which concerns the increase of payment appropriations by EUR 3,9 billion across headings 1a, 1b, 2, 3a, 3b and 4 of the MFF to the overall level proposed already in DAB 2/2013; stresses that with the full adoption of DAB 8/2013, the 2013 payments ceiling will be reached; |
| --- | --- |

1.

Welcomes the presentation of DAB 8/2013 by the Commission on 25 September 2013, which concerns the increase of payment appropriations by EUR 3,9 billion across headings 1a, 1b, 2, 3a, 3b and 4 of the MFF to the overall level proposed already in DAB 2/2013; stresses that with the full adoption of DAB 8/2013, the 2013 payments ceiling will be reached;

| 2. | Recalls that DAB 8/2013 constitutes, in line with past commitments of all three institutions, the second tranche of DAB 2/2013, as the minimum necessary to honour the Union's legal obligations and past commitments by the end of year 2013, in order to avoid financial penalties and reduce the level of outstanding commitments (‘RAL’); |
| --- | --- |

2.

Recalls that DAB 8/2013 constitutes, in line with past commitments of all three institutions, the second tranche of DAB 2/2013, as the minimum necessary to honour the Union's legal obligations and past commitments by the end of year 2013, in order to avoid financial penalties and reduce the level of outstanding commitments (‘RAL’);

| 3. | Considers that, as repeatedly stated by the Commission, the full adoption of DAB 8/2013 will enable the Union to cover entirely its legal obligations until the end of 2013; is concerned, however, that despite an overall increase in payments of EUR 11,2 billion (DAB 2 and DAB 8/2013), it is still estimated that an important carry-over to the next year of around EUR 20 billion of payment claims related to 2007-2013 Cohesion programmes will still have to take place, as acknowledged by the Commission during the last interinstitutional meeting on payments on 26 September 2013; stresses that the situation is also critical for other programmes outside heading 1b; |
| --- | --- |

3.

Considers that, as repeatedly stated by the Commission, the full adoption of DAB 8/2013 will enable the Union to cover entirely its legal obligations until the end of 2013; is concerned, however, that despite an overall increase in payments of EUR 11,2 billion (DAB 2 and DAB 8/2013), it is still estimated that an important carry-over to the next year of around EUR 20 billion of payment claims related to 2007-2013 Cohesion programmes will still have to take place, as acknowledged by the Commission during the last interinstitutional meeting on payments on 26 September 2013; stresses that the situation is also critical for other programmes outside heading 1b;

| 4. | Recalls that the adoption by Council of DAB 8/2013 was part of the political agreement on the MFF 2014-2020 and, therefore, fulfils only one of the three conditions for Parliament to give its consent to the MFF Regulation, as set out in its resolution of 3 July 2013; |
| --- | --- |

4.

Recalls that the adoption by Council of DAB 8/2013 was part of the political agreement on the MFF 2014-2020 and, therefore, fulfils only one of the three conditions for Parliament to give its consent to the MFF Regulation, as set out in its resolution of 3 July 2013;

| 5. | Accepts the reduction of EUR 14,8 million introduced by Council, only because this amount would be additional to the original EUR 11,2 billion of DAB 2/2013; stresses, in this context, that it maintains its position of principle that the financing of special instruments, like the EU Solidarity Fund, should be financed through fresh appropriations, both in commitments and payments, over and above the MFF ceilings; |
| --- | --- |

5.

Accepts the reduction of EUR 14,8 million introduced by Council, only because this amount would be additional to the original EUR 11,2 billion of DAB 2/2013; stresses, in this context, that it maintains its position of principle that the financing of special instruments, like the EU Solidarity Fund, should be financed through fresh appropriations, both in commitments and payments, over and above the MFF ceilings;

| 6. | Recalls that a Council position under Article 314(3) TFEU is a preparatory act and is valid as from its date of adoption; signals that it considers the Council position on DAB 8/2013, which was transmitted to it by the President-in-office of the Council on 31 October 2013, to be valid for the purposes of Articles 314(3) and 314(4) TFEU as from the date of its adoption on 30 October 2013; rejects and ignores the clause in the accompanying ‘decision’ by which the Council purports to make the validity of its position on DAB 8/2013 conditional on Parliament's approval of the agreement on the MFF for 2014-2020 and of the Council's position on Draft amending budget No 9/2013; |
| --- | --- |

6.

Recalls that a Council position under Article 314(3) TFEU is a preparatory act and is valid as from its date of adoption; signals that it considers the Council position on DAB 8/2013, which was transmitted to it by the President-in-office of the Council on 31 October 2013, to be valid for the purposes of Articles 314(3) and 314(4) TFEU as from the date of its adoption on 30 October 2013; rejects and ignores the clause in the accompanying ‘decision’ by which the Council purports to make the validity of its position on DAB 8/2013 conditional on Parliament's approval of the agreement on the MFF for 2014-2020 and of the Council's position on Draft amending budget No 9/2013;

| 7. | Approves the Council position on Draft amending budget No 8/2013; |
| --- | --- |

7.

Approves the Council position on Draft amending budget No 8/2013;

| 8. | Instructs its President to declare that Amending budget No 8/2013 has been definitively adopted and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

8.

Instructs its President to declare that Amending budget No 8/2013 has been definitively adopted and arrange for its publication in the Official Journal of the European Union;

| 9. | Instructs its President to forward this resolution to the Council, the Commission and the national parliaments. |
| --- | --- |

9.

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

---

(1)  OJ L 298, 26.10.2012, p. 1.

(2)  OJ L 66, 8.3.2013.

(3)  OJ C 139, 14.6.2006, p. 1.

(4)  OJ L 163, 23.6.2007, p. 17.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/56 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/56

---

P7_TA(2013)0459

European Globalisation Adjustment Fund (application EGF/2013/004 ES/Comunidad Valenciana — Building materials — Spain)

European Parliament resolution of 19 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application of EGF/2013/004 ES/Comunidad Valenciana building materials from Spain) (COM(2013)0635 — C7-0269/2013 — 2013/2192(BUD))

(2016/C 436/14)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0635 — C7-0269/2013), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0635 — C7-0269/2013),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (IIA of 17 May 2006) (1), and in particular point 28 thereof, |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (IIA of 17 May 2006) (1), and in particular point 28 thereof,

| — | having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund (2), (EGF Regulation) |
| --- | --- |

—

having regard to Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund (2), (EGF Regulation)

| — | having regard to trilogue procedure provided for in point 28 of the IIA of 17 May 2006, |
| --- | --- |

—

having regard to trilogue procedure provided for in point 28 of the IIA of 17 May 2006,

| — | having regard to the letter of the Committee on Employment and Social Affairs, |
| --- | --- |

—

having regard to the letter of the Committee on Employment and Social Affairs,

| — | having regard to the report of the Committee on Budgets (A7-0341/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0341/2013),

| A. | whereas the European Union has set up legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market, |
| --- | --- |

A.

whereas the European Union has set up legislative and budgetary instruments to provide additional support to workers who are suffering from the consequences of major structural changes in world trade patterns and to assist their reintegration into the labour market,

| B. | whereas the scope of the European Globalisation Adjustment Fund (EGF) was temporarily broadened for applications submitted from 1 May 2009 to 31 December 2011 to include support for workers made redundant as a direct result of the global financial and economic crisis, |
| --- | --- |

B.

whereas the scope of the European Globalisation Adjustment Fund (EGF) was temporarily broadened for applications submitted from 1 May 2009 to 31 December 2011 to include support for workers made redundant as a direct result of the global financial and economic crisis,

| C. | whereas the Union’s financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF, |
| --- | --- |

C.

whereas the Union’s financial assistance to workers made redundant should be dynamic and made available as quickly and efficiently as possible, in accordance with the Joint Declaration of the European Parliament, the Council and the Commission adopted during the conciliation meeting on 17 July 2008, and having due regard for the IIA of 17 May 2006 in respect of the adoption of decisions to mobilise the EGF,

| D. | whereas Spain submitted application EGF/2013/004 ES/Comunidad Valenciana for a financial contribution from the EGF, following 630 redundancies in 140 enterprises operating in the NUTS II region of Comunidad Valenciana with 300 workers targeted for EFG co-funded measures, during the reference period from 14 June 2012 to 14 March 2013, |
| --- | --- |

D.

whereas Spain submitted application EGF/2013/004 ES/Comunidad Valenciana for a financial contribution from the EGF, following 630 redundancies in 140 enterprises operating in the NUTS II region of Comunidad Valenciana with 300 workers targeted for EFG co-funded measures, during the reference period from 14 June 2012 to 14 March 2013,

| E. | whereas the application fulfils the eligibility criteria laid down by the EGF Regulation, |
| --- | --- |

E.

whereas the application fulfils the eligibility criteria laid down by the EGF Regulation,

| 1. | Agrees with the Commission that the conditions set out in Article 2(b) of the EGF Regulation are met and that, therefore, Spain is entitled to a financial contribution under that Regulation; |
| --- | --- |

1.

Agrees with the Commission that the conditions set out in Article 2(b) of the EGF Regulation are met and that, therefore, Spain is entitled to a financial contribution under that Regulation;

| 2. | Notes that the Spanish authorities submitted the application for EGF financial contribution on 22 May 2013, and that its assessment was made available by the Commission on 16 September 2013; welcomes the speedy evaluation period of four months; |
| --- | --- |

2.

Notes that the Spanish authorities submitted the application for EGF financial contribution on 22 May 2013, and that its assessment was made available by the Commission on 16 September 2013; welcomes the speedy evaluation period of four months;

| 3. | Notes that Comunidad Valenciana has been severely affected by the crisis with unemployment rate reaching 29,19 % in the first quarter of 2013; welcomes the fact that the region avails itself yet again of EGF aid to address high unemployment; |
| --- | --- |

3.

Notes that Comunidad Valenciana has been severely affected by the crisis with unemployment rate reaching 29,19 % in the first quarter of 2013; welcomes the fact that the region avails itself yet again of EGF aid to address high unemployment;

| 4. | Congratulates Comunidad Valenciana on the capacity to apply for and use EGF to address problems of its labour market characterised by a high percentage of small and medium-sized enterprises; in this context recalls that Comunidad Valenciana region has already applied for the EGF support on four instances for the textile, ceramic and natural stone as well as construction sector (3); |
| --- | --- |

4.

Congratulates Comunidad Valenciana on the capacity to apply for and use EGF to address problems of its labour market characterised by a high percentage of small and medium-sized enterprises; in this context recalls that Comunidad Valenciana region has already applied for the EGF support on four instances for the textile, ceramic and natural stone as well as construction sector (3);

| 5. | Considers that the redundancies in the 140 enterprises involved in manufacturing activities in the NUTS II region of Comunidad Valenciana (ES52) are linked to major structural changes in world trade patterns, which have led to an increase in imports into the Union of other non-metallic mineral products and to a reduction in the Union's share of production of other non-metallic mineral products at worldwide level; |
| --- | --- |

5.

Considers that the redundancies in the 140 enterprises involved in manufacturing activities in the NUTS II region of Comunidad Valenciana (ES52) are linked to major structural changes in world trade patterns, which have led to an increase in imports into the Union of other non-metallic mineral products and to a reduction in the Union's share of production of other non-metallic mineral products at worldwide level;

| 6. | Welcomes the fact that, in order to provide workers with speedy assistance, the Spanish authorities decided to initiate the implementation of the personalised services to the affected workers on 22 August 2013, well ahead of the final decision on granting the EGF support for the proposed coordinated package; |
| --- | --- |

6.

Welcomes the fact that, in order to provide workers with speedy assistance, the Spanish authorities decided to initiate the implementation of the personalised services to the affected workers on 22 August 2013, well ahead of the final decision on granting the EGF support for the proposed coordinated package;

| 7. | Notes that the Spanish authorities inform that in their assessment based on the experience with previous EGF applications, only 300 of the workers targeted for the EGF support will choose to participate in the measures; calls on the Spanish authorities to use the EGF support to its full potential, in particular for upskilling the workers with basic education, who make up 74,4 % of targeted workers; |
| --- | --- |

7.

Notes that the Spanish authorities inform that in their assessment based on the experience with previous EGF applications, only 300 of the workers targeted for the EGF support will choose to participate in the measures; calls on the Spanish authorities to use the EGF support to its full potential, in particular for upskilling the workers with basic education, who make up 74,4 % of targeted workers;

| 8. | Notes that the coordinated package of personalised services to be co-funded includes measures for the reintegration of 300 redundant workers into employment such as profiling, occupational guidance, counselling, training, intensive job-search assistance, support towards entrepreneurship, incentives such as job search incentives, contribution to commuting expenses, outplacement incentives and support for setting up a business; |
| --- | --- |

8.

Notes that the coordinated package of personalised services to be co-funded includes measures for the reintegration of 300 redundant workers into employment such as profiling, occupational guidance, counselling, training, intensive job-search assistance, support towards entrepreneurship, incentives such as job search incentives, contribution to commuting expenses, outplacement incentives and support for setting up a business;

| 9. | Notes that the coordinated package foresees financial incentives for job-search (lump sum of EUR 300), mobility allowance (up to EUR 400), outplacement incentive (up to EUR 700); welcomes the fact that the overall amount of financial incentives is limited leaving the majority of the contribution to be spent on training, counselling, job search assistance and support towards entrepreneurship; |
| --- | --- |

9.

Notes that the coordinated package foresees financial incentives for job-search (lump sum of EUR 300), mobility allowance (up to EUR 400), outplacement incentive (up to EUR 700); welcomes the fact that the overall amount of financial incentives is limited leaving the majority of the contribution to be spent on training, counselling, job search assistance and support towards entrepreneurship;

| 10. | Welcomes the fact that the social partners, and in particular the trade unions at local level (UGT-PV, CCOO-PV) and the non-profit organisation FESMAC, were consulted on the design of the measures of the coordinated EGF package, and that a policy of equality of women and men as well as the principle non-discrimination will be applied during the various stages of the implementation of and in access to the EGF; |
| --- | --- |

10.

Welcomes the fact that the social partners, and in particular the trade unions at local level (UGT-PV, CCOO-PV) and the non-profit organisation FESMAC, were consulted on the design of the measures of the coordinated EGF package, and that a policy of equality of women and men as well as the principle non-discrimination will be applied during the various stages of the implementation of and in access to the EGF;

| 11. | Recalls the importance of improving the employability of all workers by means of adapted training and the recognition of skills and competences gained throughout a worker's professional career; expects the training on offer in the coordinated package to be adapted not only to the needs of the dismissed workers but also to the actual business environment; |
| --- | --- |

11.

Recalls the importance of improving the employability of all workers by means of adapted training and the recognition of skills and competences gained throughout a worker's professional career; expects the training on offer in the coordinated package to be adapted not only to the needs of the dismissed workers but also to the actual business environment;

| 12. | Welcomes the fact that the coordinated package includes vocational training focusing on sectors where opportunities exist or are likely to arise as well as contains up-skilling designed to the future needs of manufacturers in the sector concerned by redundancies; |
| --- | --- |

12.

Welcomes the fact that the coordinated package includes vocational training focusing on sectors where opportunities exist or are likely to arise as well as contains up-skilling designed to the future needs of manufacturers in the sector concerned by redundancies;

| 13. | Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on complementarity with actions funded by the Structural Funds; stresses that the Spanish authorities confirm that the eligible actions do not receive assistance from other Union financial instruments; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports in order to ensure full respect of the existing regulations and that no duplication of Union-funded services can occur; |
| --- | --- |

13.

Notes that the information provided on the coordinated package of personalised services to be funded from the EGF includes information on complementarity with actions funded by the Structural Funds; stresses that the Spanish authorities confirm that the eligible actions do not receive assistance from other Union financial instruments; reiterates its call to the Commission to present a comparative evaluation of those data in its annual reports in order to ensure full respect of the existing regulations and that no duplication of Union-funded services can occur;

| 14. | Requests the institutions involved to make the necessary efforts to improve procedural arrangements in order to accelerate the mobilisation of the EGF; appreciates the improved procedure put in place by the Commission, following Parliament's request for the accelerated release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be integrated in the new Regulation on European Globalisation Adjustment Fund (2014-2020) and that greater efficiency, transparency and visibility of the EGF will be achieved; |
| --- | --- |

14.

Requests the institutions involved to make the necessary efforts to improve procedural arrangements in order to accelerate the mobilisation of the EGF; appreciates the improved procedure put in place by the Commission, following Parliament's request for the accelerated release of grants, aimed at presenting to the budgetary authority the Commission's assessment on the eligibility of an EGF application together with the proposal to mobilise the EGF; hopes that further improvements in the procedure will be integrated in the new Regulation on European Globalisation Adjustment Fund (2014-2020) and that greater efficiency, transparency and visibility of the EGF will be achieved;

| 15. | Stresses that, in accordance with Article 6 of the EGF Regulation, it shall be ensured that the EGF supports the reintegration of individual redundant workers into stable employment; stresses, furthermore, that EGF assistance can co-finance only active labour market measures which lead to durable, long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements nor measures restructuring companies or sectors; |
| --- | --- |

15.

Stresses that, in accordance with Article 6 of the EGF Regulation, it shall be ensured that the EGF supports the reintegration of individual redundant workers into stable employment; stresses, furthermore, that EGF assistance can co-finance only active labour market measures which lead to durable, long-term employment; reiterates that assistance from the EGF must not replace actions which are the responsibility of companies by virtue of national law or collective agreements nor measures restructuring companies or sectors;

| 16. | Welcomes the agreement reached in the Council on reintroducing in the EGF Regulation, for the period 2014-2020, the crisis mobilisation criterion, which allows for the provision of financial assistance to workers made redundant as a result of the current financial and economic crisis in addition to those losing their job because of changes in global trade patterns. |
| --- | --- |

16.

Welcomes the agreement reached in the Council on reintroducing in the EGF Regulation, for the period 2014-2020, the crisis mobilisation criterion, which allows for the provision of financial assistance to workers made redundant as a result of the current financial and economic crisis in addition to those losing their job because of changes in global trade patterns.

| 17. | Approves the decision annexed to this resolution; |
| --- | --- |

17.

Approves the decision annexed to this resolution;

| 18. | Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

18.

Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

| 19. | Instructs its President to forward this resolution, including its annex, to the Council and the Commission. |
| --- | --- |

19.

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

---

(1)  OJ C 139, 14.6.2006, p. 1.

(2)  OJ L 406, 30.12.2006, p. 1.

(3)  Applications EGF/2009/0014 ES/Comunidad Valenciana; EGF/2010/005 ES/Comunidad Valenciana and EGF/2010/009 ES/Comunidad Valenciana, EGF/2011/006 ES/Comunidad Valenciana Construction of buildings.

---

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on mobilisation of the European Globalisation Adjustment Fund, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (application EGF/2013/004 ES/Comunidad Valenciana building materials from Spain)

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2013/708/EU.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/59 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/59

---

P7_TA(2013)0460

Erasmus for all programme ***I

European Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing ‘ERASMUS FOR ALL’ The Union Programme for Education, Training, Youth and Sport (COM(2011)0788 — C7-0436/2011 — 2011/0371(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/15)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0788), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0788),

| — | having regard to Article 294(2) and Articles 165(4) and 166(4) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0436/2011), |
| --- | --- |

—

having regard to Article 294(2) and Articles 165(4) and 166(4) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0436/2011),

| — | 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 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 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 24 October 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 24 October 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 Culture and Education and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Employment and Social Affairs and the Committee on Industry, Research and Energy (A7-0405/2012), |
| --- | --- |

—

having regard to the report of the Committee on Culture and Education and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Employment and Social Affairs and the Committee on Industry, Research and Energy (A7-0405/2012),

| 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 181, 21.6.2012, p. 154.

(2)  OJ C 225, 27.7.2012, p. 200.

---

P7_TC1-COD(2011)0371

Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing ‘Erasmus+’: the Union programme for education, training, youth and sport and repealing Decisions No 1719/2006/EC, No 1720/2006/EC and No 1298/2008/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1288/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/60 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/60

---

P7_TA(2013)0461

Creative Europe Programme ***I

European Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on establishing the Creative Europe Programme (COM(2011)0785 — C7-0435/2011 — 2011/0370(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/16)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0785), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0785),

| — | having regard to Article 294(2) and Articles 166(4), 167(5) and 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0435/2011), |
| --- | --- |

—

having regard to Article 294(2) and Articles 166(4), 167(5) and 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0435/2011),

| — | 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 opinion of the European Economic and Social Committee of 28 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 18 July 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 18 July 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 16 October 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 16 October 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 Culture and Education and the opinions of the Committee on Budgets, the Committee on Employment and Social Affairs and the Committee on Industry, Research and Energy (A7-0011/2013), |
| --- | --- |

—

having regard to the report of the Committee on Culture and Education and the opinions of the Committee on Budgets, the Committee on Employment and Social Affairs and the Committee on Industry, Research and Energy (A7-0011/2013),

| 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. 35.

(2)  OJ C 277, 13.9.2012, p. 156.

---

P7_TC1-COD(2011)0370

Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Creative Europe Programme (2014 to 2020) and repealing Decisions No 1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1295/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/61 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/61

---

P7_TA(2013)0462

Europe for Citizens programme ***

European Parliament legislative resolution of 19 November 2013 on the draft Council regulation establishing for the period 2014-2020 the programme ‘Europe for Citizens’ (12557/2013 — C7-0307/2013 — 2011/0436(APP))

(Special legislative procedure — consent)

(2016/C 436/17)

The European Parliament,

| — | having regard to the draft Council regulation (12557/2013), |
| --- | --- |

—

having regard to the draft Council regulation (12557/2013),

| — | having regard to the request for consent submitted by the Council in accordance with Article 352 of the Treaty on the Functioning of the European Union (C7-0307/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 352 of the Treaty on the Functioning of the European Union (C7-0307/2013),

| — | 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 Rules 81(1) and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 81(1) and 37 of its Rules of Procedure,

| — | having regard to the report of the Committee on Culture and Education and the opinions of the Committee on Budgets, the Committee on Civil Liberties, Justice and Home Affairs and the Committee on Constitutional Affairs (A7-0424/2012), |
| --- | --- |

—

having regard to the report of the Committee on Culture and Education and the opinions of the Committee on Budgets, the Committee on Civil Liberties, Justice and Home Affairs and the Committee on Constitutional Affairs (A7-0424/2012),

| 1. | Consents to the draft Council regulation; |
| --- | --- |

1.

Consents to the draft Council regulation;

| 2. | Approves the statement annexed to this resolution; |
| --- | --- |

2.

Approves the statement annexed to this resolution;

| 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.

---

ANNEX

Statement of the European Parliament

The European Parliament reaffirms its conviction that this Regulation pursues also the objectives linked to culture and history as enshrined in Article 167 TFEU. Therefore a dual legal basis entailing the ordinary legislative procedure should have been applied to this dossier. The only reason why the European Parliament gave up its position on the dual legal basis and hence its claim on codecision and accepted the consent procedure — in accordance with the Commission's proposal based on Article 352 TFEU — was its desire to avoid a complete procedural deadlock and a consequent delay in the entry into force of the Programme. The European Parliament draws attention to its determination not to allow such a situation to arise again.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/62 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/62

---

P7_TA(2013)0463

Connecting Europe Facility ***I

European Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing the Connecting Europe Facility (COM(2011)0665/3 — C7-0374/2011 — 2011/0302(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/18)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0665/3), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0665/3),

| — | 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 (C7-0374/2011), |
| --- | --- |

—

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 (C7-0374/2011),

| — | 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) 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 Social Committee of 22 February 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic Social Committee of 22 February 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 19 July 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 19 July 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 10 July 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 10 July 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 and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 37 of its Rules of Procedure,

| — | having regard to the joint deliberations of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism under Rule 51 of the Rules of Procedure, |
| --- | --- |

—

having regard to the joint deliberations of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism under Rule 51 of the Rules of Procedure,

| — | having regard to the report of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism and the opinions of the Committee on Budgets and of the Committee on Regional Development (A7-0021/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the Committee on Transport and Tourism and the opinions of the Committee on Budgets and of the Committee on Regional Development (A7-0021/2013),

| 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. 116.

(2)  OJ C 277, 13.9.2012, p. 125.

---

P7_TC1-COD(2011)0302

Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing the Connecting Europe Facility, amending Regulation (EU) No 913/2010 and repealing Regulations (EC) No 680/2007 and (EC) No 67/2010

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1316/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/63 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/63

---

P7_TA(2013)0464

Trans-European Transport Network ***I

European Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network (COM(2011)0650/3 — C7-0375/2012 — 2011/0294(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/19)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0650/3), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0650/3),

| — | 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 (C7-0375/2012), |
| --- | --- |

—

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 (C7-0375/2012),

| — | 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the French Senate, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 French Senate, 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 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 3 May 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 May 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 12 June 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 12 June 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 and the opinions of the Committee on the Environment, Public Health and Food Safety, the Committee on the Internal Market and Consumer Protection and the Committee on Regional Development (A7-0012/2013), |
| --- | --- |

—

having regard to the report of the Committee on Transport and Tourism and the opinions of the Committee on the Environment, Public Health and Food Safety, the Committee on the Internal Market and Consumer Protection and the Committee on Regional Development (A7-0012/2013),

| 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. 130.

(2)  OJ C 225, 27.7.2012, p. 150.

---

P7_TC1-COD(2011)0294

Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on Union guidelines for the development of the trans-European transport network and repealing Decision No 661/2010/EU

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1315/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/64 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/64

---

P7_TA(2013)0465

Agricultural and fishery statistics ***I

European Parliament legislative resolution of 19 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending certain legislative acts in the domain of agricultural and fishery statistics (COM(2012)0724 — C7-0397/2012 — 2012/0343(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/20)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0724), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0724),

| — | having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0397/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0397/2012),

| — | 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Spanish Congress of Deputies and the Spanish Senate, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 Spanish Congress of Deputies and the Spanish Senate, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the undertaking given by the Council representative by letter of 6 September 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 6 September 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 Agriculture and Rural Development (A7-0148/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development (A7-0148/2013),

| 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.

---

P7_TC1-COD(2012)0343

Position of the European Parliament adopted at first reading on 19 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending certain legislative acts in the field of agricultural and fishery statistics

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1350/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/65 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/65

---

P7_TA(2013)0466

Government procurement agreement ***

European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the conclusion of the Protocol Amending the Agreement on Government Procurement (07917/2013 — C7-0180/2013 — 2013/0086(NLE))

(Consent)

(2016/C 436/21)

The European Parliament,

| — | having regard to the draft Council decision (07917/2013), |
| --- | --- |

—

having regard to the draft Council decision (07917/2013),

| — | having regard to the draft Protocol Amending the Agreement on Government Procurement (07918/2013), |
| --- | --- |

—

having regard to the draft Protocol Amending the Agreement on Government Procurement (07918/2013),

| — | having regard to the request for consent submitted by the Council in accordance with Article 207(4), first subparagraph, in conjunction with Article 218(6), second subparagraph, point (a)(v) of the Treaty on the Functioning of the European Union (C7-0180/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 207(4), first subparagraph, in conjunction with Article 218(6), second subparagraph, point (a)(v) of the Treaty on the Functioning of the European Union (C7-0180/2013),

| — | 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 (A7-0339/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on Development (A7-0339/2013),

| 1. | Consents to conclusion of the Protocol; |
| --- | --- |

1.

Consents to conclusion of the Protocol;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/66 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/66

---

P7_TA(2013)0467

Protection and use of transboundary watercourses and international lakes ***

European Parliament legislative resolution of 19 November 2013 on the draft Council decision on the acceptance on behalf of the European Union of the Amendment to Articles 25 and 26 of the Convention on the Protection and Use of Transboundary Watercourses and International Lakes (12713/2013 — C7-0304/2013 — 2013/0127(NLE))

(Consent)

(2016/C 436/22)

The European Parliament,

| — | having regard to the draft Council decision (12713/2013), |
| --- | --- |

—

having regard to the draft Council decision (12713/2013),

| — | having regard to the Amendment to Articles 25 and 26 of the Convention on the Protection and Use of Transboundary Watercourses and International Lakes (12713/2013), |
| --- | --- |

—

having regard to the Amendment to Articles 25 and 26 of the Convention on the Protection and Use of Transboundary Watercourses and International Lakes (12713/2013),

| — | having regard to the request for consent submitted by the Council in accordance with Article 192(1) and point (a) of the second subparagraph of Article 218(6) of the Treaty on the Functioning of the European Union (C7-0304/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 192(1) and point (a) of the second subparagraph of Article 218(6) of the Treaty on the Functioning of the European Union (C7-0304/2013),

| — | 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 the Environment, Public Health and Food Safety (A7-0356/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on the Environment, Public Health and Food Safety (A7-0356/2013),

| 1. | Consents to the acceptance of the Amendment to Articles 25 and 26 of the UNECE Convention on the Protection and Use of Transboundary Watercourses and International Lakes on behalf of the European Union; |
| --- | --- |

1.

Consents to the acceptance of the Amendment to Articles 25 and 26 of the UNECE Convention on the Protection and Use of Transboundary Watercourses and International Lakes on behalf of the European Union;

| 2. | Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States. |
| --- | --- |

2.

Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/67 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/67

---

P7_TA(2013)0468

Supplementary research programme for the ITER project (2014-2018) *

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council decision on the adoption of a Supplementary Research Programme for the ITER project (2014-2018) (COM(2011)0931 — C7-0032/2012 — 2011/0460(NLE))

(Consultation)

(2016/C 436/23)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2011)0931), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2011)0931),

| — | having regard to Article 7 of the Euratom Treaty, |
| --- | --- |

—

having regard to Article 7 of the Euratom Treaty,

| — | having regard to the request for an opinion received from the Council (C7-0032/2012), |
| --- | --- |

—

having regard to the request for an opinion received from the Council (C7-0032/2012),

| — | 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 opinion of the Committee on Budgets (A7-0211/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A7-0211/2013),

| A. | Whereas the Treaty establishing the European Atomic Energy Community still does not entitle the European Parliament to be a co-legislator, |
| --- | --- |

A.

Whereas the Treaty establishing the European Atomic Energy Community still does not entitle the European Parliament to be a co-legislator,

| 1. | Gives a favourable opinion on the Commission proposal as amended; |
| --- | --- |

1.

Gives a favourable opinion on 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 and Article 106a of the Euratom Treaty; |
| --- | --- |

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 and Article 106a of the Euratom Treaty;

| 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 and the Commission. |
| --- | --- |

5.

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

Amendment 1

Proposal for a decision

Recital — 1 (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (-1) | The Union's commitment to the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project

   (1)

  (the ‘ITER Agreement’) is reaffirmed. |

Text proposed by the Commission

Amendment

(-1)

The Union's commitment to the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project

   (1)

  (the ‘ITER Agreement’) is reaffirmed.

Amendment 2

Proposal for a decision

Recital 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| (1) | The
  Agreement on the Establishment of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project (hereinafter the ‘
  ITER Agreement’) was signed on 21 November 2006 by the European Atomic Energy Community (Euratom), the People's Republic of China, the Republic of India, Japan, the Republic of Korea, the Russian Federation and the United States of America. The ITER Agreement establishes the ITER International Fusion Energy Organization (hereinafter the ‘ITER Organization’), which has full responsibility for constructing, operating, exploiting and de-activating the ITER facilities. |

Text proposed by the Commission

Amendment

(1)

The
  Agreement on the Establishment of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project (hereinafter the ‘
  ITER Agreement’) was signed on 21 November 2006 by the European Atomic Energy Community (Euratom), the People's Republic of China, the Republic of India, Japan, the Republic of Korea, the Russian Federation and the United States of America. The ITER Agreement establishes the ITER International Fusion Energy Organization (hereinafter the ‘ITER Organization’), which has full responsibility for constructing, operating, exploiting and de-activating the ITER facilities.

| (1) | The ITER Agreement was signed on 21 November 2006 by the European Atomic Energy Community (Euratom), the People's Republic of China, the Republic of India, Japan, the Republic of Korea, the Russian Federation and the United States of America. The ITER Agreement establishes the ITER International Fusion Energy Organisation (hereinafter the ‘ITER Organisation’), which has full responsibility for constructing, operating, exploiting and de-activating the ITER facilities. |
| --- | --- |

(1)

The ITER Agreement was signed on 21 November 2006 by the European Atomic Energy Community (Euratom), the People's Republic of China, the Republic of India, Japan, the Republic of Korea, the Russian Federation and the United States of America. The ITER Agreement establishes the ITER International Fusion Energy Organisation (hereinafter the ‘ITER Organisation’), which has full responsibility for constructing, operating, exploiting and de-activating the ITER facilities.

Amendment 3

Proposal for a decision

Recital 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| (3) | In the framework of the negotiations to obtain the support of the other ITER parties to fix the site for ITER in Europe, the Agreement between the European Atomic Energy Community and the Government of Japan for the Joint Implementation of the Broader Approach Activities in the Field of Fusion Energy Research was concluded in 2007 setting out complementary joint fusion research activities in the territory of Japan to ensure the rapid start-up of high performance operation of ITER. The Broader Approach activities and other ITER related activities are channelled through the European Joint Undertaking for ITER and the Development of Fusion Energy. The funding of the Broader Approach activities is mainly ensured by in kind contributions from some members of the European Joint Undertaking for ITER and the Development of Fusion Energy, while the remaining part of the Euratom contribution is covered by the Euratom budget. |

Text proposed by the Commission

Amendment

(3)

In the framework of the negotiations to obtain the support of the other ITER parties to fix the site for ITER in Europe, the Agreement between the European Atomic Energy Community and the Government of Japan for the Joint Implementation of the Broader Approach Activities in the Field of Fusion Energy Research was concluded in 2007 setting out complementary joint fusion research activities in the territory of Japan to ensure the rapid start-up of high performance operation of ITER. The Broader Approach activities and other ITER related activities are channelled through the European Joint Undertaking for ITER and the Development of Fusion Energy. The funding of the Broader Approach activities is mainly ensured by in kind contributions from some members of the European Joint Undertaking for ITER and the Development of Fusion Energy, while the remaining part of the Euratom contribution is covered by the Euratom budget.

| (3) | In the framework of the negotiations to obtain the support of the other ITER parties to fix the site for ITER in Europe, the Agreement between the European Atomic Energy Community and the Government of Japan for the Joint Implementation of the Broader Approach Activities in the Field of Fusion Energy Research was concluded in 2007 setting out complementary joint fusion research activities in the territory of Japan to ensure the rapid start-up of high performance operation of ITER. The Broader Approach activities and other ITER related activities are channelled through the European Joint Undertaking for ITER and the Development of Fusion Energy. The funding of the Broader Approach activities is mainly ensured by in kind contributions from some members of the European Joint Undertaking for ITER and the Development of Fusion Energy, while the remaining part of the Euratom contribution is covered by the Euratom budget.
  The 2012 European Fusion Development Agreement (EFDA) document entitled ‘Fusion Electricity — Roadmap to the Realisation of Fusion Energy’ (the ‘2012 EFDA fusion roadmap’) identifies the need for the continuous financial support for key projects, and for research and development activities in key domains, until the start date of ITER's functioning, in order to meet the scientific and technological challenges leading to the realisation of fusion energy. |
| --- | --- |

(3)

In the framework of the negotiations to obtain the support of the other ITER parties to fix the site for ITER in Europe, the Agreement between the European Atomic Energy Community and the Government of Japan for the Joint Implementation of the Broader Approach Activities in the Field of Fusion Energy Research was concluded in 2007 setting out complementary joint fusion research activities in the territory of Japan to ensure the rapid start-up of high performance operation of ITER. The Broader Approach activities and other ITER related activities are channelled through the European Joint Undertaking for ITER and the Development of Fusion Energy. The funding of the Broader Approach activities is mainly ensured by in kind contributions from some members of the European Joint Undertaking for ITER and the Development of Fusion Energy, while the remaining part of the Euratom contribution is covered by the Euratom budget.
  The 2012 European Fusion Development Agreement (EFDA) document entitled ‘Fusion Electricity — Roadmap to the Realisation of Fusion Energy’ (the ‘2012 EFDA fusion roadmap’) identifies the need for the continuous financial support for key projects, and for research and development activities in key domains, until the start date of ITER's functioning, in order to meet the scientific and technological challenges leading to the realisation of fusion energy.

Amendment 4

Proposal for a decision

Recital 5

| Text proposed by the Commission | Amendment |
| --- | --- |
| (5) | For the period after 2013 the Commission in its communication ‘A Budget for Europe 2020’ proposed to fund the ITER project outside the MFF. Therefore a Supplementary Research Programme for the ITER project should be established for the period of 2014 to 2018
  . |

Text proposed by the Commission

Amendment

(5)

For the period after 2013 the Commission in its communication ‘A Budget for Europe 2020’ proposed to fund the ITER project outside the MFF. Therefore a Supplementary Research Programme for the ITER project should be established for the period of 2014 to 2018
  .

| (5) | The ITER project should consolidate Union leadership in the field of fusion by a timely completion of the stated construction and exploitation goals. |
| --- | --- |

(5)

The ITER project should consolidate Union leadership in the field of fusion by a timely completion of the stated construction and exploitation goals.

Amendment 5

Proposal for a decision

Recital 6

| Text proposed by the Commission | Amendment |
| --- | --- |
| (6) | The Supplementary Research Programme for
  the ITER project
  should be funded by contributions from the Member States based on a call rate applied to each Member State's Gross National Income (GNI
  )
  as defined for the purpose of calculating the GNI own resource contribution to the General
  Budget
  of the European Union. Those contributions shall be made to the General Budget of the European Union, and shall be assigned to that Programme
  . Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes should also be able to contribute to that Programme. |

Text proposed by the Commission

Amendment

(6)

The Supplementary Research Programme for
  the ITER project
  should be funded by contributions from the Member States based on a call rate applied to each Member State's Gross National Income (GNI
  )
  as defined for the purpose of calculating the GNI own resource contribution to the General
  Budget
  of the European Union. Those contributions shall be made to the General Budget of the European Union, and shall be assigned to that Programme
  . Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes should also be able to contribute to that Programme.

| (6) | Despite cost containment measures which should continue to be implemented,
  the ITER project
  may continue to incur cost overruns due to its scientific nature, and to its extensive scale and technological risk. Any cost overruns above the maximum amount laid down in Article 2 should not have any impact on other projects financed by the Union
  budget
  in particular those under Heading 1A research budget (Horizon 2020), and should be financed through additional resources over and above the ceilings as appropriate
  . Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes should also be able to contribute to
  the Supplementary Research
  Programme. |
| --- | --- |

(6)

Despite cost containment measures which should continue to be implemented,
  the ITER project
  may continue to incur cost overruns due to its scientific nature, and to its extensive scale and technological risk. Any cost overruns above the maximum amount laid down in Article 2 should not have any impact on other projects financed by the Union
  budget
  in particular those under Heading 1A research budget (Horizon 2020), and should be financed through additional resources over and above the ceilings as appropriate
  . Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes should also be able to contribute to
  the Supplementary Research
  Programme.

Amendment 6

Proposal for a decision

Recital 7 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (7a) | The European Parliament and the Council should agree that any postponement or rolling over of unmet payment appropriations relating to the ITER project should be avoided and should commit to working together in order to avoid such a situation. |

Text proposed by the Commission

Amendment

(7a)

The European Parliament and the Council should agree that any postponement or rolling over of unmet payment appropriations relating to the ITER project should be avoided and should commit to working together in order to avoid such a situation.

Amendment 7

Proposal for a decision

Recital 8 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (8a) | As called for in the priorities proposed in the 2012 EFDA fusion roadmap, the Joint European Torus (JET) project should play a key role in the energy transition. |

Text proposed by the Commission

Amendment

(8a)

As called for in the priorities proposed in the 2012 EFDA fusion roadmap, the Joint European Torus (JET) project should play a key role in the energy transition.

Amendment 8

Proposal for a decision

Article 2 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| The Programme shall be financed through a maximum contribution of EUR 2,573  million (in current values)
  according to Article 3
  . | The Programme shall be financed through a maximum contribution of EUR 2,573  million (in current values)
  over and above the ceilings of the MFF, namely outside Heading 1A, and in addition to the budget for the Horizon 2020 Framework Programme, the Euratom Framework Programme or other Union programmes, while maintaining the full powers of the European Parliament and the Council. Therefore, the funding for the Programme should have sufficient financial resources to enable the Union to implement the Programme while also setting in the MFF a ring-fenced maximum amount for contributions from the Union budget for the years 2014-2018. Any cost overruns above this maximum amount shall not have any impact on the budgetary allocations for other projects and shall be financed through additional resources over and above the ceilings as appropriate
  . |

Text proposed by the Commission

Amendment

The Programme shall be financed through a maximum contribution of EUR 2,573  million (in current values)
  according to Article 3
  .

The Programme shall be financed through a maximum contribution of EUR 2,573  million (in current values)
  over and above the ceilings of the MFF, namely outside Heading 1A, and in addition to the budget for the Horizon 2020 Framework Programme, the Euratom Framework Programme or other Union programmes, while maintaining the full powers of the European Parliament and the Council. Therefore, the funding for the Programme should have sufficient financial resources to enable the Union to implement the Programme while also setting in the MFF a ring-fenced maximum amount for contributions from the Union budget for the years 2014-2018. Any cost overruns above this maximum amount shall not have any impact on the budgetary allocations for other projects and shall be financed through additional resources over and above the ceilings as appropriate
  .

Amendment 9

Proposal for a decision

Article 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| The Programme shall be funded
  by contributions of the Member States, based on a call rate applied to each Member State's Gross National Income (GNI) as defined for the purposes of calculating GNI own resource contribution to the General Budget of the European Union. Those contributions shall be considered as external assigned revenue for the Programme in accordance with [Article XX of Regulation (EU) No XX/2012 of the European Parliament and the Council [New Financial Regulation]. | The Programme shall be funded
  through the Union's own resources. |

Text proposed by the Commission

Amendment

The Programme shall be funded
  by contributions of the Member States, based on a call rate applied to each Member State's Gross National Income (GNI) as defined for the purposes of calculating GNI own resource contribution to the General Budget of the European Union. Those contributions shall be considered as external assigned revenue for the Programme in accordance with [Article XX of Regulation (EU) No XX/2012 of the European Parliament and the Council [New Financial Regulation].

The Programme shall be funded
  through the Union's own resources.

Amendment 10

Proposal for a decision

Article 4 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes (hereinafter ‘associated countries’) may
  also
  contribute to the Programme. | Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes (hereinafter ‘associated countries’) may contribute to the Programme. |

Text proposed by the Commission

Amendment

Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes (hereinafter ‘associated countries’) may
  also
  contribute to the Programme.

Third countries which have concluded a cooperation agreement with Euratom in the field of controlled nuclear fusion that associates their respective research programmes with the Euratom programmes (hereinafter ‘associated countries’) may contribute to the Programme.

Amendment 11

Proposal for a decision

Article 5 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | The Commission shall submit a mid-term review of the progress of the Programme to the European Parliament and the Council for their opinion before 30 June 2016. |

Text proposed by the Commission

Amendment

The Commission shall submit a mid-term review of the progress of the Programme to the European Parliament and the Council for their opinion before 30 June 2016.

Amendment 12

Proposal for a decision

Article 6 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Decision are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties. | 1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Decision are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities
  or errors
  are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.
  The Commission shall also put in place appropriate measures ensuring adequate risk control and the avoidance of cost overruns. |

Text proposed by the Commission

Amendment

1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Decision are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.

1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Decision are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities
  or errors
  are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.
  The Commission shall also put in place appropriate measures ensuring adequate risk control and the avoidance of cost overruns.

Amendment 13

Proposal for a decision

Article 6 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   
  The
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Decision. | 2.   
  The European Parliament, the
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Decision.
  Given the magnitude and the past considerable shortcomings of the ITER project, close scrutiny by the European Parliament will be required in its capacity as budgetary authority and discharge authority, and the Commission shall inform the European Parliament of the development of the Programme, in particular in terms of costs and schedule, on a regular basis. |

Text proposed by the Commission

Amendment

2.   
  The
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Decision.

2.   
  The European Parliament, the
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Decision.
  Given the magnitude and the past considerable shortcomings of the ITER project, close scrutiny by the European Parliament will be required in its capacity as budgetary authority and discharge authority, and the Commission shall inform the European Parliament of the development of the Programme, in particular in terms of costs and schedule, on a regular basis.

Amendment 14

Proposal for a decision

Article 6 — paragraph 2 — subparagraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| Without prejudice to the first and second subparagraphs, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Decision shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections. | Without prejudice to the first and second subparagraphs, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Decision shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.
  The results of such audits, on-the-spot checks and inspections shall be forwarded to the European Parliament. |

Text proposed by the Commission

Amendment

Without prejudice to the first and second subparagraphs, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Decision shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.

Without prejudice to the first and second subparagraphs, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Decision shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.
  The results of such audits, on-the-spot checks and inspections shall be forwarded to the European Parliament.

Amendment 15

Proposal for a decision

Annex — Scientific and technological objective — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| The first priority of the strategy to achieve the objective shall be the construction of ITER (a major experimental facility which demonstrates the scientific and technical feasibility of fusion power), followed by the construction of a demonstration fusion power plant. | The first priority of the strategy to achieve the objective shall be the construction of ITER (a major experimental facility which demonstrates the scientific and technical feasibility of fusion power), followed by the construction of a demonstration fusion power plant.
  The priorities proposed in the 2012 EFDA fusion roadmap should be taken into account in order to ensure that ITER will play a key role in the energy transition. |

Text proposed by the Commission

Amendment

The first priority of the strategy to achieve the objective shall be the construction of ITER (a major experimental facility which demonstrates the scientific and technical feasibility of fusion power), followed by the construction of a demonstration fusion power plant.

The first priority of the strategy to achieve the objective shall be the construction of ITER (a major experimental facility which demonstrates the scientific and technical feasibility of fusion power), followed by the construction of a demonstration fusion power plant.
  The priorities proposed in the 2012 EFDA fusion roadmap should be taken into account in order to ensure that ITER will play a key role in the energy transition.

Amendment 16

Proposal for a decision

Annex — Scientific and technological Objective — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | The demonstration of competitive electricity production by 2050 must be ensured. In response to that target, the Commission shall review the Programme regularly and produce a progress report on an annual basis in response to physics, technological, budgetary and safety challenges. In its report, the Commission must provide an analysis of potential impacts on the three main phases, in addition to a contingency plan specifying the priorities according to the benefits, risks and costs to achieve the commercial fusion objectives. The Commission must consider implementing an early warning system to identify risks and to accelerate the mitigation process. |

Text proposed by the Commission

Amendment

The demonstration of competitive electricity production by 2050 must be ensured. In response to that target, the Commission shall review the Programme regularly and produce a progress report on an annual basis in response to physics, technological, budgetary and safety challenges. In its report, the Commission must provide an analysis of potential impacts on the three main phases, in addition to a contingency plan specifying the priorities according to the benefits, risks and costs to achieve the commercial fusion objectives. The Commission must consider implementing an early warning system to identify risks and to accelerate the mitigation process.

Amendment 17

Proposal for a decision

Annex — Rationale — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| Fusion has the potential to make a major contribution to the realisation of a sustainable and secure energy supply for the Union a few decades from now. Its successful development would provide energy which is safe, sustainable and environmentally friendly. | Fusion has the potential to make a major contribution to the realisation of a sustainable and secure energy supply for the Union a few decades from now. Its successful development would provide energy which is safe, sustainable and environmentally friendly.
  Harnessing fusion energy is a very promising goal but also a significant challenge, as there are still remaining physics and engineering issues in order to make progress in demonstrating the feasibility of fusion energy. In order to best meet some of these challenges, it is essential that the Union makes every effort to support and exploit the efforts of the JET facility in order to help bridge any knowledge or experience gap. |

Text proposed by the Commission

Amendment

Fusion has the potential to make a major contribution to the realisation of a sustainable and secure energy supply for the Union a few decades from now. Its successful development would provide energy which is safe, sustainable and environmentally friendly.

Fusion has the potential to make a major contribution to the realisation of a sustainable and secure energy supply for the Union a few decades from now. Its successful development would provide energy which is safe, sustainable and environmentally friendly.
  Harnessing fusion energy is a very promising goal but also a significant challenge, as there are still remaining physics and engineering issues in order to make progress in demonstrating the feasibility of fusion energy. In order to best meet some of these challenges, it is essential that the Union makes every effort to support and exploit the efforts of the JET facility in order to help bridge any knowledge or experience gap.

Amendment 18

Proposal for a decision

Annex — Activities — paragraph 2 — point a

| Text proposed by the Commission | Amendment |
| --- | --- |
| (a) | To provide the Euratom contribution to the ITER International Fusion Energy Organisation, including those R&D activities necessary for developing the basis for the procurement of the ITER components and the procurement of the ITER Test Blanket Modules; |

Text proposed by the Commission

Amendment

(a)

To provide the Euratom contribution to the ITER International Fusion Energy Organisation, including those R&D activities necessary for developing the basis for the procurement of the ITER components and the procurement of the ITER Test Blanket Modules;

| (a) | To provide the Euratom contribution to the ITER International Fusion Energy Organisation, including those R&D activities necessary for developing the basis for the procurement of the ITER components and the procurement of the ITER Test Blanket Modules
  and to suggest potential improvements in the governance of the Programme. |
| --- | --- |

(a)

To provide the Euratom contribution to the ITER International Fusion Energy Organisation, including those R&D activities necessary for developing the basis for the procurement of the ITER components and the procurement of the ITER Test Blanket Modules
  and to suggest potential improvements in the governance of the Programme.

Amendment 19

Proposal for a decision

Annex — Activities — paragraph 2 — point c

| Text proposed by the Commission | Amendment |
| --- | --- |
| (c) | As appropriate, other activities in order to prepare the basis for the design of a demonstration reactor and related facilities. |

Text proposed by the Commission

Amendment

(c)

As appropriate, other activities in order to prepare the basis for the design of a demonstration reactor and related facilities.

| (c) | As appropriate, other activities in order to prepare the basis for the design of a demonstration reactor and related facilities
  , mainly those required to properly solve the remaining issues concerning DEMO construction and operation
  .
  This will include ensuring the continuance of the JET exploitation until the start date of ITER's full functioning. Standard solutions must be promoted in order to be reused as far as possible when building commercial power plants. |
| --- | --- |

(c)

As appropriate, other activities in order to prepare the basis for the design of a demonstration reactor and related facilities
  , mainly those required to properly solve the remaining issues concerning DEMO construction and operation
  .
  This will include ensuring the continuance of the JET exploitation until the start date of ITER's full functioning. Standard solutions must be promoted in order to be reused as far as possible when building commercial power plants.

Amendment 20

Proposal for a decision

Annex — Activities — paragraph 2 — point c a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ca) | To implement an industrial policy suitable for involving industry, including small and medium-sized enterprises, in order to foster competition and to prepare the European system for the fusion era. |

Text proposed by the Commission

Amendment

(ca)

To implement an industrial policy suitable for involving industry, including small and medium-sized enterprises, in order to foster competition and to prepare the European system for the fusion era.

Amendment 21

Proposal for a decision

Annex — Activities — paragraph 2 — point c b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (cb) | To involve industry, including specialised small and medium-sized enterprises, as widely and as early as possible in order to develop and to validate standard reliable solutions and equipment. This will be helpful in achieving the Programme within the budget. |

Text proposed by the Commission

Amendment

(cb)

To involve industry, including specialised small and medium-sized enterprises, as widely and as early as possible in order to develop and to validate standard reliable solutions and equipment. This will be helpful in achieving the Programme within the budget.

Amendment 22

Proposal for a decision

Annex — Activities — paragraph 2 — point c c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (cc) | To promote the availability of a skilled and experienced workforce and scientists as a key to the success of fusion. The ramping-up of ITER should be associated with specific measures in support of training and education in fusion science and technology. |

Text proposed by the Commission

Amendment

(cc)

To promote the availability of a skilled and experienced workforce and scientists as a key to the success of fusion. The ramping-up of ITER should be associated with specific measures in support of training and education in fusion science and technology.

Amendment 23

Proposal for a decision

Annex — Activities — paragraph 2 — point c d (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (cd) | To develop a communication programme for Union citizens to keep them fully informed of and consulted about nuclear fusion challenges, risks and safety. |

Text proposed by the Commission

Amendment

(cd)

To develop a communication programme for Union citizens to keep them fully informed of and consulted about nuclear fusion challenges, risks and safety.

Amendment 24

Proposal for a decision

Annex — Activities — paragraph 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| The detailed work programmes implementing the above activities will be decided, on an annual basis, by the Fusion for Energy Governing Board. | The detailed work programmes implementing the above activities will be decided
  and communicated to the European Parliament, the Council and the Commission
  on an annual basis, by the Fusion for Energy Governing Board. |

Text proposed by the Commission

Amendment

The detailed work programmes implementing the above activities will be decided, on an annual basis, by the Fusion for Energy Governing Board.

The detailed work programmes implementing the above activities will be decided
  and communicated to the European Parliament, the Council and the Commission
  on an annual basis, by the Fusion for Energy Governing Board.

---

(1)  

  OJ L 358, 16.12.2006, p. 62

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/76 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/76

---

P7_TA(2013)0469

European Atomic Energy Community research and training programme *

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020 — The Framework Programme for Research and Innovation (COM(2011)0812 — C7-0009/2012 — 2011/0400(NLE))

(Consultation)

(2016/C 436/24)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2011)0812), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2011)0812),

| — | having regard to Article 7 of the Euratom Treaty, |
| --- | --- |

—

having regard to Article 7 of the Euratom Treaty,

| — | having regard to the request for an opinion received from the Council (C7-0009/2012), |
| --- | --- |

—

having regard to the request for an opinion received from the Council (C7-0009/2012),

| — | 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 Budgets and of the Committee on Legal Affairs (A7-0407/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Budgets and of the Committee on Legal Affairs (A7-0407/2012),

| 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 and Article 106a of the Euratom Treaty; |
| --- | --- |

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 and Article 106a of the Euratom Treaty;

| 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 and the Commission. |
| --- | --- |

5.

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

Amendment 1

Proposal for a regulation

Recital 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| (3) | By supporting nuclear research the Research and Training Programme of the Community (hereinafter the ‘Euratom Programme’) will contribute to achieving objectives of the ‘Horizon 2020’ Framework Programme for Research and Innovation established by Regulation (EU XX/XXXX of [....] (hereinafter ‘Horizon 2020 Framework Programme’) and facilitate implementation of the Europe 2020 strategy and the creation and operation of the European Research Area. |

Text proposed by the Commission

Amendment

(3)

By supporting nuclear research the Research and Training Programme of the Community (hereinafter the ‘Euratom Programme’) will contribute to achieving objectives of the ‘Horizon 2020’ Framework Programme for Research and Innovation established by Regulation (EU XX/XXXX of [....] (hereinafter ‘Horizon 2020 Framework Programme’) and facilitate implementation of the Europe 2020 strategy and the creation and operation of the European Research Area.

| (3) | By supporting nuclear research
  and innovation excellence
  the Research and Training Programme of the Community (hereinafter the ‘Euratom Programme’) will contribute to achieving objectives of the ‘Horizon 2020’ Framework Programme for Research and Innovation established by Regulation (EU) No.../... of [....] (hereinafter ‘Horizon 2020 Framework Programme’) and facilitate implementation of the Europe 2020 strategy and the creation and operation of the European Research Area
  and help to implement the Strategic Energy Technology Plan (the ‘SET-Plan’). In addition, the Euratom Programme should seek to make further use of Structural Funds for nuclear research and ensure alignment of the funds with Community research priorities without compromising the principle of excellence
  . |
| --- | --- |

(3)

By supporting nuclear research
  and innovation excellence
  the Research and Training Programme of the Community (hereinafter the ‘Euratom Programme’) will contribute to achieving objectives of the ‘Horizon 2020’ Framework Programme for Research and Innovation established by Regulation (EU) No.../... of [....] (hereinafter ‘Horizon 2020 Framework Programme’) and facilitate implementation of the Europe 2020 strategy and the creation and operation of the European Research Area
  and help to implement the Strategic Energy Technology Plan (the ‘SET-Plan’). In addition, the Euratom Programme should seek to make further use of Structural Funds for nuclear research and ensure alignment of the funds with Community research priorities without compromising the principle of excellence
  .

Amendment 2

Proposal for a regulation

Recital 3 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (3a) | Three major European cooperative initiatives in nuclear science and technology were launched under the Seventh Euratom Framework Programme (2007 to 2011). They are the Sustainable Nuclear Energy Technology Platform (SNETP), the Implementing Geological Disposal Technology Platform (IGDTP) and the Multidisciplinary European Low Dose Initiative (MELODI). Both SNETP and IGDTP correspond with SET-Plan objectives. |

Text proposed by the Commission

Amendment

(3a)

Three major European cooperative initiatives in nuclear science and technology were launched under the Seventh Euratom Framework Programme (2007 to 2011). They are the Sustainable Nuclear Energy Technology Platform (SNETP), the Implementing Geological Disposal Technology Platform (IGDTP) and the Multidisciplinary European Low Dose Initiative (MELODI). Both SNETP and IGDTP correspond with SET-Plan objectives.

Amendment 3

Proposal for a regulation

Recital 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| (4) | Notwithstanding the potential impact of nuclear energy on energy supply and economic development, severe nuclear accidents may have the potential to endanger human health. Therefore, nuclear safety and, where appropriate, security aspects should be given the greatest possible attention in the Euratom Research and Training Programme. |

Text proposed by the Commission

Amendment

(4)

Notwithstanding the potential impact of nuclear energy on energy supply and economic development, severe nuclear accidents may have the potential to endanger human health. Therefore, nuclear safety and, where appropriate, security aspects should be given the greatest possible attention in the Euratom Research and Training Programme.

| (4) | Notwithstanding the potential impact of nuclear energy on energy supply and economic development, severe nuclear accidents
  nuclear proliferation and malevolent acts including nuclear terrorism
  may have the potential to endanger human health. Therefore, nuclear safety and, where appropriate
  – as part of the work of the Joint Research Centre (JRC) –
  security aspects should be given the greatest possible attention in the Euratom Programme.
  Attention should also be paid to third countries that border the Union and cross-border aspects of nuclear safety that underline the Union's added value. |
| --- | --- |

(4)

Notwithstanding the potential impact of nuclear energy on energy supply and economic development, severe nuclear accidents
  nuclear proliferation and malevolent acts including nuclear terrorism
  may have the potential to endanger human health. Therefore, nuclear safety and, where appropriate
  – as part of the work of the Joint Research Centre (JRC) –
  security aspects should be given the greatest possible attention in the Euratom Programme.
  Attention should also be paid to third countries that border the Union and cross-border aspects of nuclear safety that underline the Union's added value.

Amendment 4

Proposal for a regulation

Recital 4 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (4a) | The European Sustainable Nuclear Industrial Initiative (ESNII) targets the deployment of Gen-IV Fast Neutron Reactors with closed fuel cycle by 2040. It includes three major projects: the ASTRID prototype (sodium cooled), the ALLEGRO demonstrator (gas cooled) and the MYRRHA technology pilot plant (lead cooled). |

Text proposed by the Commission

Amendment

(4a)

The European Sustainable Nuclear Industrial Initiative (ESNII) targets the deployment of Gen-IV Fast Neutron Reactors with closed fuel cycle by 2040. It includes three major projects: the ASTRID prototype (sodium cooled), the ALLEGRO demonstrator (gas cooled) and the MYRRHA technology pilot plant (lead cooled).

Amendment 5

Proposal for a regulation

Recital 5

| Text proposed by the Commission | Amendment |
| --- | --- |
| (5) | As all Member States have nuclear installations or make use of radioactive materials particularly for medical purposes, the Council has recognised in its conclusions of 2 December 2008 the continuing need for skills in the nuclear field, in particular through appropriate education and training linked with research
  and
  coordinated at Community level. |

Text proposed by the Commission

Amendment

(5)

As all Member States have nuclear installations or make use of radioactive materials particularly for medical purposes, the Council has recognised in its conclusions of 2 December 2008 the continuing need for skills in the nuclear field, in particular through appropriate education and training linked with research
  and
  coordinated at Community level.

| (5) | As all Member States have nuclear installations or make use of radioactive materials particularly for medical purposes, the Council has recognised in its conclusions of 2 December 2008 the continuing need for skills in the nuclear field, in particular through appropriate education and training linked with research
  as well as improved working conditions which are
  coordinated at Community level. |
| --- | --- |

(5)

As all Member States have nuclear installations or make use of radioactive materials particularly for medical purposes, the Council has recognised in its conclusions of 2 December 2008 the continuing need for skills in the nuclear field, in particular through appropriate education and training linked with research
  as well as improved working conditions which are
  coordinated at Community level.

Amendment 6

Proposal for a regulation

Recital 6

| Text proposed by the Commission | Amendment |
| --- | --- |
| (6) | By signing the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project, the Community has undertaken to participate in ITER construction and its future exploitation. The Community contribution is managed through the ‘European Joint Undertaking for ITER and the Development of Fusion Energy’ (hereinafter ‘Fusion for Energy’), established by Council Decision of 27 March 2007. The activities of Fusion for Energy, including ITER, are to be regulated by a separate legislative act. |

Text proposed by the Commission

Amendment

(6)

By signing the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project, the Community has undertaken to participate in ITER construction and its future exploitation. The Community contribution is managed through the ‘European Joint Undertaking for ITER and the Development of Fusion Energy’ (hereinafter ‘Fusion for Energy’), established by Council Decision of 27 March 2007. The activities of Fusion for Energy, including ITER, are to be regulated by a separate legislative act.

| (6) | By signing the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project, the Community has undertaken to participate in ITER construction and its future exploitation. The Community contribution is managed through the ‘European Joint Undertaking for ITER and the Development of Fusion Energy’ (hereinafter ‘Fusion for Energy’), established by Council Decision of 27 March 2007. The activities of Fusion for Energy, including ITER, are to be regulated by a separate legislative act
  , which, will ensure that the funding for ITER comes from within the Multiannual Financial Framework (MFF) while also setting a ring-fenced maximum amount for contribution from the Union's budget for the years 2014-2018
  . |
| --- | --- |

(6)

By signing the Agreement on the Establishment of the ITER International Fusion Energy Organisation for the Joint Implementation of the ITER Project, the Community has undertaken to participate in ITER construction and its future exploitation. The Community contribution is managed through the ‘European Joint Undertaking for ITER and the Development of Fusion Energy’ (hereinafter ‘Fusion for Energy’), established by Council Decision of 27 March 2007. The activities of Fusion for Energy, including ITER, are to be regulated by a separate legislative act
  , which, will ensure that the funding for ITER comes from within the Multiannual Financial Framework (MFF) while also setting a ring-fenced maximum amount for contribution from the Union's budget for the years 2014-2018
  .

Amendment 7

Proposal for a regulation

Recital 6 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (6a) | In order to compliment other Union priorities for the coming decades, the framework for nuclear fission research under the Euratom Programme should support the Union's existing objectives and proposals, such as the SET- Plan and the ‘Energy Roadmap 2050’. This framework should also support ESNII. The framework should also, as far as possible, complement broader Union proposals in terms of co-operation with third countries. |

Text proposed by the Commission

Amendment

(6a)

In order to compliment other Union priorities for the coming decades, the framework for nuclear fission research under the Euratom Programme should support the Union's existing objectives and proposals, such as the SET- Plan and the ‘Energy Roadmap 2050’. This framework should also support ESNII. The framework should also, as far as possible, complement broader Union proposals in terms of co-operation with third countries.

Amendment 8

Proposal for a regulation

Recital 7

| Text proposed by the Commission | Amendment |
| --- | --- |
| (7) | For fusion to become a credible option for commercial energy production, it is, firstly, necessary to successfully and timely complete the construction of ITER and start its operation. Secondly it is necessary to establish an ambitious, yet realistic roadmap towards the production of electricity by 2050. Reaching those goals requires the European fusion programme to be redirected. A stronger focus should be placed on the activities in support to ITER.
  Such rationalisation should be achieved without jeopardising the
  European leadership of the fusion scientific community. |

Text proposed by the Commission

Amendment

(7)

For fusion to become a credible option for commercial energy production, it is, firstly, necessary to successfully and timely complete the construction of ITER and start its operation. Secondly it is necessary to establish an ambitious, yet realistic roadmap towards the production of electricity by 2050. Reaching those goals requires the European fusion programme to be redirected. A stronger focus should be placed on the activities in support to ITER.
  Such rationalisation should be achieved without jeopardising the
  European leadership of the fusion scientific community.

| (7) | For fusion to become a credible option for commercial energy production, it is, firstly, necessary to successfully and timely complete the construction of ITER and start its operation
  , and continue to support the activities of existing allied and ancillary projects such as the Joint European Torus (JET)
  . Secondly it is necessary to establish an ambitious, yet realistic roadmap towards the production of electricity by 2050. Reaching those goals requires the European fusion programme to be redirected. A stronger focus should be placed on the activities in support to ITER
  , including ensuring its funding within the MFF in a complete and transparent way. Guaranteeing funding within the MFF will guarantee the Community's commitment to the long-term success of the project and prevent costs from mounting exponentially thereafter. Maintaining
  European leadership of the fusion scientific community
  is an essential aim of the Euratom Programme
  . |
| --- | --- |

(7)

For fusion to become a credible option for commercial energy production, it is, firstly, necessary to successfully and timely complete the construction of ITER and start its operation
  , and continue to support the activities of existing allied and ancillary projects such as the Joint European Torus (JET)
  . Secondly it is necessary to establish an ambitious, yet realistic roadmap towards the production of electricity by 2050. Reaching those goals requires the European fusion programme to be redirected. A stronger focus should be placed on the activities in support to ITER
  , including ensuring its funding within the MFF in a complete and transparent way. Guaranteeing funding within the MFF will guarantee the Community's commitment to the long-term success of the project and prevent costs from mounting exponentially thereafter. Maintaining
  European leadership of the fusion scientific community
  is an essential aim of the Euratom Programme
  .

Amendment 9

Proposal for a regulation

Recital 8

| Text proposed by the Commission | Amendment |
| --- | --- |
| (8) | The Joint Research Centre (JRC) should continue to provide independent customer-driven scientific and technological support for the formulation, development, implementation and monitoring of Community policies, in particular in the field of nuclear safety and security research and training. |

Text proposed by the Commission

Amendment

(8)

The Joint Research Centre (JRC) should continue to provide independent customer-driven scientific and technological support for the formulation, development, implementation and monitoring of Community policies, in particular in the field of nuclear safety and security research and training.

| (8) | The JRC should continue to provide independent customer-driven scientific and technological support for the formulation, development, implementation and monitoring of Community policies
  and
  ,
  where appropriate, international policies,
  in particular in the field of nuclear safety and security research and training.
  It should make this contribution subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants. |
| --- | --- |

(8)

The JRC should continue to provide independent customer-driven scientific and technological support for the formulation, development, implementation and monitoring of Community policies
  and
  ,
  where appropriate, international policies,
  in particular in the field of nuclear safety and security research and training.
  It should make this contribution subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants.

Amendment 10

Proposal for a regulation

Recital 10

| Text proposed by the Commission | Amendment |
| --- | --- |
| (10) | While it is for each Member State to choose whether or not to make use of nuclear power, the role of the Union is to develop, in the interest of all its Member States, a framework to support joint cutting-edge research, knowledge creation and knowledge preservation on nuclear fission technologies, with special emphasis on safety, security, radiation protection and non-proliferation. That requires independent scientific evidence, to which the JRC can make a key contribution. That has been recognised in the Commission Communication ‘Europe 2020 Flagship Initiative Innovation Union’, in which the Commission stated its intention to strengthen scientific evidence for policy making through the JRC. The JRC proposes to respond to that challenge by focusing its nuclear safety and security research on the Union's policy priorities. |

Text proposed by the Commission

Amendment

(10)

While it is for each Member State to choose whether or not to make use of nuclear power, the role of the Union is to develop, in the interest of all its Member States, a framework to support joint cutting-edge research, knowledge creation and knowledge preservation on nuclear fission technologies, with special emphasis on safety, security, radiation protection and non-proliferation. That requires independent scientific evidence, to which the JRC can make a key contribution. That has been recognised in the Commission Communication ‘Europe 2020 Flagship Initiative Innovation Union’, in which the Commission stated its intention to strengthen scientific evidence for policy making through the JRC. The JRC proposes to respond to that challenge by focusing its nuclear safety and security research on the Union's policy priorities.

| (10) | While it is for each Member State to choose whether or not to make use of nuclear power, the role of the Union is to develop, in the interest of all its Member States, a framework to support joint cutting-edge research, knowledge creation and knowledge preservation on nuclear fission technologies,
  in particular new generation fission reactors,
  with special emphasis on safety, security, radiation protection
  , including improved working conditions for those engaged in working directly with nuclear materials, nuclear decommissioning
  and non-proliferation. That requires independent scientific evidence, to which the JRC can make a key contribution. That has been recognised in the Commission Communication ‘Europe 2020 Flagship Initiative Innovation Union’, in which the Commission stated its intention to strengthen scientific evidence for policy making through the JRC. The JRC proposes to respond to that challenge by focusing its nuclear safety and security research on the Union's policy priorities.
  The precise nature of this research should be determined subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants. |
| --- | --- |

(10)

While it is for each Member State to choose whether or not to make use of nuclear power, the role of the Union is to develop, in the interest of all its Member States, a framework to support joint cutting-edge research, knowledge creation and knowledge preservation on nuclear fission technologies,
  in particular new generation fission reactors,
  with special emphasis on safety, security, radiation protection
  , including improved working conditions for those engaged in working directly with nuclear materials, nuclear decommissioning
  and non-proliferation. That requires independent scientific evidence, to which the JRC can make a key contribution. That has been recognised in the Commission Communication ‘Europe 2020 Flagship Initiative Innovation Union’, in which the Commission stated its intention to strengthen scientific evidence for policy making through the JRC. The JRC proposes to respond to that challenge by focusing its nuclear safety and security research on the Union's policy priorities.
  The precise nature of this research should be determined subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants.

Amendment 11

Proposal for a regulation

Recital 10 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (10a) | Since Europe’s citizens must remain at the core of discussions at Union level, the European Parliament should be more broadly involved in the deliberations and the decisions taken about the Euratom Programme. |

Text proposed by the Commission

Amendment

(10a)

Since Europe’s citizens must remain at the core of discussions at Union level, the European Parliament should be more broadly involved in the deliberations and the decisions taken about the Euratom Programme.

Amendment 12

Proposal for a regulation

Recital 11

| Text proposed by the Commission | Amendment |
| --- | --- |
| (11) | With the aim of deepening the relationship between science and society and reinforcing public confidence in science, the Euratom Programme should favour an informed engagement of citizens and civil society on research and innovation matters by promoting science education, by making scientific knowledge more accessible, by developing responsible research and innovation agendas that meet citizens’ and civil society's concerns and expectations and by facilitating their participation in the Euratom programme activities. |

Text proposed by the Commission

Amendment

(11)

With the aim of deepening the relationship between science and society and reinforcing public confidence in science, the Euratom Programme should favour an informed engagement of citizens and civil society on research and innovation matters by promoting science education, by making scientific knowledge more accessible, by developing responsible research and innovation agendas that meet citizens’ and civil society's concerns and expectations and by facilitating their participation in the Euratom programme activities.

| (11) | With the aim of deepening the relationship between science and society and reinforcing public confidence in science, the Euratom Programme should favour an informed engagement of citizens and civil society on research and innovation matters by promoting science education, by making scientific knowledge more accessible, by developing responsible research and innovation agendas that meet citizens’ and civil society's concerns and expectations and by facilitating their participation in the Euratom Programme activities.
  This should include making scientific and research careers attractive to the next generation of researchers, in particular if they are from groups under-represented in research. This informed engagement by citizens on matters connected with the Euratom Programme implies closer involvement of the European Parliament, which represents Europe’s citizens
  . |
| --- | --- |

(11)

With the aim of deepening the relationship between science and society and reinforcing public confidence in science, the Euratom Programme should favour an informed engagement of citizens and civil society on research and innovation matters by promoting science education, by making scientific knowledge more accessible, by developing responsible research and innovation agendas that meet citizens’ and civil society's concerns and expectations and by facilitating their participation in the Euratom Programme activities.
  This should include making scientific and research careers attractive to the next generation of researchers, in particular if they are from groups under-represented in research. This informed engagement by citizens on matters connected with the Euratom Programme implies closer involvement of the European Parliament, which represents Europe’s citizens
  .

Amendment 13

Proposal for a regulation

Recital 13

| Text proposed by the Commission | Amendment |
| --- | --- |
| (13) | The Euratom Programme should
  contribute to
  the attractiveness of the research profession in the Union. Adequate attention should be paid to the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers, together with other relevant reference frameworks defined in the context of the European Research Area, while respecting their voluntary nature. |

Text proposed by the Commission

Amendment

(13)

The Euratom Programme should
  contribute to
  the attractiveness of the research profession in the Union. Adequate attention should be paid to the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers, together with other relevant reference frameworks defined in the context of the European Research Area, while respecting their voluntary nature.

| (13) | The Euratom Programme should
  seek
  to
  promote
  the attractiveness of the research profession in the Union
  with the general aim of increasing the visibility of science in society but also with the aim of preventing any skills shortage in the Union or ‘brain- drain’ from the Union to third countries
  .
  While much expertise currently exists within the Union, it is vitally important that a new generation of nuclear researchers be trained in all aspects of nuclear research. The Euratom Programme should also at all levels seek to give European added value for all those seeking to participate in nuclear research.
  Adequate attention should be paid to the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers, together with other relevant reference frameworks defined in the context of the European Research Area, while respecting their voluntary nature. |
| --- | --- |

(13)

The Euratom Programme should
  seek
  to
  promote
  the attractiveness of the research profession in the Union
  with the general aim of increasing the visibility of science in society but also with the aim of preventing any skills shortage in the Union or ‘brain- drain’ from the Union to third countries
  .
  While much expertise currently exists within the Union, it is vitally important that a new generation of nuclear researchers be trained in all aspects of nuclear research. The Euratom Programme should also at all levels seek to give European added value for all those seeking to participate in nuclear research.
  Adequate attention should be paid to the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers, together with other relevant reference frameworks defined in the context of the European Research Area, while respecting their voluntary nature.

Amendment 14

Proposal for a regulation

Recital 15

| Text proposed by the Commission | Amendment |
| --- | --- |
| (15) | Research and innovation activities supported by the Euratom Programme
  should
  respect
  fundamental
  ethical principles. The opinions of the European Group on Ethics in Science and New Technologies should be taken into account. Research activities should also take into account Article 13 of the TFEU and reduce the use of animals in research and testing
  , with a view to ultimately replacing animal use
  . All activities should be carried out ensuring a high level of human health protection. |

Text proposed by the Commission

Amendment

(15)

Research and innovation activities supported by the Euratom Programme
  should
  respect
  fundamental
  ethical principles. The opinions of the European Group on Ethics in Science and New Technologies should be taken into account. Research activities should also take into account Article 13 of the TFEU and reduce the use of animals in research and testing
  , with a view to ultimately replacing animal use
  . All activities should be carried out ensuring a high level of human health protection.

| (15) | Research and innovation activities supported by the Euratom Programme
  have to
  respect ethical principles. The opinions of the European Group on Ethics in Science and New Technologies should be taken into account. Research activities should also take into account Article 13 TFEU and
  replace,
  reduce
  and refine
  the use of animals in research and testing. All activities should be carried out ensuring a high level of human health protection. |
| --- | --- |

(15)

Research and innovation activities supported by the Euratom Programme
  have to
  respect ethical principles. The opinions of the European Group on Ethics in Science and New Technologies should be taken into account. Research activities should also take into account Article 13 TFEU and
  replace,
  reduce
  and refine
  the use of animals in research and testing. All activities should be carried out ensuring a high level of human health protection.

Amendment 15

Proposal for a regulation

Recital 16

| Text proposed by the Commission | Amendment |
| --- | --- |
| (16) | A greater impact should also be achieved by combining the Euratom Programme and private sector funds within public-private partnerships in key areas where research and innovation could contribute to Union's wider competitiveness goals. Particular attention should be given to the involvement of small and medium-sized enterprises. |

Text proposed by the Commission

Amendment

(16)

A greater impact should also be achieved by combining the Euratom Programme and private sector funds within public-private partnerships in key areas where research and innovation could contribute to Union's wider competitiveness goals. Particular attention should be given to the involvement of small and medium-sized enterprises.

| (16) | A greater impact should also be achieved by combining the Euratom Programme and private sector funds within public-private partnerships in key areas where research and innovation could contribute to Union's wider competitiveness goals. Particular attention should be given to the involvement of small and medium-sized enterprises
  (SMEs)
  .
  The need to increase the uptake of available community funding by SMEs should apply to those working in nuclear research as it does in other fields. The Euratom Programme should support SMEs at all stages in the innovation chain, especially activities closer to the market inter alia through the use of innovative financial instruments. Such support should include the dedicated SME instrument and all the revised financial instruments which should provide for appropriate measures to unleash the full innovation potential of SMEs and which will become available through the Horizon 2020 FrameworkProgramme as well as similar programmes such as the Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (2014 — 2020) (COSME). |
| --- | --- |

(16)

A greater impact should also be achieved by combining the Euratom Programme and private sector funds within public-private partnerships in key areas where research and innovation could contribute to Union's wider competitiveness goals. Particular attention should be given to the involvement of small and medium-sized enterprises
  (SMEs)
  .
  The need to increase the uptake of available community funding by SMEs should apply to those working in nuclear research as it does in other fields. The Euratom Programme should support SMEs at all stages in the innovation chain, especially activities closer to the market inter alia through the use of innovative financial instruments. Such support should include the dedicated SME instrument and all the revised financial instruments which should provide for appropriate measures to unleash the full innovation potential of SMEs and which will become available through the Horizon 2020 FrameworkProgramme as well as similar programmes such as the Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (2014 — 2020) (COSME).

Amendment 16

Proposal for a regulation

Recital 17

| Text proposed by the Commission | Amendment |
| --- | --- |
| (17) | The
  Euratom Programme should
  promote cooperation, in particular in the field
  of
  safety
  ,
  with third countries based
  on
  common interest and
  mutual
  benefit
  . |

Text proposed by the Commission

Amendment

(17)

The
  Euratom Programme should
  promote cooperation, in particular in the field
  of
  safety
  ,
  with third countries based
  on
  common interest and
  mutual
  benefit
  .

| (17) | The
  Euratom Programme should
  , in particular, take account
  of
  all nuclear installations in third countries which border the Union
  ,
  especially if they are located in an area susceptible to natural disasters. International cooperation
  on
  nuclear energy should contain appropriate instruments for securing
  mutual
  financial obligations
  .
  This must include cooperative contracts and reciprocal financial obligations |
| --- | --- |

(17)

The
  Euratom Programme should
  , in particular, take account
  of
  all nuclear installations in third countries which border the Union
  ,
  especially if they are located in an area susceptible to natural disasters. International cooperation
  on
  nuclear energy should contain appropriate instruments for securing
  mutual
  financial obligations
  .
  This must include cooperative contracts and reciprocal financial obligations

Amendment 17

Proposal for a regulation

Recital 19

| Text proposed by the Commission | Amendment |
| --- | --- |
| (19) | The need for a new approach to control and risk management in Union research funding was recognised by the European Council of 4 February 2011, asking for a new balance between trust and control and between risk-taking and risk avoidance. The European Parliament
  , in
  its Resolution of 11 November 2010 on simplifying the implementation of the Research Framework Programmes, called for a pragmatic shift towards administrative and financial simplification and stated that the management of Union research funding should be more trust-based and risk-tolerant towards participants. |

Text proposed by the Commission

Amendment

(19)

The need for a new approach to control and risk management in Union research funding was recognised by the European Council of 4 February 2011, asking for a new balance between trust and control and between risk-taking and risk avoidance. The European Parliament
  , in
  its Resolution of 11 November 2010 on simplifying the implementation of the Research Framework Programmes, called for a pragmatic shift towards administrative and financial simplification and stated that the management of Union research funding should be more trust-based and risk-tolerant towards participants.

| (19) | The need for a new approach to control and risk management in Union research funding was recognised by the European Council of 4 February 2011, asking for a new balance between trust and control and between risk-taking and risk avoidance. The European Parliament
  has called for a radical simplification of Union research and innovation funding and has made numerous calls for a shift towards much greater administrative and financial simplification. In
  its resolution of 11 November 2010 (1) on simplifying the implementation of the Research Framework Programmes the European Parliament called for a pragmatic shift towards administrative and financial simplification and stated that the management of Union research funding should be more trust-based and risk-tolerant towards participants.
  In its resolution 8 June 2011 on Investing in the future: a new Multiannual Financial Framework (MFF) for a competitive, sustainable and inclusive Europe

   (2)

  the European Parliament reiterated its call for a shift towards administrative and financial simplification and also emphasised that any increase of funds should be coupled with a radical simplification of funding procedures. The Euratom Programme should also duly consider the concerns and recommendations from the researchers’ community as expressed in the final report of the Expert Group ‘Interim Evaluation of the 7th Framework Programme’ of 12 November 2010 as well as in the Commission's Green Paper of 9 February 2011 entitled ‘From Challenges to Opportunities towards a Common Strategic Framework for EU Research and Innovative Funding’. |
| --- | --- |

(19)

The need for a new approach to control and risk management in Union research funding was recognised by the European Council of 4 February 2011, asking for a new balance between trust and control and between risk-taking and risk avoidance. The European Parliament
  has called for a radical simplification of Union research and innovation funding and has made numerous calls for a shift towards much greater administrative and financial simplification. In
  its resolution of 11 November 2010 (1) on simplifying the implementation of the Research Framework Programmes the European Parliament called for a pragmatic shift towards administrative and financial simplification and stated that the management of Union research funding should be more trust-based and risk-tolerant towards participants.
  In its resolution 8 June 2011 on Investing in the future: a new Multiannual Financial Framework (MFF) for a competitive, sustainable and inclusive Europe

   (2)

  the European Parliament reiterated its call for a shift towards administrative and financial simplification and also emphasised that any increase of funds should be coupled with a radical simplification of funding procedures. The Euratom Programme should also duly consider the concerns and recommendations from the researchers’ community as expressed in the final report of the Expert Group ‘Interim Evaluation of the 7th Framework Programme’ of 12 November 2010 as well as in the Commission's Green Paper of 9 February 2011 entitled ‘From Challenges to Opportunities towards a Common Strategic Framework for EU Research and Innovative Funding’.

Amendment 18

Proposal for a regulation

Recital 20

| Text proposed by the Commission | Amendment |
| --- | --- |
| (20) | The financial interests of the Union should be protected through proportionate measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants. |

Text proposed by the Commission

Amendment

(20)

The financial interests of the Union should be protected through proportionate measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants.

| (20) | The financial interests of the Union should be protected through
  necessary,
  proportionate
  and efficient
  measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants. |
| --- | --- |

(20)

The financial interests of the Union should be protected through
  necessary,
  proportionate
  and efficient
  measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants.

Amendment 19

Proposal for a regulation

Recital 25

| Text proposed by the Commission | Amendment |
| --- | --- |
| (25) | Article 7 of the Euratom Treaty entrusts the Commission with the responsibility of carrying out the Euratom Programme. For the purposes of implementing the Euratom Programme, except its direct actions, the Commission should be assisted by a consultative committee of Member States to ensure appropriate coordination with national policies in the areas covered by this research and training programme. |

Text proposed by the Commission

Amendment

(25)

Article 7 of the Euratom Treaty entrusts the Commission with the responsibility of carrying out the Euratom Programme. For the purposes of implementing the Euratom Programme, except its direct actions, the Commission should be assisted by a consultative committee of Member States to ensure appropriate coordination with national policies in the areas covered by this research and training programme.

| (25) | Article 7 of the Euratom Treaty entrusts the Commission with the responsibility of carrying out the Euratom Programme. For the purposes of implementing the Euratom Programme, except its direct actions, the Commission should be assisted by a consultative committee of Member States to ensure appropriate coordination with national policies in the areas covered by this research and training programme
  and to foster strong synergies and complementarities between European, national and regional funds. The European Parliament should be involved in the Commission’s implementation of the Euratom Programme
  . |
| --- | --- |

(25)

Article 7 of the Euratom Treaty entrusts the Commission with the responsibility of carrying out the Euratom Programme. For the purposes of implementing the Euratom Programme, except its direct actions, the Commission should be assisted by a consultative committee of Member States to ensure appropriate coordination with national policies in the areas covered by this research and training programme
  and to foster strong synergies and complementarities between European, national and regional funds. The European Parliament should be involved in the Commission’s implementation of the Euratom Programme
  .

Amendment 20

Proposal for a regulation

Recital 25a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (25a) | The spending of Union and Member States’ funds on research and innovation should be better coordinated in order to assure complementarity, better efficiency and visibility, as well as to achieve better budgetary synergies. |

Text proposed by the Commission

Amendment

(25a)

Amendment 21

Proposal for a regulation

Recital 29 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (29a) | Following the entry into force of the Lisbon Treaty and the enhanced role granted to the European Parliament in terms of budgetary procedure, the current legal framework should be discussed. |

Text proposed by the Commission

Amendment

(29a)

Following the entry into force of the Lisbon Treaty and the enhanced role granted to the European Parliament in terms of budgetary procedure, the current legal framework should be discussed.

Amendment 22

Proposal for a regulation

Article 2 — point e a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ea) | ‘small and medium-sized enterprise (SME)’ means a legal entity fulfilling the criteria laid down in the Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises

   (3)

  . |

Text proposed by the Commission

Amendment

(ea)

‘small and medium-sized enterprise (SME)’ means a legal entity fulfilling the criteria laid down in the Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises

   (3)

  .

Amendment 23

Proposal for a regulation

Article 3 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The general objective of the Euratom Programme is to improve nuclear safety, security and radiation protection, and to contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way. The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article. | 1.   The general objective of the Euratom Programme is to improve nuclear safety, security and radiation protection, and to contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way
  , to contribute to other areas of research related to nuclear research such as medical research and to guarantee the long-term future of European nuclear research
  . The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article. |

Text proposed by the Commission

Amendment

1.   The general objective of the Euratom Programme is to improve nuclear safety, security and radiation protection, and to contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way. The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article.

1.   The general objective of the Euratom Programme is to improve nuclear safety, security and radiation protection, and to contribute to the long-term decarbonisation of the energy system in a safe, efficient and secure way
  , to contribute to other areas of research related to nuclear research such as medical research and to guarantee the long-term future of European nuclear research
  . The general objective shall be implemented through the activities specified in Annex I in the form of direct and indirect actions which pursue the specific objectives set out in paragraphs 2 and 3 of this Article.

Amendment 24

Proposal for a regulation

Article 3 — paragraph 2 — point a

| Text proposed by the Commission | Amendment |
| --- | --- |
| (a) | support safe operation of nuclear systems; |

Text proposed by the Commission

Amendment

(a)

support safe operation of nuclear systems;

| (a) | support safe operation of
  all existing and future civilian
  nuclear systems; |
| --- | --- |

(a)

support safe operation of
  all existing and future civilian
  nuclear systems;

Amendment 25

Proposal for a regulation

Article 3 — paragraph 2 — point c

| Text proposed by the Commission | Amendment |
| --- | --- |
| (c) | support the development and sustainability of nuclear competences at Union level; |

Text proposed by the Commission

Amendment

(c)

support the development and sustainability of nuclear competences at Union level;

| (c) | support
  the measures necessary to ensure suitably trained human resources and
  the development and sustainability of nuclear competences at Union level; |
| --- | --- |

(c)

support
  the measures necessary to ensure suitably trained human resources and
  the development and sustainability of nuclear competences at Union level;

Amendment 26

Proposal for a regulation

Article 3 — paragraph 2 — point d

| Text proposed by the Commission | Amendment |
| --- | --- |
| (d) | foster
  radiation protection; |

Text proposed by the Commission

Amendment

(d)

foster
  radiation protection;

| (d) | support R&D in the field of
  radiation protection;
  and seek to maintain the highest level of working conditions for those working directly with nuclear materials; |
| --- | --- |

(d)

support R&D in the field of
  radiation protection;
  and seek to maintain the highest level of working conditions for those working directly with nuclear materials;

Amendment 27

Proposal for a regulation

Article 3 — paragraph 2 — point d a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (da) | contribute to the R&D agenda resulting from the recommendations listed in the conclusions of the Union stress-tests (e.g. seismic modelling, core melt behaviour,...); |

Text proposed by the Commission

Amendment

(da)

contribute to the R&D agenda resulting from the recommendations listed in the conclusions of the Union stress-tests (e.g. seismic modelling, core melt behaviour,...);

Amendment 28

Proposal for a regulation

Article 3 — paragraph 2 — point d b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (db) | support the long-term sustainability of nuclear fission through improvements in the field of reactor time extension or in the design of new reactor types; |

Text proposed by the Commission

Amendment

(db)

support the long-term sustainability of nuclear fission through improvements in the field of reactor time extension or in the design of new reactor types;

Amendment 29

Proposal for a regulation

Article 3 — paragraph 2 — point f

| Text proposed by the Commission | Amendment |
| --- | --- |
| (f) | lay the foundations for future fusion power plants by developing materials, technologies and conceptual design; |

Text proposed by the Commission

Amendment

(f)

lay the foundations for future fusion power plants by developing materials, technologies and conceptual design;

| (f) | lay the foundations for future fusion
  and fission
  power plants by developing materials, technologies and conceptual design; |
| --- | --- |

(f)

lay the foundations for future fusion
  and fission
  power plants by developing materials, technologies and conceptual design;

Amendment 30

Proposal for a regulation

Article 3 — paragraph 2 — point g

| Text proposed by the Commission | Amendment |
| --- | --- |
| (g) | promote innovation and industrial
  competitiveness
  ; |

Text proposed by the Commission

Amendment

(g)

promote innovation and industrial
  competitiveness
  ;

| (g) | promote innovation and
  European
  industrial
  leadership in fission and fusion
  ; |
| --- | --- |

(g)

promote innovation and
  European
  industrial
  leadership in fission and fusion
  ;

Amendment 31

Proposal for a regulation

Article 3 — paragraph 2 — point g a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ga) | support the three priorities of Horizon 2020: excellent science, industrial leadership and societal challenges; |

Text proposed by the Commission

Amendment

(ga)

support the three priorities of Horizon 2020: excellent science, industrial leadership and societal challenges;

Amendment 32

Proposal for a regulation

Article 3 — paragraph 2 — point (h)

| Text proposed by the Commission | Amendment |
| --- | --- |
| (h) | ensure availability and use of research infrastructures of pan-European relevance; |

Text proposed by the Commission

Amendment

(h)

ensure availability and use of research infrastructures of pan-European relevance;

| (h) | ensure availability and use
  , and promote the development, of new
  research infrastructures of pan-European relevance; |
| --- | --- |

(h)

ensure availability and use
  , and promote the development, of new
  research infrastructures of pan-European relevance;

Amendment 33

Proposal for a regulation

Article 3 — paragraph 3 — point a

| Text proposed by the Commission | Amendment |
| --- | --- |
| (a) | improve nuclear safety including: fuel and reactor safety, waste management and decommissioning,
  and
  emergency preparedness; |

Text proposed by the Commission

Amendment

(a)

improve nuclear safety including: fuel and reactor safety, waste management and decommissioning,
  and
  emergency preparedness;

| (a) | improve nuclear safety including: fuel and reactor safety, waste management and decommissioning, emergency preparedness,
  working conditions for those working directly with nuclear materials and dealing with the direct consequences of nuclear safety incidents, however unlikely they may be
  ; |
| --- | --- |

(a)

improve nuclear safety including: fuel and reactor safety, waste management and decommissioning, emergency preparedness,
  working conditions for those working directly with nuclear materials and dealing with the direct consequences of nuclear safety incidents, however unlikely they may be
  ;

Amendment 34

Proposal for a regulation

Article 3 — paragraph 3 — point d

| Text proposed by the Commission | Amendment |
| --- | --- |
| (d) | foster knowledge management, education and training; |

Text proposed by the Commission

Amendment

(d)

foster knowledge management, education and training;

| (d) | foster knowledge management, education and training
  , including increasing the uptake of nuclear research among European scientists as well as attracting those from outside the Union
  ; |
| --- | --- |

(d)

foster knowledge management, education and training
  , including increasing the uptake of nuclear research among European scientists as well as attracting those from outside the Union
  ;

Amendment 35

Proposal for a regulation

Article 3 — paragraph 3 — point e

| Text proposed by the Commission | Amendment |
| --- | --- |
| (e) | support the policy of the Union on nuclear safety and security and the related evolving Union legislation. |

Text proposed by the Commission

Amendment

(e)

support the policy of the Union on nuclear safety and security and the related evolving Union legislation.

| (e) | support the policy of the Union on nuclear safety and security and the related evolving Union legislation
  , including working towards the development of internationally recognised standards of nuclear safety for fission reactors; |
| --- | --- |

(e)

support the policy of the Union on nuclear safety and security and the related evolving Union legislation
  , including working towards the development of internationally recognised standards of nuclear safety for fission reactors;

Amendment 36

Proposal for a regulation

Article 3 — paragraph 3 — point e a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ea) | address any skills shortage in relation to nuclear expertise and prevent any future skills leakage or ‘brain drain’ of nuclear scientists from the Union; |

Text proposed by the Commission

Amendment

(ea)

address any skills shortage in relation to nuclear expertise and prevent any future skills leakage or ‘brain drain’ of nuclear scientists from the Union;

Amendment 37

Proposal for a regulation

Article 3 — paragraph 3 — point e b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (eb) | complement all required safety improvements suggested following the results of the stress tests carried out on all nuclear reactors in the Union and third countries that border the Union. This should focus on contributing to the R & D agenda resulting from their recommendations; |

Text proposed by the Commission

Amendment

(eb)

complement all required safety improvements suggested following the results of the stress tests carried out on all nuclear reactors in the Union and third countries that border the Union. This should focus on contributing to the R & D agenda resulting from their recommendations;

Amendment 38

Proposal for a regulation

Article 3 — paragraph 3 — point e c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ec) | support the simplification agenda of Horizon 2020, reducing the administrative burdens of previous framework programmes, in particular on SMEs, universities and smaller research institutes. |

Text proposed by the Commission

Amendment

(ec)

support the simplification agenda of Horizon 2020, reducing the administrative burdens of previous framework programmes, in particular on SMEs, universities and smaller research institutes.

Amendment 39

Proposal for a regulation

Article 3 — paragraph 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| 4.   The Euratom Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy making, markets and society. | 4.   The Euratom Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy making, markets and society
  , as well as the direct consequences of nuclear safety incidents, however unlikely they may be
  . |

Text proposed by the Commission

Amendment

4.   The Euratom Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy making, markets and society.

4.   The Euratom Programme shall be implemented in such a way as to ensure that the priorities and activities supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, policy making, markets and society
  , as well as the direct consequences of nuclear safety incidents, however unlikely they may be
  .

Amendment 40

Proposal for a regulation

Article 3 — paragraph 5 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 5a.
     
  The Euratom Programme shall contribute to implementing the SET-plan. Its indirect and direct actions shall be aligned with the Strategic Research Agenda of the three existing European technology platforms on nuclear energy: SNETP, IGDTP and MELODI. |

Text proposed by the Commission

Amendment

5a.
     
  The Euratom Programme shall contribute to implementing the SET-plan. Its indirect and direct actions shall be aligned with the Strategic Research Agenda of the three existing European technology platforms on nuclear energy: SNETP, IGDTP and MELODI.

Amendment 101/rev2

Proposal for a regulation

Article 4 — paragraph 1 — subparagraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The financial envelope for the implementation of the Euratom Programme shall be EUR
  1 788,889
   million. That amount shall be distributed as follows: | 1.   
  Within the meaning of point 18 of the Interinstitutional Agreement of... between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

   (4)

  (‘the IIA’),
  the financial envelope for the implementation of the Euratom Programme shall be EUR
  1 603,329
   million. That amount shall
  constitute the prime reference for the European Parliament and the Council during the annual budgetary procedure. It shall
  be distributed as follows: |
| (a) | indirect actions for the fusion research and development programme, EUR
  709,713
   million; |

Text proposed by the Commission

Amendment

1.   The financial envelope for the implementation of the Euratom Programme shall be EUR
  1 788,889
   million. That amount shall be distributed as follows:

1.   
  Within the meaning of point 18 of the Interinstitutional Agreement of... between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

   (4)

  (‘the IIA’),
  the financial envelope for the implementation of the Euratom Programme shall be EUR
  1 603,329
   million. That amount shall
  constitute the prime reference for the European Parliament and the Council during the annual budgetary procedure. It shall
  be distributed as follows:

(a)

indirect actions for the fusion research and development programme, EUR
  709,713
   million;

| (a) | indirect actions for the fusion research and development programme, EUR
  636,095
   million; |
| --- | --- |

(a)

indirect actions for the fusion research and development programme, EUR
  636,095
   million;

| (b) | indirect actions for nuclear fission, safety and radiation protection, EUR
  354,857
   million; |
| --- | --- |

(b)

indirect actions for nuclear fission, safety and radiation protection, EUR
  354,857
   million;

| (b) | indirect actions for nuclear fission, safety and radiation protection, EUR
  318,048
   million; |
| --- | --- |

(b)

indirect actions for nuclear fission, safety and radiation protection, EUR
  318,048
   million;

| (c) | direct actions, EUR
  724,319
   million. |
| --- | --- |

(c)

direct actions, EUR
  724,319
   million.

| (c) | direct actions, EUR
  649,186
   million. |
| --- | --- |

(c)

direct actions, EUR
  649,186
   million.

Amendment 45

Proposal for a regulation

Article 4 — paragraph 1 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| For the implementation of indirect actions of the Euratom Programme, no more than
  13.5
  % shall be for the Commission's administrative expenditure. | For the implementation of indirect actions of the Euratom Programme, no more than
  7
  % shall be for the Commission's administrative expenditure. |

Text proposed by the Commission

Amendment

For the implementation of indirect actions of the Euratom Programme, no more than
  13.5
  % shall be for the Commission's administrative expenditure.

For the implementation of indirect actions of the Euratom Programme, no more than
  7
  % shall be for the Commission's administrative expenditure.

Amendment 46

Proposal for a regulation

Article 4 — paragraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 1a.
     
  The ITER project shall be included within the Euratom Programme and funded from within the MFF in a complete and transparent way. |
| | Aspects of the project not directly related to research and training need not be included in the Euratom Programme funding. |

Text proposed by the Commission

Amendment

1a.
     
  The ITER project shall be included within the Euratom Programme and funded from within the MFF in a complete and transparent way.

Aspects of the project not directly related to research and training need not be included in the Euratom Programme funding.

Amendment
  47

Proposal for a regulation

Article 4 — paragraph 1 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 1b.
     
  The annual appropriations shall be authorised by the European Parliament and the Council without prejudice to the provisions of the Regulation laying down the multiannual financial framework for the years 2014-2020 and the IIA. |

Text proposed by the Commission

Amendment

1b.
     
  The annual appropriations shall be authorised by the European Parliament and the Council without prejudice to the provisions of the Regulation laying down the multiannual financial framework for the years 2014-2020 and the IIA.

Amendment 48

Proposal for a regulation

Article 4 — paragraph 4 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 4a.
     
  The Community shall work towards the wider and more frequent use of structural funds for nuclear research and shall ensure that funds are implemented in line with the Community's priorities in the area of research. |

Text proposed by the Commission

Amendment

4a.
     
  The Community shall work towards the wider and more frequent use of structural funds for nuclear research and shall ensure that funds are implemented in line with the Community's priorities in the area of research.

Amendment 49

Proposal for a regulation

Article 7 — paragraph 3 — subparagraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   The ‘Participant guarantee fund’ established pursuant to Regulation (EU) No XX/2012 [Rules for participation and dissemination] shall replace and succeed the Participant guarantee funds established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom) No
  XX/XX [Euratom Rules for participation 2012-2013]
  . | 3.   The ‘Participant guarantee fund’ established pursuant to Regulation (EU) No XX/2012 [Rules for participation and dissemination] shall replace and succeed the Participant guarantee funds established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom) No
  139/2012
  . |

Text proposed by the Commission

Amendment

3.   The ‘Participant guarantee fund’ established pursuant to Regulation (EU) No XX/2012 [Rules for participation and dissemination] shall replace and succeed the Participant guarantee funds established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom) No
  XX/XX [Euratom Rules for participation 2012-2013]
  .

3.   The ‘Participant guarantee fund’ established pursuant to Regulation (EU) No XX/2012 [Rules for participation and dissemination] shall replace and succeed the Participant guarantee funds established pursuant to Regulation (Euratom) No 1908/2006 and Regulation (Euratom) No
  139/2012
  .

Amendment 50

Proposal for a regulation

Article 7 — paragraph 3 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| Any sums from the Participant guarantee funds established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No
  XX/XX [Euratom Rules for participation (2012-2013)]
  shall be transferred to the Participant guarantee fund as of 31 December 2013. The participants in actions under Decision
  XX/XX [Euratom Programme 2012-2013]
  signing grant agreements after 31 December 2013 shall make their contribution to the Participant guarantee fund. | Any sums from the Participant guarantee funds established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No
  139/2012
  shall be transferred to the Participant guarantee fund as of 31 December 2013. The participants in actions under Decision
  2012/94/Euratom
  signing grant agreements after 31 December 2013 shall make their contribution to the Participant guarantee fund. |

Text proposed by the Commission

Amendment

Any sums from the Participant guarantee funds established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No
  XX/XX [Euratom Rules for participation (2012-2013)]
  shall be transferred to the Participant guarantee fund as of 31 December 2013. The participants in actions under Decision
  XX/XX [Euratom Programme 2012-2013]
  signing grant agreements after 31 December 2013 shall make their contribution to the Participant guarantee fund.

Any sums from the Participant guarantee funds established pursuant to Regulations (Euratom) No 1908/2006 and (Euratom) No
  139/2012
  shall be transferred to the Participant guarantee fund as of 31 December 2013. The participants in actions under Decision
  2012/94/Euratom
  signing grant agreements after 31 December 2013 shall make their contribution to the Participant guarantee fund.

Amendment 51

Proposal for a regulation

Article 8 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2a.
     
  Programmes aimed at increasing both current and planned innovative research should be opened up to allow nuclear research as part of their list of applicable research categories. The Eureka Eurostars Programme and the Marie Curie Actions should widen their rules of participation to allow SMEs involved in nuclear research to participate. |

Text proposed by the Commission

Amendment

2a.
     
  Programmes aimed at increasing both current and planned innovative research should be opened up to allow nuclear research as part of their list of applicable research categories. The Eureka Eurostars Programme and the Marie Curie Actions should widen their rules of participation to allow SMEs involved in nuclear research to participate.

Amendment 52

Proposal for a regulation

Article 9

| Text proposed by the Commission | Amendment |
| --- | --- |
| The Euratom Programme shall ensure the effective promotion of gender equality and the gender dimension in
  research
  and
  innovation content. | The Euratom Programme shall ensure the effective promotion of gender equality and the gender dimension
  and support the aim of Horizon 2020 to address gender as a cross-cutting issue
  in
  order to rectify imbalances between men
  and
  women. |

Text proposed by the Commission

Amendment

The Euratom Programme shall ensure the effective promotion of gender equality and the gender dimension in
  research
  and
  innovation content.

The Euratom Programme shall ensure the effective promotion of gender equality and the gender dimension
  and support the aim of Horizon 2020 to address gender as a cross-cutting issue
  in
  order to rectify imbalances between men
  and
  women.

Amendment 53

Proposal for a regulation

Article 10 — paragraph 1 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of
  a person
  , the right to non-discrimination and the need to ensure high levels of human health protection. | Particular attention shall be paid to the principle of proportionality
  , the protection of human dignity, the principle of the primacy of the human being
  , the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of
  human beings
  , the right to non-discrimination and the need to ensure high levels of human health protection. |

Text proposed by the Commission

Amendment

Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of
  a person
  , the right to non-discrimination and the need to ensure high levels of human health protection.

Particular attention shall be paid to the principle of proportionality
  , the protection of human dignity, the principle of the primacy of the human being
  , the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of
  human beings
  , the right to non-discrimination and the need to ensure high levels of human health protection.

Amendment 54

Proposal for a regulation

Article 11 — paragraph 2 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| That multi-annual work programme shall
  also
  take account of relevant research activities carried out by the Member States, associated countries and European and international organisations. They shall be updated as and where appropriate. | That multi-annual work programme shall
  be submitted to the JRC Board of Governors and presented to the European Parliament and the Council. It
  shall take account of relevant research activities carried out by the Member States, associated countries and European and international organisations
  , so as to avoid any waste of research effort in Europe and to make the best use of the financial resources
  . It shall be updated as and where appropriate. |

Text proposed by the Commission

Amendment

That multi-annual work programme shall
  also
  take account of relevant research activities carried out by the Member States, associated countries and European and international organisations. They shall be updated as and where appropriate.

That multi-annual work programme shall
  be submitted to the JRC Board of Governors and presented to the European Parliament and the Council. It
  shall take account of relevant research activities carried out by the Member States, associated countries and European and international organisations
  , so as to avoid any waste of research effort in Europe and to make the best use of the financial resources
  . It shall be updated as and where appropriate.

Amendment 55

Proposal for a regulation

Article 11 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   The work programmes shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate. | 3.   The work programmes shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate
  , keeping in mind the aims and objectives of Horizon 2020
  . |

Text proposed by the Commission

Amendment

3.   The work programmes shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate.

3.   The work programmes shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall be updated as and where appropriate
  , keeping in mind the aims and objectives of Horizon 2020
  .

Amendment 56

Proposal for a regulation

Article 14

| Text proposed by the Commission | Amendment |
| --- | --- |
| Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SME) in the Euratom Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements. | 1.
     Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SME) in the Euratom Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements. |
| | 2.
     
  Given the importance of the SME sector to the European economy and the current under-representation of SMEs in the nuclear industry, the Euratom Programme shall, in line with the objectives of Horizon 2020, support all efforts to ease the administrative burden placed on SMEs. |

Text proposed by the Commission

Amendment

Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SME) in the Euratom Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements.

1.
     Particular attention shall be paid to ensuring the adequate participation of, and innovation impact on, small and medium-sized enterprises (SME) in the Euratom Programme. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements.

2.
     
  Given the importance of the SME sector to the European economy and the current under-representation of SMEs in the nuclear industry, the Euratom Programme shall, in line with the objectives of Horizon 2020, support all efforts to ease the administrative burden placed on SMEs.

Amendment 57

Proposal for a regulation

Article 16 — paragraph 1 — subparagraph 1 — point c a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (ca) | combat all forms of nuclear proliferation and trafficking; |

Text proposed by the Commission

Amendment

(ca)

combat all forms of nuclear proliferation and trafficking;

Amendment 58

Proposal for a regulation

Article 16 — paragraph 1 — subparagraph 1 — point c b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (cb) | support international efforts in respect of developing common international safety standards; |

Text proposed by the Commission

Amendment

(cb)

support international efforts in respect of developing common international safety standards;

Amendment 59

Proposal for a regulation

Article 16 — paragraph 1 — subparagraph 1 — point c c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (cc) | contribute to the improvement of knowledge exchange. |

Text proposed by the Commission

Amendment

(cc)

contribute to the improvement of knowledge exchange.

Amendment 60

Proposal for a regulation

Article 16 — paragraph 2 — subparagraph 3 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Particular attention shall be paid to all reactors and nuclear installations located in third countries but which are geographically very close to Member State territory, especially when such reactors and installations are located close to hazardous geographical or geological locations. |

Text proposed by the Commission

Amendment

Particular attention shall be paid to all reactors and nuclear installations located in third countries but which are geographically very close to Member State territory, especially when such reactors and installations are located close to hazardous geographical or geological locations.

Amendment 61

Proposal for a regulation

Article 17 — paragraph 2 — point a

| Text proposed by the Commission | Amendment |
| --- | --- |
| (a) | initiatives aimed at widening awareness and facilitating access to funding under the Euratom Programme, in particular for those regions or types of participant that are underrepresented; |

Text proposed by the Commission

Amendment

(a)

initiatives aimed at widening awareness and facilitating access to funding under the Euratom Programme, in particular for those regions or types of participant that are underrepresented;

| (a) | initiatives aimed at widening awareness and facilitating access to funding under the Euratom Programme, in particular for those regions or types of participant that are underrepresented
  and in particular for SMEs to increase their uptake of available funding and participation in appropriate programmes. |
| --- | --- |

(a)

initiatives aimed at widening awareness and facilitating access to funding under the Euratom Programme, in particular for those regions or types of participant that are underrepresented
  and in particular for SMEs to increase their uptake of available funding and participation in appropriate programmes.

Amendment 62

Proposal for a regulation

Article 17 — paragraph 2 — subparagraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | The attempts at increased simplification in terms of participation shall be communicated to all participants, including SMEs and academic institutions. |

Text proposed by the Commission

Amendment

The attempts at increased simplification in terms of participation shall be communicated to all participants, including SMEs and academic institutions.

Amendment 63

Proposal for a regulation

Article 19 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties. | 1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.
  The European Parliament shall be informed of such measures. |

Text proposed by the Commission

Amendment

1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.

1.   The Commission shall take appropriate measures ensuring that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, where irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.
  The European Parliament shall be informed of such measures.

Amendment 64

Proposal for a regulation

Article 19 — paragraph 2 — subparagraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   The Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Regulation. | 2.   The
  European Parliament, the
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Regulation. |

Text proposed by the Commission

Amendment

2.   The Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Regulation.

2.   The
  European Parliament, the
  Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on-the-spot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under this Regulation.

Amendment 65

Proposal for a regulation

Article 19 — paragraph 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| 4.   Without prejudice to the paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections. | 4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.
  The European Parliament shall be informed of the result of such audits without delay. |

Text proposed by the Commission

Amendment

4.   Without prejudice to the paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.

4.   Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and international organisations, grant agreements, grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and the OLAF to conduct audits, on-the-spot checks and inspections.
  The European Parliament shall be informed of the result of such audits without delay.

Amendment 66

Proposal for a regulation

Article 21 — paragraph 1 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| By 31 May
  2017
  , and taking into account the ex-post evaluation of the Euratom 7 Framework Programme established by Decision 2006/970/Euratom and of the Euratom Programme (2012-2013) established by Decision 20XX/XX/Euratom to be completed by the end of 2015, the Commission shall carry out, with the assistance of independent experts, an interim evaluation of the Euratom Programme on the achievements, at the level of results and progress towards impacts, of the objectives and continued relevance of all the measures, the efficiency and use of resources, the scope for further simplification, and European added value. The evaluation shall additionally take into account the contribution of the measures to the Union priorities of smart, sustainable and inclusive growth and results on the long-term impact of the predecessor measures. | By 31 May
  2016
  , and taking into account the ex-post evaluation of the Euratom Seventh Framework Programme established by Decision 2006/970/Euratom and of the Euratom Programme (2012-2013) established by Decision 2012/93/Euratom to be completed by the end of 2015, the Commission shall carry out, with the assistance of independent experts, an interim evaluation of the Euratom Programme on the achievements, at the level of results and progress towards impacts, of the objectives and continued relevance of all the measures, the efficiency and use of resources, the scope for further simplification, and European added value.
  This evaluation shall also take into consideration aspects relating to access to funding opportunities for extending the excellence of the Union’s science and innovation base for SMEs and for promoting gender balance.
  The evaluation shall additionally take into account the contribution of the measures to the Union priorities of smart, sustainable and inclusive growth and results on the long-term impact of the predecessor measures. |

Text proposed by the Commission

Amendment

By 31 May
  2017
  , and taking into account the ex-post evaluation of the Euratom 7 Framework Programme established by Decision 2006/970/Euratom and of the Euratom Programme (2012-2013) established by Decision 20XX/XX/Euratom to be completed by the end of 2015, the Commission shall carry out, with the assistance of independent experts, an interim evaluation of the Euratom Programme on the achievements, at the level of results and progress towards impacts, of the objectives and continued relevance of all the measures, the efficiency and use of resources, the scope for further simplification, and European added value. The evaluation shall additionally take into account the contribution of the measures to the Union priorities of smart, sustainable and inclusive growth and results on the long-term impact of the predecessor measures.

By 31 May
  2016
  , and taking into account the ex-post evaluation of the Euratom Seventh Framework Programme established by Decision 2006/970/Euratom and of the Euratom Programme (2012-2013) established by Decision 2012/93/Euratom to be completed by the end of 2015, the Commission shall carry out, with the assistance of independent experts, an interim evaluation of the Euratom Programme on the achievements, at the level of results and progress towards impacts, of the objectives and continued relevance of all the measures, the efficiency and use of resources, the scope for further simplification, and European added value.
  This evaluation shall also take into consideration aspects relating to access to funding opportunities for extending the excellence of the Union’s science and innovation base for SMEs and for promoting gender balance.
  The evaluation shall additionally take into account the contribution of the measures to the Union priorities of smart, sustainable and inclusive growth and results on the long-term impact of the predecessor measures.

Amendment 67

Proposal for a regulation

Article 21 — paragraph 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| 4.   Member States shall provide the Commission with data and information necessary for the monitoring and evaluation of the measures concerned. | 4.   Member States shall provide the
  European Parliament and
  the Commission with data and information necessary for the monitoring and evaluation of the measures concerned. |

Text proposed by the Commission

Amendment

4.   Member States shall provide the Commission with data and information necessary for the monitoring and evaluation of the measures concerned.

4.   Member States shall provide the
  European Parliament and
  the Commission with data and information necessary for the monitoring and evaluation of the measures concerned.

Amendment 68

Proposal for a regulation

Annex I — part 1 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| The Euratom Programme shall strengthen the research and innovation framework in the nuclear field and coordinate Member States’ research efforts, thereby avoiding duplication, retaining critical mass in key areas and ensuring that public funding is used in an optimal way. | The Euratom Programme shall strengthen the research and innovation framework in the nuclear field and coordinate Member States’ research efforts, thereby avoiding duplication,
  providing Union added value,
  retaining
  key skills and
  critical mass in key areas and ensuring that public funding is used in an optimal way. |

Text proposed by the Commission

Amendment

The Euratom Programme shall strengthen the research and innovation framework in the nuclear field and coordinate Member States’ research efforts, thereby avoiding duplication, retaining critical mass in key areas and ensuring that public funding is used in an optimal way.

The Euratom Programme shall strengthen the research and innovation framework in the nuclear field and coordinate Member States’ research efforts, thereby avoiding duplication,
  providing Union added value,
  retaining
  key skills and
  critical mass in key areas and ensuring that public funding is used in an optimal way.

Amendment 69

Proposal for a regulation

Annex I — part 1 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| The strategy to develop fusion as a credible option for commercial carbon-free energy production shall follow a roadmap with milestones towards the goal of electricity production by 2050. To implement that strategy, a
  radical
  restructuring of fusion-related work in the Union, including governance
  , funding
  and management, shall be carried out to ensure a shift of emphasis from pure research to designing, building and operating future facilities such as ITER, DEMO and beyond. That shall require a close cooperation between the entire Union fusion community, the Commission and
  the national funding agencies
  . | The strategy to develop fusion as a credible option for commercial carbon-free energy production shall follow a roadmap with milestones towards the goal of electricity production by 2050. To implement that strategy, a restructuring of fusion-related work in the Union, including governance and management, shall be carried out to ensure a shift of emphasis from pure research to designing, building and operating future facilities such as ITER, DEMO and beyond. That shall require a close cooperation between the entire Union fusion community, the Commission and
  Member States
  . |

Text proposed by the Commission

Amendment

The strategy to develop fusion as a credible option for commercial carbon-free energy production shall follow a roadmap with milestones towards the goal of electricity production by 2050. To implement that strategy, a
  radical
  restructuring of fusion-related work in the Union, including governance
  , funding
  and management, shall be carried out to ensure a shift of emphasis from pure research to designing, building and operating future facilities such as ITER, DEMO and beyond. That shall require a close cooperation between the entire Union fusion community, the Commission and
  the national funding agencies
  .

The strategy to develop fusion as a credible option for commercial carbon-free energy production shall follow a roadmap with milestones towards the goal of electricity production by 2050. To implement that strategy, a restructuring of fusion-related work in the Union, including governance and management, shall be carried out to ensure a shift of emphasis from pure research to designing, building and operating future facilities such as ITER, DEMO and beyond. That shall require a close cooperation between the entire Union fusion community, the Commission and
  Member States
  .

Amendment 70

Proposal for a regulation

Annex I — part 2 — point 2.1 — point d — heading

| Text proposed by the Commission | Amendment |
| --- | --- |
| (d) | Foster
  radiation protection (Excellent science; Societal challenges) |

Text proposed by the Commission

Amendment

(d)

Foster
  radiation protection (Excellent science; Societal challenges)

| (d) | Support R&D in the field of
  radiation protection (Excellent science; Societal challenges) |
| --- | --- |

(d)

Support R&D in the field of
  radiation protection (Excellent science; Societal challenges)

Amendment 71

Proposal for a regulation

Annex I — part 2 — point 2.1 — point e — paragraph - 1 (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Support activities for the joint realisation of ITER as an international research infrastructure. The Community will have a special responsibility within the ITER Organisation as the host of the project and will assume a leading role, in particular regarding site preparation, establishing the ITER Organisation, management and staffing, plus general technical and administrative support. |
| | Support activities agreed upon in Council Decision XXXX/XXX/EU [on the adoption of a Supplementary Research Programme for the ITER project (2014-2018)] to manage the project. |

Text proposed by the Commission

Amendment

Support activities for the joint realisation of ITER as an international research infrastructure. The Community will have a special responsibility within the ITER Organisation as the host of the project and will assume a leading role, in particular regarding site preparation, establishing the ITER Organisation, management and staffing, plus general technical and administrative support.

Support activities agreed upon in Council Decision XXXX/XXX/EU [on the adoption of a Supplementary Research Programme for the ITER project (2014-2018)] to manage the project.

Amendment 72

Proposal for a regulation

Annex I — part 2 — point 2.1 — point i — paragraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | The legal entity shall support all efforts to continue the work of JET beyond its 2015 end of experimental phase, and support where possible all efforts aimed at attracting international partners to help provide additional funding. Such efforts should include reciprocal agreements for future Union involvement in DEMO and other planned fusion reactors. |

Text proposed by the Commission

Amendment

The legal entity shall support all efforts to continue the work of JET beyond its 2015 end of experimental phase, and support where possible all efforts aimed at attracting international partners to help provide additional funding. Such efforts should include reciprocal agreements for future Union involvement in DEMO and other planned fusion reactors.

Amendment 73

Proposal for a regulation

Annex I — part 2 — point 2.2 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| The nuclear activities of the JRC shall aim to support the implementation of Council Directives 2009/71/Euratom and 2011/70/Euratom, as well as Council Conclusions giving priority to the highest standards for nuclear safety and security in the Union and internationally. The JRC shall notably mobilise the necessary capacity and expertise in order to contribute to
  assess and improve the safety of nuclear installations
  and the peaceful use of nuclear energy and other non fission applications, to provide a scientific basis to relevant Union legisation and, where necessary, to react within the limits of its mission and competence to nuclear incidents and accidents. To that effect, the JRC shall carry out research and assessments, provide references and standards and deliver dedicated training and education. Synergies with the Sustainable Nuclear Energy Technology Platform (SNETP) and other cross-cutting initiatives will be sought
  as appropriate
  . | The nuclear activities of the JRC shall aim to support the implementation of Council Directives 2009/71/Euratom and 2011/70/Euratom, as well as Council Conclusions giving priority to the highest standards for nuclear safety and security in the Union and internationally. The JRC shall notably mobilise the necessary capacity and expertise in order to contribute to
  R&D in the field of nuclear installation safety
  and the peaceful use of nuclear energy and other non fission applications, to provide a scientific basis to relevant Union legislation and, where necessary, to react within the limits of its mission and competence to nuclear incidents and accidents. To that effect, the JRC shall carry out research and assessments, provide references and standards and deliver dedicated training and education. Synergies with the Sustainable Nuclear Energy Technology Platform (SNETP) and other cross-cutting initiatives will be sought
  as a matter of necessity, in order to optimise the human and financial resources for nuclear R&D in Europe
  .
  The JRC shall keep in mind the published results of the ‘stress tests’ carried out in 2011 on all existing nuclear reactors in line with Union regulations. |

Text proposed by the Commission

Amendment

The nuclear activities of the JRC shall aim to support the implementation of Council Directives 2009/71/Euratom and 2011/70/Euratom, as well as Council Conclusions giving priority to the highest standards for nuclear safety and security in the Union and internationally. The JRC shall notably mobilise the necessary capacity and expertise in order to contribute to
  assess and improve the safety of nuclear installations
  and the peaceful use of nuclear energy and other non fission applications, to provide a scientific basis to relevant Union legisation and, where necessary, to react within the limits of its mission and competence to nuclear incidents and accidents. To that effect, the JRC shall carry out research and assessments, provide references and standards and deliver dedicated training and education. Synergies with the Sustainable Nuclear Energy Technology Platform (SNETP) and other cross-cutting initiatives will be sought
  as appropriate
  .

The nuclear activities of the JRC shall aim to support the implementation of Council Directives 2009/71/Euratom and 2011/70/Euratom, as well as Council Conclusions giving priority to the highest standards for nuclear safety and security in the Union and internationally. The JRC shall notably mobilise the necessary capacity and expertise in order to contribute to
  R&D in the field of nuclear installation safety
  and the peaceful use of nuclear energy and other non fission applications, to provide a scientific basis to relevant Union legislation and, where necessary, to react within the limits of its mission and competence to nuclear incidents and accidents. To that effect, the JRC shall carry out research and assessments, provide references and standards and deliver dedicated training and education. Synergies with the Sustainable Nuclear Energy Technology Platform (SNETP) and other cross-cutting initiatives will be sought
  as a matter of necessity, in order to optimise the human and financial resources for nuclear R&D in Europe
  .
  The JRC shall keep in mind the published results of the ‘stress tests’ carried out in 2011 on all existing nuclear reactors in line with Union regulations.

Amendment 74

Proposal for a regulation

Annex I — part 2 — point 2.2 — point a — heading

| Text proposed by the Commission | Amendment |
| --- | --- |
| (a) | Improve nuclear safety including: fuel and reactor safety, waste management and decommissioning, and emergency preparedness |

Text proposed by the Commission

Amendment

(a)

Improve nuclear safety including: fuel and reactor safety, waste management and decommissioning, and emergency preparedness

| (a) | Improve nuclear safety including: fuel and reactor safety, waste management and decommissioning,
  improve working conditions of those working with nuclear materials
  and emergency preparedness |
| --- | --- |

(a)

Improve nuclear safety including: fuel and reactor safety, waste management and decommissioning,
  improve working conditions of those working with nuclear materials
  and emergency preparedness

Amendment 77

Proposal for a regulation

Annex I — part 2 — point 2.2 — point a — paragraph - 1 (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Decommissioning and dismantling are promising market areas, given the relevant scientific advances and safety imperatives. The Union must acquire the best possible technologies for this work, which will involve increasingly sophisticated techniques (such as underwater cutting, laser cutting and state-of-the-art robots to eliminate human intervention). |

Text proposed by the Commission

Amendment

Decommissioning and dismantling are promising market areas, given the relevant scientific advances and safety imperatives. The Union must acquire the best possible technologies for this work, which will involve increasingly sophisticated techniques (such as underwater cutting, laser cutting and state-of-the-art robots to eliminate human intervention).

Amendment 75

Proposal for a regulation

Annex I — part 2 — point 2.2 — point a — paragraph 1 — introductory part

| Text proposed by the Commission | Amendment |
| --- | --- |
| The JRC shall contribute to the development of tools and methods to achieve high safety standards for nuclear power reactors and fuel cycles relevant to Europe. Those tools and methods shall include: | The JRC shall
  , in close cooperation with the relevant research bodies in the Union,
  contribute to the development of tools and methods to achieve high safety standards for nuclear power reactors and fuel cycles relevant to Europe. Those tools and methods shall include: |

Text proposed by the Commission

Amendment

The JRC shall contribute to the development of tools and methods to achieve high safety standards for nuclear power reactors and fuel cycles relevant to Europe. Those tools and methods shall include:

The JRC shall
  , in close cooperation with the relevant research bodies in the Union,
  contribute to the development of tools and methods to achieve high safety standards for nuclear power reactors and fuel cycles relevant to Europe. Those tools and methods shall include:

Amendment 76

Proposal for a regulation

Annex I — part 2 — point 2.2 — point a — paragraph 1 — point 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| (1) | severe accident analyses modelling and methodologies for assessment of nuclear installations operational safety margins; support to the establishment of a common European approach to the evaluation of advanced fuel cycles and designs; and investigation and dissemination of the lessons learnt from the operational experience. The JRC shall
  further reinforce its
  ‘European Clearinghouse on NPP Operational Experience Feedback’ to respond to the emerging post-Fukushima nuclear safety challenges. |

Text proposed by the Commission

Amendment

(1)

severe accident analyses modelling and methodologies for assessment of nuclear installations operational safety margins; support to the establishment of a common European approach to the evaluation of advanced fuel cycles and designs; and investigation and dissemination of the lessons learnt from the operational experience. The JRC shall
  further reinforce its
  ‘European Clearinghouse on NPP Operational Experience Feedback’ to respond to the emerging post-Fukushima nuclear safety challenges.

| (1) | severe accident analyses modelling and methodologies for assessment of nuclear installations operational safety margins; support to the establishment of a common European approach to the evaluation of advanced fuel cycles and designs; and investigation and dissemination of the lessons learnt from the operational experience. The JRC shall
  pursue the work of the
  ‘European Clearinghouse on NPP Operational Experience Feedback’ to respond to the emerging post-Fukushima nuclear safety challenges
  , continuing to draw on relevant expertise in the Member States
  . |
| --- | --- |

(1)

severe accident analyses modelling and methodologies for assessment of nuclear installations operational safety margins; support to the establishment of a common European approach to the evaluation of advanced fuel cycles and designs; and investigation and dissemination of the lessons learnt from the operational experience. The JRC shall
  pursue the work of the
  ‘European Clearinghouse on NPP Operational Experience Feedback’ to respond to the emerging post-Fukushima nuclear safety challenges
  , continuing to draw on relevant expertise in the Member States
  .

Amendment 78

Proposal for a regulation

Annex I — part 2 — point 2.2 — point c — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| The JRC shall further develop the scientific basis for nuclear safety and security. Emphasis shall be given to research on fundamental properties and behaviour of actinides, structural and nuclear materials. In support to Union standardisation, the JRC shall provide state-of-the-art nuclear standards, reference data and measurements, including the development and implementation of relevant databases and assessment tools. The JRC shall support the further development of medical applications, namely new cancer therapies based on alpha irradiation. | The JRC shall further develop the scientific basis for nuclear safety and security. Emphasis shall be given to research on fundamental properties and behaviour of actinides, structural and nuclear materials. In support to Union standardisation, the JRC shall provide state-of-the-art nuclear standards, reference data and measurements, including the development and implementation of relevant databases and assessment tools. The JRC shall support the further development of medical applications, namely new cancer therapies based on alpha irradiation.
  The JRC shall keep in mind the aims of Horizon 2020 as well as the need to avoid a European skills gap or ‘brain drain’. |

Text proposed by the Commission

Amendment

The JRC shall further develop the scientific basis for nuclear safety and security. Emphasis shall be given to research on fundamental properties and behaviour of actinides, structural and nuclear materials. In support to Union standardisation, the JRC shall provide state-of-the-art nuclear standards, reference data and measurements, including the development and implementation of relevant databases and assessment tools. The JRC shall support the further development of medical applications, namely new cancer therapies based on alpha irradiation.

The JRC shall further develop the scientific basis for nuclear safety and security. Emphasis shall be given to research on fundamental properties and behaviour of actinides, structural and nuclear materials. In support to Union standardisation, the JRC shall provide state-of-the-art nuclear standards, reference data and measurements, including the development and implementation of relevant databases and assessment tools. The JRC shall support the further development of medical applications, namely new cancer therapies based on alpha irradiation.
  The JRC shall keep in mind the aims of Horizon 2020 as well as the need to avoid a European skills gap or ‘brain drain’.

Amendment 79

Proposal for a regulation

Annex I — part 2 — point 2.2 — point e — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| JRC shall foster its competence in order to provide the independent scientific and technical evidence necessary to support the evolving Union legislation on nuclear safety and security. | JRC shall foster its competence in order to provide the independent scientific and technical evidence necessary to support the evolving Union legislation on nuclear safety and security
  and support higher standards internationally
  .
  The precise nature of this research must be determined subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants. |

Text proposed by the Commission

Amendment

JRC shall foster its competence in order to provide the independent scientific and technical evidence necessary to support the evolving Union legislation on nuclear safety and security.

JRC shall foster its competence in order to provide the independent scientific and technical evidence necessary to support the evolving Union legislation on nuclear safety and security
  and support higher standards internationally
  .
  The precise nature of this research must be determined subject to guidelines to be adopted by the Union institutions, particularly in the light of the stress tests on nuclear power plants.

Amendment 80

Proposal for a regulation

Annex I — part 3 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| In order to achieve its general objectives, the Euratom Programme shall support complementary activities (direct and indirect, coordination and stimulating joint programming) that ensure synergy of research efforts in solving common challenges (such as materials, coolant technology, reference nuclear data, modelling and simulation, remote handling, waste management, radiation protection). | In order to achieve its general objectives, the Euratom Programme shall support complementary activities (direct and indirect,
  worker protection,
  coordination and stimulating joint programming) that ensure synergy of research efforts in solving common challenges (such as materials, coolant technology, reference nuclear data, modelling and simulation, remote handling, waste management, radiation protection). |

Text proposed by the Commission

Amendment

In order to achieve its general objectives, the Euratom Programme shall support complementary activities (direct and indirect, coordination and stimulating joint programming) that ensure synergy of research efforts in solving common challenges (such as materials, coolant technology, reference nuclear data, modelling and simulation, remote handling, waste management, radiation protection).

In order to achieve its general objectives, the Euratom Programme shall support complementary activities (direct and indirect,
  worker protection,
  coordination and stimulating joint programming) that ensure synergy of research efforts in solving common challenges (such as materials, coolant technology, reference nuclear data, modelling and simulation, remote handling, waste management, radiation protection).

Amendment 81

Proposal for a regulation

Annex I — part 4 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| The Euratom Programme may contribute to the Debt facility and Equity facility developed under the ‘Horizon 2020’ Framework Programme that shall be widened to cover the objectives referred to in Article 3. | The Euratom Programme may contribute to the Debt facility and Equity facility developed under the ‘Horizon 2020’ Framework Programme that shall be widened to cover the objectives referred to in Article 3
  as well as increasing the visibility and participation of SMEs
  . |

Text proposed by the Commission

Amendment

The Euratom Programme may contribute to the Debt facility and Equity facility developed under the ‘Horizon 2020’ Framework Programme that shall be widened to cover the objectives referred to in Article 3.

The Euratom Programme may contribute to the Debt facility and Equity facility developed under the ‘Horizon 2020’ Framework Programme that shall be widened to cover the objectives referred to in Article 3
  as well as increasing the visibility and participation of SMEs
  .

Amendment 82

Proposal for a regulation

Annex I — part 4 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Basic research that is potentially applicable not only in nuclear-related fields but also in other research sectors covered by Horizon 2020 will be eligible for European Research Council (ERC) programme funding. |

Text proposed by the Commission

Amendment

Basic research that is potentially applicable not only in nuclear-related fields but also in other research sectors covered by Horizon 2020 will be eligible for European Research Council (ERC) programme funding.

Amendment 83

Proposal for a regulation

Annex II — part 1 — point d a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (da) | Contribute to the R&D agenda resulting from the recommendations listed in the conclusions of the Union stress tests such as those related to seismic modelling or core melt simulation |

Text proposed by the Commission

Amendment

(da)

Contribute to the R&D agenda resulting from the recommendations listed in the conclusions of the Union stress tests such as those related to seismic modelling or core melt simulation

| — | Percentage of funded projects likely to facilitate the application of these recommendations. |
| --- | --- |

—

Percentage of funded projects likely to facilitate the application of these recommendations.

Amendment 84

Proposal for a regulation

Annex II — part 1 — point d b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (db) | Support the long-term sustainability of nuclear fission through improvements in the field of reactor time extension or in the design of new reactor types |

Text proposed by the Commission

Amendment

(db)

Support the long-term sustainability of nuclear fission through improvements in the field of reactor time extension or in the design of new reactor types

| — | Percentage of funded projects likely to have a demonstrable impact in the field of reactor time extension or in the design of new reactors types. |
| --- | --- |

—

Percentage of funded projects likely to have a demonstrable impact in the field of reactor time extension or in the design of new reactors types.

Amendment 85

Proposal for a regulation

Annex II — part 1 — point e

| Text proposed by the Commission | Amendment |
| --- | --- |
| (e) | Move toward demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities |

Text proposed by the Commission

Amendment

(e)

Move toward demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities

| (e) | Move toward demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities
  and developing materials, technologies and conceptual design |
| --- | --- |

(e)

Move toward demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities
  and developing materials, technologies and conceptual design

Amendment 86

Proposal for a regulation

Annex II — part 2 — paragraph 2 — bullet point 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| Improve nuclear safety including: fuel and reactor safety, waste management and
  decommission
  ; and emergency preparedness; | Improve nuclear safety including: fuel and reactor safety, waste management and
  decommissioning
  ;
  worker protection
  and emergency preparedness; |

Text proposed by the Commission

Amendment

Improve nuclear safety including: fuel and reactor safety, waste management and
  decommission
  ; and emergency preparedness;

Improve nuclear safety including: fuel and reactor safety, waste management and
  decommissioning
  ;
  worker protection
  and emergency preparedness;

Amendment 87

Proposal for a regulation

Annex II — part 2 — paragraph 1 — bullet point 5 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Prevent skills shortage in key scientific and engineering fields. |

Text proposed by the Commission

Amendment

Prevent skills shortage in key scientific and engineering fields.

---

(1)  

  OJ C 74 E, 13.3.2012, p. 34.

(2)  

  OJ C 380 E, 11.12.2012, p. 89.

(3)  

  OJ L 124, 30.5.2003, p. 36.

(4)  
  OJ C ...

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/106 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/106

---

P7_TA(2013)0470

Nuclear safety cooperation instrument *

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation establishing an Instrument for Nuclear Safety Cooperation (COM(2011)0841 — C7-0014/2012 — 2011/0414(CNS))

(Special legislative procedure — consultation)

(2016/C 436/25)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2011)0841), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2011)0841),

| — | having regard to Article 203 of the Euratom Treaty, pursuant to which the Council consulted Parliament (C7-0014/2012), |
| --- | --- |

—

having regard to Article 203 of the Euratom Treaty, pursuant to which the Council consulted Parliament (C7-0014/2012),

| — | 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 opinion of the Committee on Budgets (A7-0327/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A7-0327/2012),

| 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 and Article 106a of the Euratom Treaty; |
| --- | --- |

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 and Article 106a of the Euratom Treaty;

| 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 regulation

Recital 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (1a) | A financial reference amount for the instrument, within the meaning of Point 18 of the Interinstitutional Agreement of ... 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

   (*1)

  , is included in this Regulation, without the budgetary powers of the European Parliament and the Council, as set out in the Treaty on the Functioning of the European Union, being affected hereby. |

Text proposed by the Commission

Amendment

(1a)

A financial reference amount for the instrument, within the meaning of Point 18 of the Interinstitutional Agreement of ... 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

   (*1)

  , is included in this Regulation, without the budgetary powers of the European Parliament and the Council, as set out in the Treaty on the Functioning of the European Union, being affected hereby.

Amendment 2

Proposal for a regulation

Recital 1 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (1b) | Improving implementation and quality of spending should constitute guiding principles for achieving the objectives of the instrument while ensuring optimal use of financial resources. |

Text proposed by the Commission

Amendment

(1b)

Improving implementation and quality of spending should constitute guiding principles for achieving the objectives of the instrument while ensuring optimal use of financial resources.

Amendment 3

Proposal for a regulation

Recital 1 c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (1c) | It is important to ensure the sound financial management of the instrument and its implementation in the most effective and user-friendly manner possible, while also ensuring legal certainty and the accessibility of the instrument to all participants. |

Text proposed by the Commission

Amendment

(1c)

It is important to ensure the sound financial management of the instrument and its implementation in the most effective and user-friendly manner possible, while also ensuring legal certainty and the accessibility of the instrument to all participants.

Amendment 4

Proposal for a regulation

Recital 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| (3) | The Chernobyl accident in 1986 highlighted the global importance of nuclear safety. The Fukushima Daiichi accident in 2011 confirmed
  the need
  to continue the efforts to improve nuclear safety to the highest standards. To create the conditions of safety necessary to eliminate hazards to the life and health of the public, the European Atomic Energy Community (the ‘Community’) should be able to support nuclear safety in third countries. |

Text proposed by the Commission

Amendment

(3)

The Chernobyl accident in 1986 highlighted the global importance of nuclear safety. The Fukushima Daiichi accident in 2011 confirmed
  the need
  to continue the efforts to improve nuclear safety to the highest standards. To create the conditions of safety necessary to eliminate hazards to the life and health of the public, the European Atomic Energy Community (the ‘Community’) should be able to support nuclear safety in third countries.

| (3) | The Chernobyl accident in 1986 highlighted the global importance of nuclear safety. The Fukushima Daiichi accident in 2011 confirmed
  that nuclear risks are inherent in every reactor and that it is therefore necessary
  to continue the efforts to improve nuclear safety to
  achieve
  the highest standards
  that reflect state of the art practices, in particular in terms of governance and regulatory independence. As long as existing nuclear power stations remain in operation and new ones are being built, this instrument should aim to ensure that the level of nuclear safety in assisted countries reflects European safety standards, that such standards are upheld and that support for independent supervisory authorities is made a main priority
  . To create the conditions of safety necessary to eliminate hazards to the life and health of the public, the European Atomic Energy Community (the ‘Community’) should be able to support nuclear safety in third countries. |
| --- | --- |

(3)

The Chernobyl accident in 1986 highlighted the global importance of nuclear safety. The Fukushima Daiichi accident in 2011 confirmed
  that nuclear risks are inherent in every reactor and that it is therefore necessary
  to continue the efforts to improve nuclear safety to
  achieve
  the highest standards
  that reflect state of the art practices, in particular in terms of governance and regulatory independence. As long as existing nuclear power stations remain in operation and new ones are being built, this instrument should aim to ensure that the level of nuclear safety in assisted countries reflects European safety standards, that such standards are upheld and that support for independent supervisory authorities is made a main priority
  . To create the conditions of safety necessary to eliminate hazards to the life and health of the public, the European Atomic Energy Community (the ‘Community’) should be able to support nuclear safety in third countries.

Amendment 5

Proposal for a regulation

Recital 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| (4) | By acting within common policies and strategies with its Member States, the European Union
  alone has the critical mass
  to respond to global challenges and
  is also best placed
  to coordinate
  the
  cooperation with third countries. |

Text proposed by the Commission

Amendment

(4)

By acting within common policies and strategies with its Member States, the European Union
  alone has the critical mass
  to respond to global challenges and
  is also best placed
  to coordinate
  the
  cooperation with third countries.

| (4) | A number of countries around the world are considering or planning to build nuclear power plants, which brings about a wide range of challenges and the need for creating adequate nuclear safety cultures and governance systems. It is necessary to find ways of improving the safety and security of nuclear power plants being developed close to the Union's borders, in particular where there is a lack of political cooperation with the Union. In this regard, stress tests should be carried out in all Member States and third countries concerned in order to detect potential safety hazards and the necessary measures to correct them should be implemented immediately.
  By acting within common policies and strategies with its Member States
  and by cooperating with international and regional organisations
  , the European Union
  is well placed
  to respond to global challenges and to coordinate cooperation with third countries
  . Priority should be given to ensuring support from independent supervisory authorities and to supporting their regulators, as well as multilateral regional and international structures which can strengthen confidence and the application of standards through peer review mechanisms. In this regard, the European Parliament should be regularly informed by the Commission of the plans of third countries in the area of nuclear safety in accordance with this Directive
  . |
| --- | --- |

(4)

A number of countries around the world are considering or planning to build nuclear power plants, which brings about a wide range of challenges and the need for creating adequate nuclear safety cultures and governance systems. It is necessary to find ways of improving the safety and security of nuclear power plants being developed close to the Union's borders, in particular where there is a lack of political cooperation with the Union. In this regard, stress tests should be carried out in all Member States and third countries concerned in order to detect potential safety hazards and the necessary measures to correct them should be implemented immediately.
  By acting within common policies and strategies with its Member States
  and by cooperating with international and regional organisations
  , the European Union
  is well placed
  to respond to global challenges and to coordinate cooperation with third countries
  . Priority should be given to ensuring support from independent supervisory authorities and to supporting their regulators, as well as multilateral regional and international structures which can strengthen confidence and the application of standards through peer review mechanisms. In this regard, the European Parliament should be regularly informed by the Commission of the plans of third countries in the area of nuclear safety in accordance with this Directive
  .

Amendment 6

Proposal for a regulation

Recital 6

| Text proposed by the Commission | Amendment |
| --- | --- |
| (6) | In order to maintain and promote the continuous improvement of nuclear safety and its regulation, the Council adopted Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for nuclear safety of nuclear installations. The Council also adopted Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste. These Directives and the high standards of nuclear safety and radioactive waste and spent fuel management implemented in the Union are examples that can be used to encourage third countries to adopt similar high standards. |

Text proposed by the Commission

Amendment

(6)

In order to maintain and promote the continuous improvement of nuclear safety and its regulation, the Council adopted Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for nuclear safety of nuclear installations. The Council also adopted Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste. These Directives and the high standards of nuclear safety and radioactive waste and spent fuel management implemented in the Union are examples that can be used to encourage third countries to adopt similar high standards.

| (6) | In order to maintain and promote the continuous improvement of nuclear safety and its regulation, the Council adopted Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for nuclear safety of nuclear installations.
  The Commission Communication of 4 October 2012 on the comprehensive risk and safety assessments (‘stress tests’) of nuclear power plants in the European Union and related activities highlights the need to strengthen this framework.
  The Council also adopted Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste. These Directives and the high standards of nuclear safety and radioactive waste and spent fuel management implemented in the Union are examples that can be used to encourage third countries to adopt similar high standards. |
| --- | --- |

(6)

In order to maintain and promote the continuous improvement of nuclear safety and its regulation, the Council adopted Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for nuclear safety of nuclear installations.
  The Commission Communication of 4 October 2012 on the comprehensive risk and safety assessments (‘stress tests’) of nuclear power plants in the European Union and related activities highlights the need to strengthen this framework.
  The Council also adopted Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste. These Directives and the high standards of nuclear safety and radioactive waste and spent fuel management implemented in the Union are examples that can be used to encourage third countries to adopt similar high standards.

Amendment 7

Proposal for a regulation

Recital 10

| Text proposed by the Commission | Amendment |
| --- | --- |
| (10) | There is a particular need for the Community to continue its efforts in support of the application of effective safeguards of nuclear material in third countries, building on its own safeguard activities within the Union. |

Text proposed by the Commission

Amendment

(10)

There is a particular need for the Community to continue its efforts in support of the application of effective safeguards of nuclear material in third countries, building on its own safeguard activities within the Union.

| (10) | There is a particular need for the Community to continue its efforts in support of the application of effective safeguards of nuclear material in third countries, building on its own safeguard activities within the Union.
  The use of Union experts to assist third countries in the nuclear field is also important for maintaining a high level of expertise within the Union
  . |
| --- | --- |

(10)

There is a particular need for the Community to continue its efforts in support of the application of effective safeguards of nuclear material in third countries, building on its own safeguard activities within the Union.
  The use of Union experts to assist third countries in the nuclear field is also important for maintaining a high level of expertise within the Union
  .

Amendment 8

Proposal for a regulation

Recital 12 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (12a) | Horizon 2020 — the new Framework Programme for Research and Innovation (2014-2020) (‘Horizon 2020’)

   (1)

  and the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020

   (2)

  pay particular attention to international cooperation and Union relations with third countries. In this regard, particular attention should be paid to the development of human resources. |

Text proposed by the Commission

Amendment

(12a)

Horizon 2020 — the new Framework Programme for Research and Innovation (2014-2020) (‘Horizon 2020’)

   (1)

  and the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020

   (2)

  pay particular attention to international cooperation and Union relations with third countries. In this regard, particular attention should be paid to the development of human resources.

Amendment 9

Proposal for a regulation

Recital 12 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (12b) | Coherence, coordination and complementarity of Union assistance in the field of nuclear safety should be ensured by means of the individual efforts of Member States, as well as other international, regional and local organisations in order to avoid overlaps and double financing. |

Text proposed by the Commission

Amendment

(12b)

Coherence, coordination and complementarity of Union assistance in the field of nuclear safety should be ensured by means of the individual efforts of Member States, as well as other international, regional and local organisations in order to avoid overlaps and double financing.

Amendment 10

Proposal for a regulation

Article 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| Article 1 | Article 1 |
| Subject matter and scope | Subject matter and scope |
| The European Union shall finance measures to support the promotion of a high level of nuclear safety, radiation protection and the application of efficient and effective safeguards of nuclear material in third countries, in line with the provisions of this Regulation. | The European Union shall finance measures to support the promotion of a high level of nuclear safety, radiation protection and the application of efficient and effective safeguards of nuclear material in third countries, in line with the provisions of this Regulation.
  This will ensure that nuclear material is used only for the civilian purposes for which it is intended. |
| 1.   The following specific objectives shall be pursued: | 1.   The following specific objectives shall be pursued: |
| (a) | promotion of an effective nuclear safety culture and implementation of the highest nuclear safety standards and radiation protection; |

Text proposed by the Commission

Amendment

Article 1

Article 1

Subject matter and scope

Subject matter and scope

The European Union shall finance measures to support the promotion of a high level of nuclear safety, radiation protection and the application of efficient and effective safeguards of nuclear material in third countries, in line with the provisions of this Regulation.

The European Union shall finance measures to support the promotion of a high level of nuclear safety, radiation protection and the application of efficient and effective safeguards of nuclear material in third countries, in line with the provisions of this Regulation.
  This will ensure that nuclear material is used only for the civilian purposes for which it is intended.

1.   The following specific objectives shall be pursued:

1.   The following specific objectives shall be pursued:

(a)

promotion of an effective nuclear safety culture and implementation of the highest nuclear safety standards and radiation protection;

| (a) | promotion of an effective nuclear safety culture
  and governance
  and implementation of the highest nuclear safety standards and radiation protection |
| --- | --- |

(a)

promotion of an effective nuclear safety culture
  and governance
  and implementation of the highest nuclear safety standards and radiation protection

| (b) | responsible and safe management of spent fuel and radioactive waste, decommissioning and remediation of former nuclear sites and installations; |
| --- | --- |

(b)

responsible and safe management of spent fuel and radioactive waste, decommissioning and remediation of former nuclear sites and installations;

| (b) | responsible and safe management of spent fuel and radioactive waste, decommissioning and remediation of former nuclear sites and installations
  in third countries
  ; |
| --- | --- |

(b)

responsible and safe management of spent fuel and radioactive waste, decommissioning and remediation of former nuclear sites and installations
  in third countries
  ;

| (c) | establishment of frameworks and methodologies for the application of efficient and effective safeguards for nuclear material in third countries. |
| --- | --- |

(c)

establishment of frameworks and methodologies for the application of efficient and effective safeguards for nuclear material in third countries.

| (c) | establishment of frameworks and methodologies for the application of efficient and effective safeguards for nuclear material in third countries. |
| --- | --- |

(c)

establishment of frameworks and methodologies for the application of efficient and effective safeguards for nuclear material in third countries.

2.   The overall progress in achieving the above specific objectives shall be assessed, respectively, through the following performance indicators:

2.   The overall progress in achieving the above specific objectives shall be assessed, respectively, through the following performance indicators:

| (a) | number and importance of issues identified during relevant IAEA peer review missions; |
| --- | --- |

(a)

number and importance of issues identified during relevant IAEA peer review missions;

| (a) | number and importance of issues identified during relevant IAEA peer review missions; |
| --- | --- |

(a)

number and importance of issues identified during relevant IAEA peer review missions;

| (aa) | the degree to which the assisted countries develop the highest nuclear safety standards which are similar to the levels required in the Union regarding technical, regulatory and operational respects; |
| --- | --- |

(aa)

the degree to which the assisted countries develop the highest nuclear safety standards which are similar to the levels required in the Union regarding technical, regulatory and operational respects;

| (b) | status of development of the spent fuel, nuclear waste and decommissioning strategies, the respective legislative and regulatory framework and implementation of projects; |
| --- | --- |

(b)

status of development of the spent fuel, nuclear waste and decommissioning strategies, the respective legislative and regulatory framework and implementation of projects;

| (b) | status of development of the spent fuel, nuclear waste and decommissioning strategies, the
  number of and the scale of the remediation required in former nuclear sites and installations, the
  respective legislative and regulatory framework and implementation of projects; |
| --- | --- |

(b)

status of development of the spent fuel, nuclear waste and decommissioning strategies, the
  number of and the scale of the remediation required in former nuclear sites and installations, the
  respective legislative and regulatory framework and implementation of projects;

| (c) | number and importance of issues identified in relevant IAEA nuclear safeguards reports. |
| --- | --- |

(c)

number and importance of issues identified in relevant IAEA nuclear safeguards reports.

| (c) | number and importance of issues identified in relevant IAEA nuclear safeguards reports. |
| --- | --- |

(c)

number and importance of issues identified in relevant IAEA nuclear safeguards reports.

| (ca) | long-term impact on the environment; |
| --- | --- |

(ca)

long-term impact on the environment;

3.   The Commission shall ensure that the measures adopted are consistent with the Union's overall strategic policy framework for the partner country and in particular with the objectives of its development and economic cooperation policies and programmes.

3.   The Commission shall ensure that the measures adopted are consistent with the Union's overall strategic policy framework for the partner country and in particular with the objectives of its development and economic cooperation policies and programmes.

3a.
     
  The objectives set out in paragraph 1 above shall be achieved primarily through the following measures:

| (a) | support for regulatory bodies to ensure their independence, competence and development and for investment in human resources; |
| --- | --- |

(a)

support for regulatory bodies to ensure their independence, competence and development and for investment in human resources;

| (b) | support for measures to strengthen and implement the legislative framework; |
| --- | --- |

(b)

support for measures to strengthen and implement the legislative framework;

| (c) | support for the design and implementation of safety assessment systems based on standards similar to those applied in the European Union; |
| --- | --- |

(c)

support for the design and implementation of safety assessment systems based on standards similar to those applied in the European Union;

| (d) | cooperation in the following areas: expertise, experience and skills development, accident management procedures and accident prevention, strategies for responsible and safe management of spent fuel and decommissioning strategies. |
| --- | --- |

(d)

cooperation in the following areas: expertise, experience and skills development, accident management procedures and accident prevention, strategies for responsible and safe management of spent fuel and decommissioning strategies.

The measures shall include a substantial element of knowledge transfer (expertise sharing, support for both existing or new education and training programmes in the area of nuclear safety) in order to reinforce sustainability of the results achieved.

4.   Specific measures supported by this Regulation and criteria applying to nuclear safety cooperation are detailed in the Annex.

4.   Specific measures supported by this Regulation and criteria applying to nuclear safety cooperation are detailed in the Annex.

5.   The financial, economic and technical cooperation provided under this Regulation shall be complementary to that provided by the Union under other development cooperation instruments.

5.   The financial, economic and technical cooperation provided under this Regulation shall be complementary to that provided by the Union under other development cooperation instruments
  , ‘Horizon 2020’ and the Research and Training programme of the European Atomic Energy Community (2014 — 2018) complementing Horizon 2020.

5a.
     
  In providing aid under this instrument priority shall be given to countries beneficiaries under Regulation (EU) No .../...

   (3)

  and Regulation (EU) No .../...

   (4)

  of the European Parliament and of the Council .

Amendment 11

Proposal for a regulation

Article 2 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   Strategy papers will aim at providing a coherent framework for cooperation between the Union and the partner countries or regions concerned, consistent with the overall purpose and scope, objectives, principles and
  policy
  of the Union. | 3.   Strategy papers will aim at providing a coherent framework for cooperation between the Union
  , the Member States,
  and the partner countries or regions concerned, consistent with the overall purpose and scope, objectives, principles and
  external and internal policies
  of the Union. |

Text proposed by the Commission

Amendment

3.   Strategy papers will aim at providing a coherent framework for cooperation between the Union and the partner countries or regions concerned, consistent with the overall purpose and scope, objectives, principles and
  policy
  of the Union.

3.   Strategy papers will aim at providing a coherent framework for cooperation between the Union
  , the Member States,
  and the partner countries or regions concerned, consistent with the overall purpose and scope, objectives, principles and
  external and internal policies
  of the Union.

Amendment 12

Proposal for a regulation

Article 2 — paragraph 5

| Text proposed by the Commission | Amendment |
| --- | --- |
| 5.   The strategy paper shall be approved by the Commission in accordance with the examination procedure referred to in Article 15(3) of the Common Implementing Regulation. Strategy papers
  may
  be reviewed at mid-term or whenever necessary in accordance with the same procedure. However, that procedure shall not be required for updates of the strategy which do not affect the initial priority areas and objectives set out in the paper. | 5.   The strategy paper shall be approved by the Commission in accordance with the examination procedure referred to in Article 15(3) of the Common Implementing Regulation. Strategy papers
  must
  be reviewed at mid-term or whenever necessary in accordance with the same procedure. However, that procedure shall not be required for updates of the strategy which do not affect the initial priority areas and objectives set out in the paper
  , unless they have a financial impact above the thresholds defined in Article 2(2) of the Common Implementing Regulation
  . |
| | The strategy paper must be presented to the European Parliament, which shall give its assessment at the mid-term review. |

Text proposed by the Commission

Amendment

5.   The strategy paper shall be approved by the Commission in accordance with the examination procedure referred to in Article 15(3) of the Common Implementing Regulation. Strategy papers
  may
  be reviewed at mid-term or whenever necessary in accordance with the same procedure. However, that procedure shall not be required for updates of the strategy which do not affect the initial priority areas and objectives set out in the paper.

5.   The strategy paper shall be approved by the Commission in accordance with the examination procedure referred to in Article 15(3) of the Common Implementing Regulation. Strategy papers
  must
  be reviewed at mid-term or whenever necessary in accordance with the same procedure. However, that procedure shall not be required for updates of the strategy which do not affect the initial priority areas and objectives set out in the paper
  , unless they have a financial impact above the thresholds defined in Article 2(2) of the Common Implementing Regulation
  .

The strategy paper must be presented to the European Parliament, which shall give its assessment at the mid-term review.

Amendment 13

Proposal for a regulation

Article 3 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   Multiannual indicative programmes shall set out the priority areas selected for financing, the specific objectives, the expected results, the performance indicators and the indicative financial allocations, both overall and per priority area, and including a reasonable reserve of unallocated funds; this may be given in the form of a range or a minimum, where appropriate. | 2.   Multiannual indicative programmes shall set out the priority areas selected for financing, the specific objectives, the expected results,
  clear, specific and transparent
  performance indicators and indicative financial allocations, both overall and per priority area, and including a reasonable reserve of unallocated funds
  but without prejudice to the powers of the budgetary authority;
  this may be given in the form of
  either
  a range or a minimum, where appropriate.
  Multiannual indicative programmes shall set out rules to avoid duplication and to ensure the proper use of available funds
  . |

Text proposed by the Commission

Amendment

2.   Multiannual indicative programmes shall set out the priority areas selected for financing, the specific objectives, the expected results, the performance indicators and the indicative financial allocations, both overall and per priority area, and including a reasonable reserve of unallocated funds; this may be given in the form of a range or a minimum, where appropriate.

2.   Multiannual indicative programmes shall set out the priority areas selected for financing, the specific objectives, the expected results,
  clear, specific and transparent
  performance indicators and indicative financial allocations, both overall and per priority area, and including a reasonable reserve of unallocated funds
  but without prejudice to the powers of the budgetary authority;
  this may be given in the form of
  either
  a range or a minimum, where appropriate.
  Multiannual indicative programmes shall set out rules to avoid duplication and to ensure the proper use of available funds
  .

Amendment 14

Proposal for a regulation

Article 3 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   Multiannual indicative programmes shall,
  in principle,
  be based on a dialogue with the partner countries or region(s) which involves the stakeholders, so as to ensure that the country or region concerned takes sufficient ownership of the process and to encourage support for national development strategies. | 3.   Multiannual indicative programmes shall,
  as far as possible,
  be based on a dialogue with the partner countries or region(s) which involves the stakeholders, so as to ensure that the country or region concerned takes sufficient ownership of the process and to encourage support for national development strategies.
  These multiannual indicative programmes shall take into account the IAEA work programme in the field of nuclear safety and waste management. |

Text proposed by the Commission

Amendment

3.   Multiannual indicative programmes shall,
  in principle,
  be based on a dialogue with the partner countries or region(s) which involves the stakeholders, so as to ensure that the country or region concerned takes sufficient ownership of the process and to encourage support for national development strategies.

3.   Multiannual indicative programmes shall,
  as far as possible,
  be based on a dialogue with the partner countries or region(s) which involves the stakeholders, so as to ensure that the country or region concerned takes sufficient ownership of the process and to encourage support for national development strategies.
  These multiannual indicative programmes shall take into account the IAEA work programme in the field of nuclear safety and waste management.

Amendment 15

Proposal for a regulation

Article 3 — paragraph 5

| Text proposed by the Commission | Amendment |
| --- | --- |
| 5.   The multi annual indicative programmes shall be revised as necessary, taking into account any review of the relevant strategy papers, in accordance with the same procedure. However, the examination procedure shall not be required for modifications to multiannual indicative programmes, which make technical adjustments, reassign funds within the allocations per priority area, or increase or decrease the size of the initial indicative allocation
  by less than 20 %
  , provided that these modifications do not affect the initial priority areas and objectives set out in the document. Any such technical adjustments shall be communicated within one month to the European Parliament and to the Council. | 5.   The multi annual indicative programmes shall be revised as necessary, taking into account any review of the relevant strategy papers, in accordance with the same procedure. However, the examination procedure shall not be required for modifications to multiannual indicative programmes, which make technical adjustments, reassign funds within the allocations per priority area, or increase or decrease the size of the initial indicative allocation
  within the relevant percentage limit set out in Article 2(2) of the Common Implementing Regulation
  , provided that these modifications do not affect the initial priority areas and objectives set out in the document. Any such technical adjustments shall be communicated within one month to the European Parliament and to the Council. |
| | If the total amount of non-substantial amendments or their budgetary impact exceeds the thresholds for small-scale financing, as stipulated in Article 2(2) of the Common Implementing Regulation, the procedure referred to in Article 15(3) of that Regulation shall apply. |

Text proposed by the Commission

Amendment

5.   The multi annual indicative programmes shall be revised as necessary, taking into account any review of the relevant strategy papers, in accordance with the same procedure. However, the examination procedure shall not be required for modifications to multiannual indicative programmes, which make technical adjustments, reassign funds within the allocations per priority area, or increase or decrease the size of the initial indicative allocation
  by less than 20 %
  , provided that these modifications do not affect the initial priority areas and objectives set out in the document. Any such technical adjustments shall be communicated within one month to the European Parliament and to the Council.

5.   The multi annual indicative programmes shall be revised as necessary, taking into account any review of the relevant strategy papers, in accordance with the same procedure. However, the examination procedure shall not be required for modifications to multiannual indicative programmes, which make technical adjustments, reassign funds within the allocations per priority area, or increase or decrease the size of the initial indicative allocation
  within the relevant percentage limit set out in Article 2(2) of the Common Implementing Regulation
  , provided that these modifications do not affect the initial priority areas and objectives set out in the document. Any such technical adjustments shall be communicated within one month to the European Parliament and to the Council.

If the total amount of non-substantial amendments or their budgetary impact exceeds the thresholds for small-scale financing, as stipulated in Article 2(2) of the Common Implementing Regulation, the procedure referred to in Article 15(3) of that Regulation shall apply.

Amendment 16

Proposal for a regulation

Article 4 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 4a |
| | Reporting |
| | 1.
     
  The Commission shall review the progress achieved in implementing the measures taken pursuant to this Regulation and shall submit to the European Parliament and the Council a biannual report on the implementation of the cooperation assistance. |
| | 2.
     
  The report shall contain information relating to the previous two years on the measures financed, information on the results of monitoring and evaluation exercises and the implementation of budget commitments and payments, broken down by country, region and type of cooperation, as well as the plans of third countries in the area of nuclear safety. |

Text proposed by the Commission

Amendment

Article 4a

Reporting

1.
     
  The Commission shall review the progress achieved in implementing the measures taken pursuant to this Regulation and shall submit to the European Parliament and the Council a biannual report on the implementation of the cooperation assistance.

2.
     
  The report shall contain information relating to the previous two years on the measures financed, information on the results of monitoring and evaluation exercises and the implementation of budget commitments and payments, broken down by country, region and type of cooperation, as well as the plans of third countries in the area of nuclear safety.

Amendment 17

Proposal for a regulation

Article 5 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 5a |
| | Coherence and complementarity of Union assistance |
| | 1.
     
  In implementing this Regulation, coherence shall be ensured with other areas and instruments of the Union external action, as well as other relevant Union policies. |
| | 2.
     
  The Union and the Member States shall coordinate their respective support programmes with the aim of increasing effectiveness and efficiency in the delivery of support and policy dialogue in accordance with the established principles for strengthening operational coordination in the field of external support, and for harmonising policies and procedures. Coordination shall involve regular consultations and frequent exchanges of relevant information during the different phases of the support cycle. |
| | 3.
     
  The Union shall, in liaison with the Member States, take the necessary steps to ensure proper coordination and cooperation with multilateral and regional organisations and entities, including, but not limited to, European financial institutions, international financial institutions, United Nations agencies, funds and programmes, private and political foundations and non-Union donors. |

Text proposed by the Commission

Amendment

Article 5a

Coherence and complementarity of Union assistance

1.
     
  In implementing this Regulation, coherence shall be ensured with other areas and instruments of the Union external action, as well as other relevant Union policies.

2.
     
  The Union and the Member States shall coordinate their respective support programmes with the aim of increasing effectiveness and efficiency in the delivery of support and policy dialogue in accordance with the established principles for strengthening operational coordination in the field of external support, and for harmonising policies and procedures. Coordination shall involve regular consultations and frequent exchanges of relevant information during the different phases of the support cycle.

3.
     
  The Union shall, in liaison with the Member States, take the necessary steps to ensure proper coordination and cooperation with multilateral and regional organisations and entities, including, but not limited to, European financial institutions, international financial institutions, United Nations agencies, funds and programmes, private and political foundations and non-Union donors.

Amendment 33/rev

Proposal for a regulation

Article 8 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The financial reference amount for the implementation of this Regulation over the period 2014 to 2020 is
  EUR 631 100 000
  . | 1.   The financial reference amount for the implementation of this Regulation over the period 2014 to 2020 is
  EUR 225 321 000
  . |

Text proposed by the Commission

Amendment

1.   The financial reference amount for the implementation of this Regulation over the period 2014 to 2020 is
  EUR 631 100 000
  .

1.   The financial reference amount for the implementation of this Regulation over the period 2014 to 2020 is
  EUR 225 321 000
  .

Amendment 19

Proposal for a regulation

Article 8 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   Annual appropriations shall be authorised by the budgetary authority
  within
  the
  limits
  of the
  multi-annual
  financial framework. | 2.   Annual appropriations shall be authorised by the
  European Parliament and the Council within the limits of the multiannual
  financial framework. |

Text proposed by the Commission

Amendment

2.   Annual appropriations shall be authorised by the budgetary authority
  within
  the
  limits
  of the
  multi-annual
  financial framework.

2.   Annual appropriations shall be authorised by the
  European Parliament and the Council within the limits of the multiannual
  financial framework.

Amendment 20

Proposal for a regulation

Annex — Specific supported measures

| Text proposed by the Commission | Amendment |
| --- | --- |
| | |
| The following measures may be supported to fulfil the objectives set out in article 1 of this Regulation. | The following measures may be supported to fulfil the objectives set out in article 1 of this Regulation. |
| (a) | The promotion of an effective nuclear safety culture and implementation of the highest nuclear safety standards and radiation protection at all levels, in particular through: |

Text proposed by the Commission

Amendment

The following measures may be supported to fulfil the objectives set out in article 1 of this Regulation.

The following measures may be supported to fulfil the objectives set out in article 1 of this Regulation.

(a)

The promotion of an effective nuclear safety culture and implementation of the highest nuclear safety standards and radiation protection at all levels, in particular through:

| (a) | The
  establishment and
  promotion of an effective nuclear safety culture
  and governance
  and implementation of the highest nuclear safety standards
  that reflect state of the art pratices
  and radiation protection at all levels, in particular through: |
| --- | --- |

(a)

The
  establishment and
  promotion of an effective nuclear safety culture
  and governance
  and implementation of the highest nuclear safety standards
  that reflect state of the art pratices
  and radiation protection at all levels, in particular through:

| | — | continuous support for regulatory bodies, technical support organisations, and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and
  follow up
  of
  effective and comprehensive risk and
  safety
  assessments (‘stress tests’); |
| --- | --- | --- |

—

continuous support for regulatory bodies, technical support organisations, and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and
  follow up
  of
  effective and comprehensive risk and
  safety
  assessments (‘stress tests’);

| | — | continuous support for regulatory bodies, technical support organisations, and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and
  the implementation
  of
  the necessary measures to ensure the highest level of
  safety
  in nuclear installations to a standard that reflects state of the art practices in the EU in technical, regulatory and operational respects; |
| --- | --- | --- |

—

continuous support for regulatory bodies, technical support organisations, and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and
  the implementation
  of
  the necessary measures to ensure the highest level of
  safety
  in nuclear installations to a standard that reflects state of the art practices in the EU in technical, regulatory and operational respects;

| | — | the promotion of effective regulatory frameworks, procedures and systems to ensure adequate protection against ionising radiations from radioactive materials, in particular from high activity radioactive sources, and their safe disposal; |
| --- | --- | --- |

—

the promotion of effective regulatory frameworks, procedures and systems to ensure adequate protection against ionising radiations from radioactive materials, in particular from high activity radioactive sources, and their safe disposal;

| | — | the promotion of effective
  and transparent
  regulatory frameworks, procedures and systems to ensure adequate protection against ionising radiations from radioactive materials, in particular from high activity radioactive sources, and their safe disposal; |
| --- | --- | --- |

—

the promotion of effective
  and transparent
  regulatory frameworks, procedures and systems to ensure adequate protection against ionising radiations from radioactive materials, in particular from high activity radioactive sources, and their safe disposal;

| | — | promotion of effective nuclear safety governance systems, which guarantee the independence, responsibility and authority of the regulatory bodies as well as regional and international cooperation structures between such bodies; |
| --- | --- | --- |

—

promotion of effective nuclear safety governance systems, which guarantee the independence, responsibility and authority of the regulatory bodies as well as regional and international cooperation structures between such bodies;

| | — | the establishment of effective arrangements for the prevention of accidents with radiological consequences as well as the mitigation of such consequences should they occur (for example, monitoring the environment in case of radioactive releases, design and implementation of mitigation and remediation activities), and for emergency-planning, preparedness and response, civil protection and rehabilitation measures. |
| --- | --- | --- |

—

the establishment of effective arrangements for the prevention of accidents with radiological consequences as well as the mitigation of such consequences should they occur (for example, monitoring the environment in case of radioactive releases, design and implementation of mitigation and remediation activities), and for emergency-planning, preparedness and response, civil protection and rehabilitation measures.

| | — | the establishment of effective arrangements for the prevention of accidents with radiological consequences as well as the mitigation of such consequences should they occur (for example, monitoring the environment in case of radioactive releases, design and implementation of mitigation and remediation activities), and for emergency-planning, preparedness and response, civil protection and rehabilitation measures. |
| --- | --- | --- |

—

the establishment of effective arrangements for the prevention of accidents with radiological consequences as well as the mitigation of such consequences should they occur (for example, monitoring the environment in case of radioactive releases, design and implementation of mitigation and remediation activities), and for emergency-planning, preparedness and response, civil protection and rehabilitation measures.

| | — | support to
  nuclear operators, in exceptional cases, under specific and well justified circumstances in the framework of follow-up measures of the comprehensive safety and risk assessments (‘stress tests’); |
| --- | --- | --- |

—

support to
  nuclear operators, in exceptional cases, under specific and well justified circumstances in the framework of follow-up measures of the comprehensive safety and risk assessments (‘stress tests’);

| | — | cooperation with
  nuclear operators, in exceptional cases, under specific and well justified circumstances in the framework of follow-up measures of the comprehensive safety and risk assessments (‘stress tests’); |
| --- | --- | --- |

—

cooperation with
  nuclear operators, in exceptional cases, under specific and well justified circumstances in the framework of follow-up measures of the comprehensive safety and risk assessments (‘stress tests’);

| | — | promotion of information, education and professional training policies in the field of nuclear power and relating to the nuclear fuel cycle, nuclear waste management and radiation protection. |
| --- | --- | --- |

—

promotion of information, education and professional training policies in the field of nuclear power and relating to the nuclear fuel cycle, nuclear waste management and radiation protection.

| (b) | Responsible and safe management of spent fuel and radioactive waste, decommission and remediation of former nuclear sites and installations, in particular through: |
| --- | --- |

(b)

Responsible and safe management of spent fuel and radioactive waste, decommission and remediation of former nuclear sites and installations, in particular through:

| (b) | Responsible and safe management of spent fuel and radioactive waste, decommission and remediation of former nuclear sites and installations, in particular through: |
| --- | --- |

(b)

Responsible and safe management of spent fuel and radioactive waste, decommission and remediation of former nuclear sites and installations, in particular through:

| | — | cooperation with third countries in the domain of spent nuclear fuel and radioactive waste management (i.e. transport, pre-treatment, treatment, processing, storage and disposal), including the development of specific strategies and frameworks for the responsible management of spent nuclear fuel and radioactive waste; |
| --- | --- | --- |

—

cooperation with third countries in the domain of spent nuclear fuel and radioactive waste management (i.e. transport, pre-treatment, treatment, processing, storage and disposal), including the development of specific strategies and frameworks for the responsible management of spent nuclear fuel and radioactive waste;

| | — | cooperation with third countries in the domain of spent nuclear fuel and radioactive waste management (i.e. transport, pre-treatment, treatment, processing, storage and disposal), including the development of specific strategies and frameworks for the responsible management of spent nuclear fuel and radioactive waste; |
| --- | --- | --- |

—

cooperation with third countries in the domain of spent nuclear fuel and radioactive waste management (i.e. transport, pre-treatment, treatment, processing, storage and disposal), including the development of specific strategies and frameworks for the responsible management of spent nuclear fuel and radioactive waste;

| | — | the development and implementation of strategies and frameworks for decommissioning existing installations, for the remediation of former nuclear sites and legacy sites related to uranium mining, and for the recovery and management of sunken radioactive objects and material at sea; |
| --- | --- | --- |

—

the development and implementation of strategies and frameworks for decommissioning existing installations, for the remediation of former nuclear sites and legacy sites related to uranium mining, and for the recovery and management of sunken radioactive objects and material at sea;

| | — | the development and implementation of strategies and frameworks for decommissioning existing installations, for the remediation of former nuclear sites and legacy sites related to uranium mining, and for the recovery and management of sunken radioactive objects and material at sea; |
| --- | --- | --- |

—

the development and implementation of strategies and frameworks for decommissioning existing installations, for the remediation of former nuclear sites and legacy sites related to uranium mining, and for the recovery and management of sunken radioactive objects and material at sea;

| | — | The establishment of the necessary regulatory framework and methodologies (including nuclear forensics methods) for the implementation of nuclear safeguards, including for the proper accounting and control of fissile materials at State and operators' level; |
| --- | --- | --- |

—

The establishment of the necessary regulatory framework and methodologies (including nuclear forensics methods) for the implementation of nuclear safeguards, including for the proper accounting and control of fissile materials at State and operators' level;

| | — | The establishment of the necessary regulatory framework and methodologies (including nuclear forensics methods) for the implementation of nuclear safeguards, including for the proper accounting and control of fissile materials at State and operators' level; |
| --- | --- | --- |

—

The establishment of the necessary regulatory framework and methodologies (including nuclear forensics methods) for the implementation of nuclear safeguards, including for the proper accounting and control of fissile materials at State and operators' level;

| | — | Measures to promote international cooperation (including in the framework of relevant international organisations, notably IAEA) in the above fields, including the implementation and monitoring of international Conventions and Treaties, exchange of information, capacity building and training in the area of nuclear safety and research. |
| --- | --- | --- |

—

Measures to promote international cooperation (including in the framework of relevant international organisations, notably IAEA) in the above fields, including the implementation and monitoring of international Conventions and Treaties, exchange of information, capacity building and training in the area of nuclear safety and research.

| | — | Measures to promote international cooperation (including in the framework of relevant
  regional and
  international organisations, notably IAEA) in the above fields, including the implementation and monitoring of international Conventions and Treaties, exchange of information, capacity building and training in the area of nuclear safety and research. |
| --- | --- | --- |

—

Measures to promote international cooperation (including in the framework of relevant
  regional and
  international organisations, notably IAEA) in the above fields, including the implementation and monitoring of international Conventions and Treaties, exchange of information, capacity building and training in the area of nuclear safety and research.

| (ba) | Assistance for ensuring a high level of competence and expertise of regulators, technical support organisations and operators (without distortion of competition) in the fields covered by this Regulation, in particular through: |
| --- | --- |

(ba)

Assistance for ensuring a high level of competence and expertise of regulators, technical support organisations and operators (without distortion of competition) in the fields covered by this Regulation, in particular through:

| | — | continuous support for the education and training of the staff of regulatory bodies, technical support organisations and nuclear operators (without distortion of competition); |
| --- | --- | --- |

—

continuous support for the education and training of the staff of regulatory bodies, technical support organisations and nuclear operators (without distortion of competition);

| | — | promoting the development of adequate training facilities. |
| --- | --- | --- |

—

promoting the development of adequate training facilities.

Amendment 21

Proposal for a regulation

Annex — Criteria — 1. General criteria

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1. | General criteria |

Text proposed by the Commission

Amendment

1.

General criteria

| 1. | General criteria |
| --- | --- |

1.

General criteria

| — | Cooperation
  may
  cover all ‘third countries’ (non-EU Member States)
  worldwide
  . |
| --- | --- |

—

Cooperation
  may
  cover all ‘third countries’ (non-EU Member States)
  worldwide
  .

| — | Cooperation
  should
  cover all ‘third countries’ (non-EU Member States)
  in accordance with the objectives set out in Article 1 of this Regulation
  . |
| --- | --- |

—

Cooperation
  should
  cover all ‘third countries’ (non-EU Member States)
  in accordance with the objectives set out in Article 1 of this Regulation
  .

| — | Priority will be given to Accession Countries and countries in the European Neighbourhood region. Regional approaches will be favoured. |
| --- | --- |

—

Priority will be given to Accession Countries and countries in the European Neighbourhood region. Regional approaches will be favoured.

| — | Priority will be given to Accession Countries and countries in the European Neighbourhood region. Regional approaches will be favoured. |
| --- | --- |

—

Priority will be given to Accession Countries and countries in the European Neighbourhood region. Regional approaches will be favoured.

| — | High income countries should be included only in order to allow exceptional measures to be undertaken, for example following a major nuclear accident, if necessary and appropriate. |
| --- | --- |

—

High income countries should be included only in order to allow exceptional measures to be undertaken, for example following a major nuclear accident, if necessary and appropriate.

| — | High income countries should be included only in order to allow exceptional measures to be undertaken, for example following a major nuclear accident, if necessary and appropriate.
  For the purpose of this Regulation, ‘high income countries’ means the countries and territories listed in Annex I to Council Regulation (EC) No 1934/2006

   (5) |
| --- | --- |

—

High income countries should be included only in order to allow exceptional measures to be undertaken, for example following a major nuclear accident, if necessary and appropriate.
  For the purpose of this Regulation, ‘high income countries’ means the countries and territories listed in Annex I to Council Regulation (EC) No 1934/2006

   (5)

| — | A common understanding and a reciprocal agreement between the third country and the European Union should be confirmed through a formal request to the Commission, committing the respective Government. |
| --- | --- |

—

A common understanding and a reciprocal agreement between the third country and the European Union should be confirmed through a formal request to the Commission, committing the respective Government.

| — | A common understanding and a reciprocal agreement between the third country and the European Union should be confirmed through a formal request to the Commission, committing the respective Government. |
| --- | --- |

—

A common understanding and a reciprocal agreement between the third country and the European Union should be confirmed through a formal request to the Commission, committing the respective Government.

| — | Third countries wishing to cooperate with the European Union should fully subscribe to the principles of non-proliferation. They should also be parties to the relevant conventions, within the framework of the IAEA, on nuclear safety and security or have taken steps demonstrating a firm undertaking to accede to such conventions. Cooperation with the European Union
  could
  be made conditional on accession
  or the completion of steps towards accession
  to the relevant conventions. In cases of emergency, flexibility should, exceptionally, be shown in the application of this principle. |
| --- | --- |

—

Third countries wishing to cooperate with the European Union should fully subscribe to the principles of non-proliferation. They should also be parties to the relevant conventions, within the framework of the IAEA, on nuclear safety and security or have taken steps demonstrating a firm undertaking to accede to such conventions. Cooperation with the European Union
  could
  be made conditional on accession
  or the completion of steps towards accession
  to the relevant conventions. In cases of emergency, flexibility should, exceptionally, be shown in the application of this principle.

| — | Third countries wishing to cooperate with the European Union should fully subscribe to the principles of non-proliferation. They should also be parties to the relevant conventions, within the framework of the IAEA, on nuclear safety and security or have taken steps demonstrating a firm undertaking to accede to such conventions. Cooperation with the European Union
  should
  be made conditional on accession to the relevant conventions
  and their implementation
  . In cases of emergency, flexibility should, exceptionally, be shown in the application of this principle,
  if a failure to take action would be likely to increase the risks for the Union and its citizens
  . |
| --- | --- |

—

Third countries wishing to cooperate with the European Union should fully subscribe to the principles of non-proliferation. They should also be parties to the relevant conventions, within the framework of the IAEA, on nuclear safety and security or have taken steps demonstrating a firm undertaking to accede to such conventions. Cooperation with the European Union
  should
  be made conditional on accession to the relevant conventions
  and their implementation
  . In cases of emergency, flexibility should, exceptionally, be shown in the application of this principle,
  if a failure to take action would be likely to increase the risks for the Union and its citizens
  .

| — | In order to ensure and monitor compliance with the cooperation objectives, the third country beneficiary must accept the principle of evaluation of the actions undertaken.
  Evaluation would make it possible to monitor and verify
  compliance with the agreed objectives
  and could
  be a condition for continued payment of the Community contribution. |
| --- | --- |

—

In order to ensure and monitor compliance with the cooperation objectives, the third country beneficiary must accept the principle of evaluation of the actions undertaken.
  Evaluation would make it possible to monitor and verify
  compliance with the agreed objectives
  and could
  be a condition for continued payment of the Community contribution.

| — | In order to ensure and monitor compliance with the cooperation objectives, the third country beneficiary must accept the principle of evaluation of the actions undertaken.
  Verifiable and continued
  compliance with the agreed objectives
  should
  be a condition for continued payment of the Community contribution. |
| --- | --- |

—

In order to ensure and monitor compliance with the cooperation objectives, the third country beneficiary must accept the principle of evaluation of the actions undertaken.
  Verifiable and continued
  compliance with the agreed objectives
  should
  be a condition for continued payment of the Community contribution.

| — | Cooperation in the fields of nuclear safety and safeguards under this Regulation is not aimed at promoting nuclear energy. |
| --- | --- |

—

Cooperation in the fields of nuclear safety and safeguards under this Regulation is not aimed at promoting nuclear energy.

| — | Cooperation in the fields of nuclear safety and safeguards under this Regulation is not aimed at promoting nuclear energy
  or extending the lifetime of existing nuclear power plants
  . |
| --- | --- |

—

Cooperation in the fields of nuclear safety and safeguards under this Regulation is not aimed at promoting nuclear energy
  or extending the lifetime of existing nuclear power plants
  .

Amendment 22

Proposal for a regulation

Annex — Criteria — 2. Countries with installed nuclear generating capacity — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| In the case of countries which have already benefited from Community financing, additional cooperation should depend on the evaluation of actions funded by the Community budget and on proper justification of new needs. The evaluation should make it possible to determine more precisely the nature of the cooperation and the amounts to be granted to those countries in the future. | In the case of countries which have already benefited from Community financing, additional cooperation should depend on the evaluation of actions funded by the Community budget and on proper justification of new needs. The evaluation should make it possible to determine more precisely the nature of the cooperation and the amounts to be granted to those countries in the future.
  The Union should encourage regional cooperation and peer review mechanisms. |

Text proposed by the Commission

Amendment

In the case of countries which have already benefited from Community financing, additional cooperation should depend on the evaluation of actions funded by the Community budget and on proper justification of new needs. The evaluation should make it possible to determine more precisely the nature of the cooperation and the amounts to be granted to those countries in the future.

In the case of countries which have already benefited from Community financing, additional cooperation should depend on the evaluation of actions funded by the Community budget and on proper justification of new needs. The evaluation should make it possible to determine more precisely the nature of the cooperation and the amounts to be granted to those countries in the future.
  The Union should encourage regional cooperation and peer review mechanisms.

Amendment 23

Proposal for a regulation

Annex — Criteria — 3. Countries without installed nuclear generating capacity — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| In the case of countries that wish to develop nuclear generating capacity, whether or not they have research reactors and for which the issue arises of intervention at the appropriate moment to ensure that a nuclear safety and security culture is fostered in parallel with the development of the nuclear generating programme, especially as regards strengthening the regulatory authorities and technical support organisations
  , cooperation
  will take into account the credibility of the nuclear power development programme, the existence of a government decision on the use of nuclear energy and the drawing up of a preliminary road map. | In the case of countries that wish to develop nuclear generating capacity, whether or not they have research reactors and for which the issue arises of intervention at the appropriate moment to ensure that a nuclear safety and security culture is fostered in parallel with the development of the nuclear generating programme, especially as regards strengthening
  nuclear safety governance, and the independence and capacity of
  the regulatory authorities and technical support organisations.
  Cooperation
  will take into account the credibility of the nuclear power development programme, the existence of a government decision on the use of nuclear energy and the drawing up of a preliminary road map. |

Text proposed by the Commission

Amendment

In the case of countries that wish to develop nuclear generating capacity, whether or not they have research reactors and for which the issue arises of intervention at the appropriate moment to ensure that a nuclear safety and security culture is fostered in parallel with the development of the nuclear generating programme, especially as regards strengthening the regulatory authorities and technical support organisations
  , cooperation
  will take into account the credibility of the nuclear power development programme, the existence of a government decision on the use of nuclear energy and the drawing up of a preliminary road map.

In the case of countries that wish to develop nuclear generating capacity, whether or not they have research reactors and for which the issue arises of intervention at the appropriate moment to ensure that a nuclear safety and security culture is fostered in parallel with the development of the nuclear generating programme, especially as regards strengthening
  nuclear safety governance, and the independence and capacity of
  the regulatory authorities and technical support organisations.
  Cooperation
  will take into account the credibility of the nuclear power development programme, the existence of a government decision on the use of nuclear energy and the drawing up of a preliminary road map.

Amendment 24

Proposal for a regulation

Annex — Priorities — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| In order to create the safety conditions necessary to eliminate hazards to the life and health of the public, and to ensure that nuclear materials are not diverted to purposes other than those for which they are intended,
  cooperation is directed primarily at the nuclear regulators (and their technical support organisations).
  The
  objective
  is to ensure
  their technical competence and independence and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and follow up of effective and comprehensive risk and safety assessments (‘stress tests’). | Under this instrument,
  cooperation is directed primarily at the nuclear regulators (and their technical support organisations),
  with the
  objective
  of ensuring
  their technical competence and independence and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and follow up of effective and comprehensive risk and safety assessments (‘stress tests’).
  This should create the safety conditions necessary to eliminate hazards to the life and health of the public, and to ensure that nuclear materials are not diverted to purposes other than those for which they are intended. |

Text proposed by the Commission

Amendment

In order to create the safety conditions necessary to eliminate hazards to the life and health of the public, and to ensure that nuclear materials are not diverted to purposes other than those for which they are intended,
  cooperation is directed primarily at the nuclear regulators (and their technical support organisations).
  The
  objective
  is to ensure
  their technical competence and independence and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and follow up of effective and comprehensive risk and safety assessments (‘stress tests’).

Under this instrument,
  cooperation is directed primarily at the nuclear regulators (and their technical support organisations),
  with the
  objective
  of ensuring
  their technical competence and independence and the reinforcement of the regulatory framework, notably concerning licensing activities, including the review and follow up of effective and comprehensive risk and safety assessments (‘stress tests’).
  This should create the safety conditions necessary to eliminate hazards to the life and health of the public, and to ensure that nuclear materials are not diverted to purposes other than those for which they are intended.

Amendment 25

Proposal for a regulation

Annex — Priorities — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| Other priorities of the cooperation programmes to be developed in the context of this Regulation include: | Other priorities of the cooperation programmes to be developed in the context of this Regulation include: |
| | — | licensing activities; |

Text proposed by the Commission

Amendment

Other priorities of the cooperation programmes to be developed in the context of this Regulation include:

Other priorities of the cooperation programmes to be developed in the context of this Regulation include:

—

licensing activities;

| — | the development and implementation of responsible strategies and frameworks for the responsible and safe management of spent fuel and radioactive waste; |
| --- | --- |

—

the development and implementation of responsible strategies and frameworks for the responsible and safe management of spent fuel and radioactive waste;

| — | the development and implementation of responsible strategies and frameworks for the responsible and safe management of spent fuel and radioactive waste; |
| --- | --- |

—

the development and implementation of responsible strategies and frameworks for the responsible and safe management of spent fuel and radioactive waste;

| — | decommissioning of existing installations, the remediation of former nuclear sites and legacy sites related to uranium mining, as well as the recovery and management of sunken radioactive objects and material at sea, when these constitute a danger to the public. |
| --- | --- |

—

decommissioning of existing installations, the remediation of former nuclear sites and legacy sites related to uranium mining, as well as the recovery and management of sunken radioactive objects and material at sea, when these constitute a danger to the public.

| — | decommissioning of existing installations, the remediation of former nuclear sites and legacy sites related to uranium mining, as well as the recovery and management of sunken radioactive objects and material at sea, when these constitute a danger to the public; |
| --- | --- |

—

decommissioning of existing installations, the remediation of former nuclear sites and legacy sites related to uranium mining, as well as the recovery and management of sunken radioactive objects and material at sea, when these constitute a danger to the public;

| — | ensuring that nuclear materials are not diverted to purposes other than those for which they are intended. |
| --- | --- |

—

ensuring that nuclear materials are not diverted to purposes other than those for which they are intended.

Amendment 26

Proposal for a regulation

Annex — Priorities — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| Cooperation with operators of nuclear installations in third countries will be considered in specific situations in the framework of follow-up measures of the ‘stress tests’. Such cooperation with nuclear installations operators will exclude supply of equipment. | Cooperation with operators of nuclear installations in third countries will be considered in specific situations in the framework of follow-up measures of the ‘stress tests’. Such cooperation with nuclear installations operators will exclude supply of equipment
  , and other activities or assistance that could and should be purchased on a commercial basis by the operator in order to meet regulatory safety standards
  . |

Text proposed by the Commission

Amendment

Cooperation with operators of nuclear installations in third countries will be considered in specific situations in the framework of follow-up measures of the ‘stress tests’. Such cooperation with nuclear installations operators will exclude supply of equipment.

Cooperation with operators of nuclear installations in third countries will be considered in specific situations in the framework of follow-up measures of the ‘stress tests’. Such cooperation with nuclear installations operators will exclude supply of equipment
  , and other activities or assistance that could and should be purchased on a commercial basis by the operator in order to meet regulatory safety standards
  .

---

(*1)  
  OJ ...

(1)  
  Regulation (EU) No .../2013 of the European Parliament and of the Council of ... establishing Horizon 2020 — The Framework Programme for Research and Innovation (2014 to 2020) and repealing Decision 1982/2006/EC (OJ L...).

(2)  
  Council Regulation (Euratom) No .../... of ... on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing Horizon 2020 — the Framework Programme for Research and Innovation (OJ ...).

(3)  
  Regulation (EU) No .../2013 of the European Parliament and of the Council of ... on the Instrument for Pre-accession Assistance (IPA II) (OJ L...)

(4)  
  Regulation (EU) No .../2013 of the European Parliament and of the Council of ... establishing a European Neighbourhood Instrument (OJ L...)

(5)  
  Council Regulation (EC) No 1934/2006 of 21 December 2006 establishing a financing instrument for cooperation with industrialised and other high-income countries and territories, and with developing countries falling within the scope of Regulation (EC) No 1905/2006 of the European Parliament and of the Council, for activities other than official development assistance (OJ L 405, 30.12.2006).

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/122 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/122

---

P7_TA(2013)0471

Nuclear decommissioning assistance programmes in Bulgaria, Lithuania and Slovakia *

European Parliament legislative resolution of 19 November 2013 on the proposal for a Council regulation on Union support for the nuclear decommissioning assistance programmes in Bulgaria, Lithuania and Slovakia (COM(2011)0783 — C7-0514/2011 — 2011/0363(NLE))

(Consultation)

(2016/C 436/26)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2011)0783), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2011)0783),

| — | having regard to Article 203 of the Euratom Treaty, pursuant to which the Council consulted Parliament (C7-0514/2011), |
| --- | --- |

—

having regard to Article 203 of the Euratom Treaty, pursuant to which the Council consulted Parliament (C7-0514/2011),

| — | having regard to Article 56 of the Act of Accession of the Czech Republic, the Republic of Estonia, the Republic of Cyprus, the Republic of Latvia, the Republic of Lithuania, the Republic of Hungary, the Republic of Malta, the Republic of Poland, the Republic of Slovenia and the Slovak Republic and Protocol No 4 thereto, |
| --- | --- |

—

having regard to Article 56 of the Act of Accession of the Czech Republic, the Republic of Estonia, the Republic of Cyprus, the Republic of Latvia, the Republic of Lithuania, the Republic of Hungary, the Republic of Malta, the Republic of Poland, the Republic of Slovenia and the Slovak Republic and Protocol No 4 thereto,

| — | 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 Rules 55 and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 37 of its Rules of Procedure,

| — | having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A7-0119/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A7-0119/2013),

| 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 and Article 106a of the Euratom Treaty; |
| --- | --- |

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 and Article 106a of the Euratom Treaty;

| 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 and the Commission. |
| --- | --- |

5.

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

Amendment 1

Proposal for a regulation

Recital 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| (4) | In line with the Accession Treaty obligations and with the support of Community assistance, Bulgaria, Lithuania and Slovakia have closed the nuclear power plants and made significant progress towards their decommissioning. Further work is necessary in order to continue the progress with the actual dismantling
  operations until an irreversible state within the safe
  decommissioning
  process is reached
  , whilst ensuring that the highest safety standards are applied. Based on the available estimates, completion of decommissioning work will require substantial additional financial resources. |

Text proposed by the Commission

Amendment

(4)

In line with the Accession Treaty obligations and with the support of Community assistance, Bulgaria, Lithuania and Slovakia have closed the nuclear power plants and made significant progress towards their decommissioning. Further work is necessary in order to continue the progress with the actual dismantling
  operations until an irreversible state within the safe
  decommissioning
  process is reached
  , whilst ensuring that the highest safety standards are applied. Based on the available estimates, completion of decommissioning work will require substantial additional financial resources.

| (4) | In line with the Accession Treaty obligations and with the support of Community assistance, Bulgaria, Lithuania and Slovakia have closed the nuclear power plants,
  or relevant units,
  and made significant progress towards their decommissioning. Further work is necessary in order to continue the progress with the actual
  demolition, decontamination,
  dismantling
  and management of spent fuel and radioactive waste operations and to implement the steady process towards the irreversible
  decommissioning
  end state
  , whilst ensuring that the highest safety standards are applied. Based on the available estimates, completion of decommissioning work will require substantial additional financial resources,
  while taking into account the shared financial responsibility of the Union and those Member States
  . |
| --- | --- |

(4)

In line with the Accession Treaty obligations and with the support of Community assistance, Bulgaria, Lithuania and Slovakia have closed the nuclear power plants,
  or relevant units,
  and made significant progress towards their decommissioning. Further work is necessary in order to continue the progress with the actual
  demolition, decontamination,
  dismantling
  and management of spent fuel and radioactive waste operations and to implement the steady process towards the irreversible
  decommissioning
  end state
  , whilst ensuring that the highest safety standards are applied. Based on the available estimates, completion of decommissioning work will require substantial additional financial resources,
  while taking into account the shared financial responsibility of the Union and those Member States
  .

Amendment 2

Proposal for a regulation

Recital 4 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (4a) | The premature shutdown and consequent decommissioning of the Ignalina nuclear power plant with two 1500 MW reactor units, four units of the Kozloduy nuclear power plant with an overall capacity of 1760 MW and the V1 Bohunice nuclear power plant with two units with a capacity of 880 MW has imposed a heavy long term burden on the citizens of the three countries in terms of energy, financial, economic, environmental and social implications. |

Text proposed by the Commission

Amendment

(4a)

The premature shutdown and consequent decommissioning of the Ignalina nuclear power plant with two 1500 MW reactor units, four units of the Kozloduy nuclear power plant with an overall capacity of 1760 MW and the V1 Bohunice nuclear power plant with two units with a capacity of 880 MW has imposed a heavy long term burden on the citizens of the three countries in terms of energy, financial, economic, environmental and social implications.

Amendment 3

Proposal for a regulation

Recital 4 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (4b) | The decommissioning of the Ignalina nuclear power plant is a long-term operation and represents for Lithuania an exceptional financial burden not commensurate with its size or economic strength. Protocol No 4 to the 2003 Act of Accession states that ‘The Ignalina Programme will be, for this purpose seamlessly continued and extended beyond 2006.’, adding that ‘For the period of the next Financial Perspectives, the overall average appropriations under the extended Ignalina Programme shall be appropriate.’ |

Text proposed by the Commission

Amendment

(4b)

The decommissioning of the Ignalina nuclear power plant is a long-term operation and represents for Lithuania an exceptional financial burden not commensurate with its size or economic strength. Protocol No 4 to the 2003 Act of Accession states that ‘The Ignalina Programme will be, for this purpose seamlessly continued and extended beyond 2006.’, adding that ‘For the period of the next Financial Perspectives, the overall average appropriations under the extended Ignalina Programme shall be appropriate.’

Amendment 4

Proposal for a regulation

Recital 4 c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (4c) | In the case of Bulgaria, Article 30 of the 2005 Act of Accession refers only to the period 2007-2009, and in the case of Slovakia the 2003 Act of Accession refers only to the period 2004-2006. Therefore, in relation to further assistance for Bulgaria and Slovakia, Article 203 of the Euratom Treaty should be applied, and Protocol No 4 and Article 56 of the 2003 Act of Accession serve as the legal basis for continued assistance for Lithuania. |

Text proposed by the Commission

Amendment

(4c)

In the case of Bulgaria, Article 30 of the 2005 Act of Accession refers only to the period 2007-2009, and in the case of Slovakia the 2003 Act of Accession refers only to the period 2004-2006. Therefore, in relation to further assistance for Bulgaria and Slovakia, Article 203 of the Euratom Treaty should be applied, and Protocol No 4 and Article 56 of the 2003 Act of Accession serve as the legal basis for continued assistance for Lithuania.

Amendment 5

Proposal for a regulation

Recital 5 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (5a) | Under the Programmes established for the period 2007-2013, the Commission's supervision has focussed on budgetary execution of the financial appropriations and project implementation, rather than on the extent of the progress achieved towards the Programmes' objectives as a whole. Insufficient measuring of progress towards the achievement of the Programmes' objectives and inadequate monitoring of the effective use of resources has meant that no one has been truly accountable for the overall performance of the Programmes. |

Text proposed by the Commission

Amendment

(5a)

Under the Programmes established for the period 2007-2013, the Commission's supervision has focussed on budgetary execution of the financial appropriations and project implementation, rather than on the extent of the progress achieved towards the Programmes' objectives as a whole. Insufficient measuring of progress towards the achievement of the Programmes' objectives and inadequate monitoring of the effective use of resources has meant that no one has been truly accountable for the overall performance of the Programmes.

Amendment 6

Proposal for a regulation

Recital 5 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (5b) | Due account should be taken of the Special Report 16/2011 of the Court of Auditors: EU financial assistance for the decommissioning of nuclear power plants in Bulgaria, Lithuania and Slovakia: achievements and future challenges, which includes conclusions and recommendations. The Court of Auditors has concluded that the main decommissioning process in Bulgaria, Lithuania and Slovakia is still ahead and that its finalisation faces a significant funding shortfall (around EUR 2,5 billion). In particular, major infrastructure projects have faced delays and cost-overruns in the main decommissioning process, and cost estimates are not complete in the absence of key information on radioactive waste and/or the facilities and technologies required for its treatment. |

Text proposed by the Commission

Amendment

(5b)

Due account should be taken of the Special Report 16/2011 of the Court of Auditors: EU financial assistance for the decommissioning of nuclear power plants in Bulgaria, Lithuania and Slovakia: achievements and future challenges, which includes conclusions and recommendations. The Court of Auditors has concluded that the main decommissioning process in Bulgaria, Lithuania and Slovakia is still ahead and that its finalisation faces a significant funding shortfall (around EUR 2,5 billion). In particular, major infrastructure projects have faced delays and cost-overruns in the main decommissioning process, and cost estimates are not complete in the absence of key information on radioactive waste and/or the facilities and technologies required for its treatment.

Amendment 7

Proposal for a regulation

Recital 5 c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (5c) | Although the shutdown of all the units concerned took place within the respective deadlines, some decommissioning programmes continue to encounter delays that are economically damaging and politically unacceptable. Such delays should be tackled by the revised detailed decommissioning plan. |

Text proposed by the Commission

Amendment

(5c)

Although the shutdown of all the units concerned took place within the respective deadlines, some decommissioning programmes continue to encounter delays that are economically damaging and politically unacceptable. Such delays should be tackled by the revised detailed decommissioning plan.

Amendment 8

Proposal for a regulation

Recital 5 d (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (5d) | As some programmes have not yet triggered the organisational changes needed for effective decommissioning, the necessary transformation of organisational structures should be performed. |

Text proposed by the Commission

Amendment

(5d)

As some programmes have not yet triggered the organisational changes needed for effective decommissioning, the necessary transformation of organisational structures should be performed.

Amendment 9

Proposal for a regulation

Recital 6

| Text proposed by the Commission | Amendment |
| --- | --- |
| (6) | Following the request for further funding from Bulgaria, Lithuania and Slovakia,
  provision has been made in the Commission proposal for the next Multi-Annual
  financial
  framework
  for the period
  2014-2020: ‘'A Budget for Europe 2020’‘ for a sum of EUR 700 million from the general budget of the European Union for nuclear safety and decommissioning. From this the amount EUR 500 million in 2011 prices which is about EUR 553 million in the current prices is foreseen for a new Programme to further support the decommissioning of the Bohunice V1 units 1-2 and the Ignalina units 1-2 over the period from 2014 to 2017 and the Kozloduy units 1-4 nuclear power plants over the period from 2014 to 2020. Funding under this new Programme should be made available in a gradually decreasing manner
  . |

Text proposed by the Commission

Amendment

(6)

Following the request for further funding from Bulgaria, Lithuania and Slovakia,
  provision has been made in the Commission proposal for the next Multi-Annual
  financial
  framework
  for the period
  2014-2020: ‘'A Budget for Europe 2020’‘ for a sum of EUR 700 million from the general budget of the European Union for nuclear safety and decommissioning. From this the amount EUR 500 million in 2011 prices which is about EUR 553 million in the current prices is foreseen for a new Programme to further support the decommissioning of the Bohunice V1 units 1-2 and the Ignalina units 1-2 over the period from 2014 to 2017 and the Kozloduy units 1-4 nuclear power plants over the period from 2014 to 2020. Funding under this new Programme should be made available in a gradually decreasing manner
  .

| (6) | Following the request for further funding from Bulgaria, Lithuania and Slovakia,
  the
  financial
  envelope for the implementation of the Programme
  for the period
  2014 to 2020 should include appropriate financial support from the Union, based on each decommissioning plan
  . |
| --- | --- |

(6)

Following the request for further funding from Bulgaria, Lithuania and Slovakia,
  the
  financial
  envelope for the implementation of the Programme
  for the period
  2014 to 2020 should include appropriate financial support from the Union, based on each decommissioning plan
  .

Amendment 10

Proposal for a regulation

Recital 6 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (6a) | The amount of the appropriations allocated to the Programmes, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes may be reviewed in the light of the results of the interim and the final evaluation report, provided that the highest safety standards and steady process of decommissioning in accordance with respective decommissioning plans are not endangered. |

Text proposed by the Commission

Amendment

(6a)

The amount of the appropriations allocated to the Programmes, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes may be reviewed in the light of the results of the interim and the final evaluation report, provided that the highest safety standards and steady process of decommissioning in accordance with respective decommissioning plans are not endangered.

Amendment 11

Proposal for a regulation

Recital 7

| Text proposed by the Commission | Amendment |
| --- | --- |
| (7) | The support covered by this Regulation should ensure seamless continuation of decommissioning and concentrate on measures to
  reach an irreversible state within the safe decommissioning
  process
  , as such bringing the greatest
  Union added value
  , while ensuring the transition towards Member State funding for the completion of decommissioning.
  The ultimate responsibility for nuclear safety remains with the Member States concerned, which also implies the ultimate responsibility for its financing, including the financing of decommissioning. This Regulation does not prejudice the outcome of any future State aid procedures that may be undertaken in accordance with Articles 107 and 108 of the Treaty. |

Text proposed by the Commission

Amendment

(7)

The support covered by this Regulation should ensure seamless continuation of decommissioning and concentrate on measures to
  reach an irreversible state within the safe decommissioning
  process
  , as such bringing the greatest
  Union added value
  , while ensuring the transition towards Member State funding for the completion of decommissioning.
  The ultimate responsibility for nuclear safety remains with the Member States concerned, which also implies the ultimate responsibility for its financing, including the financing of decommissioning. This Regulation does not prejudice the outcome of any future State aid procedures that may be undertaken in accordance with Articles 107 and 108 of the Treaty.

| (7) | The support covered by this Regulation should ensure seamless continuation of decommissioning and concentrate on measures to
  implement steady
  process
  towards the irreversible decommissioning end state whilst ensuring that the highest safety standards are applied, as such measures bring the most
  Union added value. The ultimate responsibility for nuclear safety remains with the Member States concerned, which also implies the ultimate responsibility for its financing, including the financing of decommissioning.
  Failure to comply with this obligation puts Union citizens at risk.
  This Regulation does not prejudice the outcome of any future State aid procedures that may be undertaken in accordance with Articles 107 and 108 of the Treaty
  on the Functioning of the European Union
  . |
| --- | --- |

(7)

The support covered by this Regulation should ensure seamless continuation of decommissioning and concentrate on measures to
  implement steady
  process
  towards the irreversible decommissioning end state whilst ensuring that the highest safety standards are applied, as such measures bring the most
  Union added value. The ultimate responsibility for nuclear safety remains with the Member States concerned, which also implies the ultimate responsibility for its financing, including the financing of decommissioning.
  Failure to comply with this obligation puts Union citizens at risk.
  This Regulation does not prejudice the outcome of any future State aid procedures that may be undertaken in accordance with Articles 107 and 108 of the Treaty
  on the Functioning of the European Union
  .

Amendment 12

Proposal for a regulation

Recital 9

| Text proposed by the Commission | Amendment |
| --- | --- |
| (9) | The decommissioning of the nuclear power plants covered by this Regulation should be carried out with recourse to the best available technical expertise,
  and
  with due regard to the nature and technological specifications of the units to be shut down, in order to ensure the highest possible efficiency. |

Text proposed by the Commission

Amendment

(9)

The decommissioning of the nuclear power plants covered by this Regulation should be carried out with recourse to the best available technical expertise,
  and
  with due regard to the nature and technological specifications of the units to be shut down, in order to ensure the highest possible efficiency.

| (9) | The decommissioning of the nuclear power plants covered by this Regulation should be carried out with recourse to the best available technical expertise, with due regard to the nature and technological specifications of the units to be shut down
  and with comprehensive assessments on the progress of the decommissioning and mitigation processes,
  in order to ensure the highest possible efficiency. |
| --- | --- |

(9)

The decommissioning of the nuclear power plants covered by this Regulation should be carried out with recourse to the best available technical expertise, with due regard to the nature and technological specifications of the units to be shut down
  and with comprehensive assessments on the progress of the decommissioning and mitigation processes,
  in order to ensure the highest possible efficiency.

Amendment 13

Proposal for a regulation

Recital 10 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (10a) | The costs of the decommissioning activities covered by this Regulation should be established according to internationally recognized standards for decommissioning cost estimation, such as for example the International Structure for Decommissioning Costing jointly published by the Nuclear Energy Agency, the International Atomic Energy Agency and the Commission. |

Text proposed by the Commission

Amendment

(10a)

The costs of the decommissioning activities covered by this Regulation should be established according to internationally recognized standards for decommissioning cost estimation, such as for example the International Structure for Decommissioning Costing jointly published by the Nuclear Energy Agency, the International Atomic Energy Agency and the Commission.

Amendment 14

Proposal for a regulation

Recital 11

| Text proposed by the Commission | Amendment |
| --- | --- |
| (11) | An effective control of the evolution of the decommissioning process will be ensured by the Commission in order to assure the highest Union added value of the funding allocated within this Regulation, although the final responsibility for the decommissioning rests with the Member States. This includes effective performance measurement and assessment of corrective measures during the programme. |

Text proposed by the Commission

Amendment

(11)

An effective control of the evolution of the decommissioning process will be ensured by the Commission in order to assure the highest Union added value of the funding allocated within this Regulation, although the final responsibility for the decommissioning rests with the Member States. This includes effective performance measurement and assessment of corrective measures during the programme.

| (11) | An effective control of the evolution of the decommissioning process will be ensured by the Commission in order to assure the highest Union added value of the funding allocated within this Regulation, although the final responsibility for the decommissioning rests with the Member States. This includes effective performance measurement and assessment of corrective measures during the programme.
  Such control should be based on the establishment of meaningful qualitative and quantitative performance indicators which can be easily monitored and reported on as necessary. |
| --- | --- |

(11)

An effective control of the evolution of the decommissioning process will be ensured by the Commission in order to assure the highest Union added value of the funding allocated within this Regulation, although the final responsibility for the decommissioning rests with the Member States. This includes effective performance measurement and assessment of corrective measures during the programme.
  Such control should be based on the establishment of meaningful qualitative and quantitative performance indicators which can be easily monitored and reported on as necessary.

Amendment 15

Proposal for a regulation

Recital 12 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (12a) | The Commission should ensure the utmost transparency, accountability and democratic scrutiny of Union funds, especially as regards their contribution, both expected and achieved, to reaching the general objectives of the Programme. In particular critical managerial, legal, financial and technical problems should be resolved or measures taken to solve them. |

Text proposed by the Commission

Amendment

(12a)

The Commission should ensure the utmost transparency, accountability and democratic scrutiny of Union funds, especially as regards their contribution, both expected and achieved, to reaching the general objectives of the Programme. In particular critical managerial, legal, financial and technical problems should be resolved or measures taken to solve them.

Amendment 16

Proposal for a regulation

Recital 13 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (13a) | Every effort should be made to continue the co-financing practice established as part of pre-accession assistance and the assistance given over the period 2007-2013 for the decommissioning efforts of Lithuania as well as to attract co-financing from other sources as appropriate. |

Text proposed by the Commission

Amendment

(13a)

Every effort should be made to continue the co-financing practice established as part of pre-accession assistance and the assistance given over the period 2007-2013 for the decommissioning efforts of Lithuania as well as to attract co-financing from other sources as appropriate.

Amendment 17

Proposal for a regulation

Article 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| This Regulation establishes the multi-annual Nuclear Decommissioning Assistance Programme 2014 — 2020 (‘the Programme’) laying down rules for
  the
  implementation of the Union's financial support for measures connected with the decommissioning of the Kozloduy (units 1 to 4; the Kozloduy Programme), Ignalina (units 1 and 2; the Ignalina Programme) and Bohunice V1 (units 1 and 2; the Bohunice Programme) nuclear power plants. | This Regulation establishes the multi-annual Nuclear Decommissioning Assistance Programme 2014 — 2020 (‘the Programme’) laying down rules for
  further
  implementation of the Union's financial support for measures connected with the
  irreversible
  decommissioning of the Kozloduy (units 1 to 4; the Kozloduy Programme), Ignalina (units 1 and 2; the Ignalina Programme) and Bohunice V1 (units 1 and 2; the Bohunice Programme) nuclear power plants. |

Text proposed by the Commission

Amendment

This Regulation establishes the multi-annual Nuclear Decommissioning Assistance Programme 2014 — 2020 (‘the Programme’) laying down rules for
  the
  implementation of the Union's financial support for measures connected with the decommissioning of the Kozloduy (units 1 to 4; the Kozloduy Programme), Ignalina (units 1 and 2; the Ignalina Programme) and Bohunice V1 (units 1 and 2; the Bohunice Programme) nuclear power plants.

This Regulation establishes the multi-annual Nuclear Decommissioning Assistance Programme 2014 — 2020 (‘the Programme’) laying down rules for
  further
  implementation of the Union's financial support for measures connected with the
  irreversible
  decommissioning of the Kozloduy (units 1 to 4; the Kozloduy Programme), Ignalina (units 1 and 2; the Ignalina Programme) and Bohunice V1 (units 1 and 2; the Bohunice Programme) nuclear power plants.

Amendment 18

Proposal for a regulation

Article 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 1a |
| | Definition |
| | For the purposes of this Regulation, decommissioning covers preparatory activities prior to the final shutdown (such as developing a decommissioning plan, preparing the licensing documentation and waste infrastructure projects) and all the activities taking place after the reactors are shut down, i.e. the removal and the final disposal of spent fuel elements, the decontamination, dismantling and/or demolition of the nuclear installations, the disposal of remaining radioactive waste materials and the environmental restoration of the contaminated site. The decommissioning process ends when the installation is released from any regulatory control and radiological restriction. |

Text proposed by the Commission

Amendment

Article 1a

Definition

For the purposes of this Regulation, decommissioning covers preparatory activities prior to the final shutdown (such as developing a decommissioning plan, preparing the licensing documentation and waste infrastructure projects) and all the activities taking place after the reactors are shut down, i.e. the removal and the final disposal of spent fuel elements, the decontamination, dismantling and/or demolition of the nuclear installations, the disposal of remaining radioactive waste materials and the environmental restoration of the contaminated site. The decommissioning process ends when the installation is released from any regulatory control and radiological restriction.

Amendment 19

Proposal for a regulation

Article 2 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The general objective of the Programme is to assist the Member States concerned to
  reach an
  irreversible state
  within the decommissioning process
  of Kozloduy units 1 to 4, Ignalina units 1 and 2 and Bohunice V1 units 1 and 2 nuclear power plants
  , in accordance with their respective decommissioning plans,
  while
  keeping
  the highest level of safety. | 1.   The general objective of the Programme is to assist the Member States concerned to
  implement a steady process towards the
  irreversible
  decommissioning end
  state of Kozloduy units 1 to 4, Ignalina units 1 and 2 and Bohunice V1 units 1 and 2 nuclear power plants, while
  maintaining
  the highest level of safety
  in accordance with Union law on nuclear safety and in particular Council Directives 96/29/Euratom

   (1)

  , 2009/71/Euratom

   (2)

  and 2011/70/Euratom

   (3)

  . |

Text proposed by the Commission

Amendment

1.   The general objective of the Programme is to assist the Member States concerned to
  reach an
  irreversible state
  within the decommissioning process
  of Kozloduy units 1 to 4, Ignalina units 1 and 2 and Bohunice V1 units 1 and 2 nuclear power plants
  , in accordance with their respective decommissioning plans,
  while
  keeping
  the highest level of safety.

1.   The general objective of the Programme is to assist the Member States concerned to
  implement a steady process towards the
  irreversible
  decommissioning end
  state of Kozloduy units 1 to 4, Ignalina units 1 and 2 and Bohunice V1 units 1 and 2 nuclear power plants, while
  maintaining
  the highest level of safety
  in accordance with Union law on nuclear safety and in particular Council Directives 96/29/Euratom

   (1)

  , 2009/71/Euratom

   (2)

  and 2011/70/Euratom

   (3)

  .

Amendment 20

Proposal for a regulation

Article 2 — paragraph 2 — point a — point iii

| Text proposed by the Commission | Amendment |
| --- | --- |
| (iii) | safely managing the decommissioning waste in accordance with a detailed waste management plan, to be measured by the quantity and type of
  conditioned
  waste; |

Text proposed by the Commission

Amendment

(iii)

safely managing the decommissioning waste in accordance with a detailed waste management plan, to be measured by the quantity and type of
  conditioned
  waste;

| (iii) | safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan, to be measured by the quantity and type of
  stored and disposed of
  waste; |
| --- | --- |

(iii)

safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan, to be measured by the quantity and type of
  stored and disposed of
  waste;

Amendment 21

Proposal for a regulation

Article 2 — paragraph 2 — point b — point iii

| Text proposed by the Commission | Amendment |
| --- | --- |
| (iii) | performing dismantling in the turbine hall and other auxiliary buildings and safely managing the decommissioning waste in accordance with a detailed waste management plan to be measured by
  the type and number of auxiliary systems dismantled and
  the quantity and type of
  conditioned
  waste; |

Text proposed by the Commission

Amendment

(iii)

performing dismantling in the turbine hall and other auxiliary buildings and safely managing the decommissioning waste in accordance with a detailed waste management plan to be measured by
  the type and number of auxiliary systems dismantled and
  the quantity and type of
  conditioned
  waste;

| (iii) | performing dismantling in the turbine hall and other auxiliary buildings and safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan to be measured by the quantity and type of
  stored and disposed of
  waste; |
| --- | --- |

(iii)

performing dismantling in the turbine hall and other auxiliary buildings and safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan to be measured by the quantity and type of
  stored and disposed of
  waste;

Amendment 22

Proposal for a regulation

Article 2 — paragraph 2 — point c — point iii

| Text proposed by the Commission | Amendment |
| --- | --- |
| (iii) | safely managing the decommissioning waste in accordance with a detailed waste management plan, to be measured by the quantity and type of
  conditioned
  waste; |

Text proposed by the Commission

Amendment

(iii)

safely managing the decommissioning waste in accordance with a detailed waste management plan, to be measured by the quantity and type of
  conditioned
  waste;

| (iii) | safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan, to be measured by the quantity and type of
  stored and disposed of
  waste; |
| --- | --- |

(iii)

safely managing the
  long term storage and disposal of
  decommissioning waste in accordance with a detailed
  national
  waste management plan, to be measured by the quantity and type of
  stored and disposed of
  waste;

Amendment 23

Proposal for a regulation

Article 2 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2a.
     
  Any of the decommissioning programmes referred to in paragraph 2 may also include measures to maintain the requisite high level of shutdown safety at the nuclear power plants. |

Text proposed by the Commission

Amendment

2a.
     
  Any of the decommissioning programmes referred to in paragraph 2 may also include measures to maintain the requisite high level of shutdown safety at the nuclear power plants.

Amendment 24

Proposal for a regulation

Article 2 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   Milestones
  and
  target end dates shall be defined in the act as referred to under Article 6(2). | 3.   
  The
  milestones
  , expected general results,
  target end dates
  and performance indicators of the joint annual work programme
  shall be defined in the act as referred to under Article 6(2). |

Text proposed by the Commission

Amendment

3.   Milestones
  and
  target end dates shall be defined in the act as referred to under Article 6(2).

3.   
  The
  milestones
  , expected general results,
  target end dates
  and performance indicators of the joint annual work programme
  shall be defined in the act as referred to under Article 6(2).

Amendment 42

Proposal for a regulation

Article 3 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The financial envelope for the implementation of the Programme for the period 2014 to 2020 shall be EUR
  552 947 000
  in current prices. | 1.   The financial envelope for the implementation of the Programme for the period 2014 to 2020 shall be EUR
  969 260 000
  in current prices. |
| That amount shall be distributed among the Kozloduy, Ignalina and Bohunice Programmes as follows: | That amount shall be distributed among the Kozloduy, Ignalina and Bohunice Programmes as follows: |
| (a) | EUR
  208 503 000
  for the Kozloduy Programme for the period 2014 to 2020; |

Text proposed by the Commission

Amendment

1.   The financial envelope for the implementation of the Programme for the period 2014 to 2020 shall be EUR
  552 947 000
  in current prices.

1.   The financial envelope for the implementation of the Programme for the period 2014 to 2020 shall be EUR
  969 260 000
  in current prices.

That amount shall be distributed among the Kozloduy, Ignalina and Bohunice Programmes as follows:

That amount shall be distributed among the Kozloduy, Ignalina and Bohunice Programmes as follows:

(a)

EUR
  208 503 000
  for the Kozloduy Programme for the period 2014 to 2020;

| (a) | EUR
  293 032 000
  for the Kozloduy Programme for the period 2014 to 2020; |
| --- | --- |

(a)

EUR
  293 032 000
  for the Kozloduy Programme for the period 2014 to 2020;

| (b) | EUR
  229 629 000
  for the Ignalina Programme for the period 2014 to
  2017
  ; |
| --- | --- |

(b)

EUR
  229 629 000
  for the Ignalina Programme for the period 2014 to
  2017
  ;

| (b) | EUR
  450 818 000
  for the Ignalina Programme for the period 2014 to
  2020
  ; |
| --- | --- |

(b)

EUR
  450 818 000
  for the Ignalina Programme for the period 2014 to
  2020
  ;

| (c) | EUR
  114 815 000
  for the Bohunice Programme for the period 2014 to
  2017
  . |
| --- | --- |

(c)

EUR
  114 815 000
  for the Bohunice Programme for the period 2014 to
  2017
  .

| (c) | EUR
  225 410 000
  for the Bohunice Programme for the period 2014 to
  2020. |
| --- | --- |

(c)

EUR
  225 410 000
  for the Bohunice Programme for the period 2014 to
  2020.

1a.
     
  The annual appropriations shall be authorised by the European Parliament and the Council within the limits of the multiannual financial framework and without prejudice to the provisions of the Interinstitutional Agreement of ... 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management

   (4)

  .

Amendment 26

Proposal for a regulation

Article 3 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   
  The
  Commission will review the performance of the Programme and assess the progress of the Kozloduy, Ignalina and Bohunice Programmes against the milestones and target dates referred to in Art 2.3 by the end of
  2015
  within the framework of the interim evaluation referred to in Art. 8. Based on the results of this assessment, the Commission
  may
  review the amount of the appropriations allocated to the Programme, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes. | 2.   
  On the basis of the programmes referred to in Article 6(1) and (2), the
  Commission will review the performance of the Programme and assess the progress of the Kozloduy, Ignalina and Bohunice Programmes against the milestones and target dates referred to in
  Article
  2(3) by the end of
  2017
  within the framework of the interim evaluation referred to in
  Article
  8. Based on the results of this assessment
  and to take account of the progress achieved and to ensure that resources continue to be allocated on the basis of actual needs
  , the Commission
  shall if appropriate
  review the amount of the appropriations allocated to the Programme, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes.
  Any adjustment of the appropriations shall not jeopardise safety standards at the nuclear power plants referred to in Article 1
  . |

Text proposed by the Commission

Amendment

2.   
  The
  Commission will review the performance of the Programme and assess the progress of the Kozloduy, Ignalina and Bohunice Programmes against the milestones and target dates referred to in Art 2.3 by the end of
  2015
  within the framework of the interim evaluation referred to in Art. 8. Based on the results of this assessment, the Commission
  may
  review the amount of the appropriations allocated to the Programme, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes.

2.   
  On the basis of the programmes referred to in Article 6(1) and (2), the
  Commission will review the performance of the Programme and assess the progress of the Kozloduy, Ignalina and Bohunice Programmes against the milestones and target dates referred to in
  Article
  2(3) by the end of
  2017
  within the framework of the interim evaluation referred to in
  Article
  8. Based on the results of this assessment
  and to take account of the progress achieved and to ensure that resources continue to be allocated on the basis of actual needs
  , the Commission
  shall if appropriate
  review the amount of the appropriations allocated to the Programme, as well as the programming period and distribution amongst the Kozloduy, Ignalina and Bohunice Programmes.
  Any adjustment of the appropriations shall not jeopardise safety standards at the nuclear power plants referred to in Article 1
  .

Amendment 27

Proposal for a regulation

Article 3 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   The financial allocation for the Kozloduy, Ignalina and Bohunice Programmes may also cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of the programme and the achievement of its objectives; in particular, studies, meetings of experts, information and communication actions, including corporate communication of the political priorities of the European Union as far as they are related to the general objectives of this Regulation
  , expenses
  linked to IT networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the programme. | 3.   The financial allocation for the Kozloduy, Ignalina and Bohunice Programmes may also cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of the programme and the achievement of its objectives; in particular, studies, meetings of experts,
  training,
  information and communication actions, including corporate communication of the political priorities of the European Union as far as they are related to the general objectives of this Regulation
  . Expenses
  linked to IT networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the programme
  may also be covered
  . |
| The financial allocation may also cover the technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Council Regulation (EC) 1990/2006, Regulation (Euratom) No 549/2007 and Council Regulation (Euratom) 647/2010. | The financial allocation may also cover the technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Council Regulation (EC)
  No
  1990/2006, Regulation (Euratom) No 549/2007 and Council Regulation (Euratom)
  No
  647/2010.
  The financial allocation shall not cover any measures other than those referred to in this Article and Article 2 of this Regulation. |

Text proposed by the Commission

Amendment

3.   The financial allocation for the Kozloduy, Ignalina and Bohunice Programmes may also cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of the programme and the achievement of its objectives; in particular, studies, meetings of experts, information and communication actions, including corporate communication of the political priorities of the European Union as far as they are related to the general objectives of this Regulation
  , expenses
  linked to IT networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the programme.

3.   The financial allocation for the Kozloduy, Ignalina and Bohunice Programmes may also cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of the programme and the achievement of its objectives; in particular, studies, meetings of experts,
  training,
  information and communication actions, including corporate communication of the political priorities of the European Union as far as they are related to the general objectives of this Regulation
  . Expenses
  linked to IT networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of the programme
  may also be covered
  .

The financial allocation may also cover the technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Council Regulation (EC) 1990/2006, Regulation (Euratom) No 549/2007 and Council Regulation (Euratom) 647/2010.

The financial allocation may also cover the technical and administrative assistance expenses necessary to ensure the transition between the Programme and the measures adopted under Council Regulation (EC)
  No
  1990/2006, Regulation (Euratom) No 549/2007 and Council Regulation (Euratom)
  No
  647/2010.
  The financial allocation shall not cover any measures other than those referred to in this Article and Article 2 of this Regulation.

Amendment 28

Proposal for a regulation

Article 3 — paragraph 3 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 3a.
     
  Every effort shall be made to continue the co-financing practice established as part of pre-accession assistance and the assistance given over the period 2007-2013 for decommissioning efforts of Bulgaria, Lithuania and Slovakia as well as to attract co-financing from other sources as appropriate. |

Text proposed by the Commission

Amendment

3a.
     
  Every effort shall be made to continue the co-financing practice established as part of pre-accession assistance and the assistance given over the period 2007-2013 for decommissioning efforts of Bulgaria, Lithuania and Slovakia as well as to attract co-financing from other sources as appropriate.

Amendment 29

Proposal for a regulation

Article 3 — paragraph 3 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 3b.
     
  Disagreements over the interpretation of the Treaties and the award of contracts shall be subject to judicial review or the latter shall be submitted to an arbitration procedure. |
| | Resultant delays in construction may lead to the postponement of payment and reductions in the financial allocation. A report on this issue shall be submitted by the Commission as part of the annual evaluation report referred to in Article 6(1a), to the European Parliament and to the Council. |

Text proposed by the Commission

Amendment

3b.
     
  Disagreements over the interpretation of the Treaties and the award of contracts shall be subject to judicial review or the latter shall be submitted to an arbitration procedure.

Resultant delays in construction may lead to the postponement of payment and reductions in the financial allocation. A report on this issue shall be submitted by the Commission as part of the annual evaluation report referred to in Article 6(1a), to the European Parliament and to the Council.

Amendment 30

Proposal for a regulation

Article 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   By 1 January 2014 Bulgaria, Lithuania and Slovakia shall fulfil the following ex ante conditionalities: | 1.   By 1 January 2014 Bulgaria, Lithuania and Slovakia shall
  take the appropriate measures to ensure that they
  fulfil the following ex ante conditionalities: |
| (a) | Comply with Union's acquis; in
  particular in
  the area of nuclear safety the transposition into national law of
  the
  Council Directive 2009/71/Euratom on nuclear safety and
  the
  Council Directive 2011/70/Euratom on the management of spent fuel and radioactive waste. |

Text proposed by the Commission

Amendment

1.   By 1 January 2014 Bulgaria, Lithuania and Slovakia shall fulfil the following ex ante conditionalities:

1.   By 1 January 2014 Bulgaria, Lithuania and Slovakia shall
  take the appropriate measures to ensure that they
  fulfil the following ex ante conditionalities:

(a)

Comply with Union's acquis; in
  particular in
  the area of nuclear safety the transposition into national law of
  the
  Council Directive 2009/71/Euratom on nuclear safety and
  the
  Council Directive 2011/70/Euratom on the management of spent fuel and radioactive waste.

| (a) | Comply with
  the
  Union's acquis in the area of nuclear safety
  , in particular regarding
  the transposition into national law of Council Directive 2009/71/Euratom on nuclear safety and Council Directive 2011/70/Euratom on the management of spent fuel and radioactive waste. |
| --- | --- |

(a)

Comply with
  the
  Union's acquis in the area of nuclear safety
  , in particular regarding
  the transposition into national law of Council Directive 2009/71/Euratom on nuclear safety and Council Directive 2011/70/Euratom on the management of spent fuel and radioactive waste.

| (b) | Establish a national legal framework
  to provide adequate provisions for the timely accumulation of national financial resources
  for the safe completion of decommissioning in accordance with applicable State aid rules. |
| --- | --- |

(b)

Establish a national legal framework
  to provide adequate provisions for the timely accumulation of national financial resources
  for the safe completion of decommissioning in accordance with applicable State aid rules.

| (b) | Establish
  in
  a national legal framework
  an overall financing plan that identifies the full costs required
  for the safe completion of decommissioning
  of the nuclear reactor units covered by this Regulation with the clear identification of the funding sources,
  in accordance with applicable State aid rules. |
| --- | --- |

(b)

Establish
  in
  a national legal framework
  an overall financing plan that identifies the full costs required
  for the safe completion of decommissioning
  of the nuclear reactor units covered by this Regulation with the clear identification of the funding sources,
  in accordance with applicable State aid rules.

| (c) | Submit to the Commission a revised detailed decommissioning plan |
| --- | --- |

(c)

Submit to the Commission a revised detailed decommissioning plan

| (c) | Submit to the Commission a revised detailed decommissioning plan,
  setting out main objectives and tasks broken down to the level of decommissioning activities, anticipated projects, schedule, concrete milestones, cost structure and co-financing proportions including details of how national funding will be secured in the long term. That plan shall pay due regard to the latest Nuclear Energy Agency (NEA) and Commission guidelines on decommissioning cost estimation. |
| --- | --- |

(c)

Submit to the Commission a revised detailed decommissioning plan,
  setting out main objectives and tasks broken down to the level of decommissioning activities, anticipated projects, schedule, concrete milestones, cost structure and co-financing proportions including details of how national funding will be secured in the long term. That plan shall pay due regard to the latest Nuclear Energy Agency (NEA) and Commission guidelines on decommissioning cost estimation.

1a.
     
  By 1 January 2014 Bulgaria, Lithuania and Slovakia shall provide the Commission with the information on their fulfilment of the ex ante conditionalities referred to in paragraph 1.

2.   The Commission shall assess the information provided on the fulfilment of the ex ante conditionalities when preparing the 2014 annual work programme as referred to in Article 6
  (1). It may decide, when adopting the annual work programme,
  to suspend all or part of the Union financial assistance pending the satisfactory completion of the ex ante conditionalities.

2.   The Commission shall assess the information provided on the fulfilment of the ex ante conditionalities when preparing the 2014 annual work programme as referred to in Article 6(1),
  in particular that critical managerial, legal, financial and technical problems have been resolved or measures have been taken to solve them
  .
  If there is a reasoned opinion by the Commission in respect of an infringement for non-compliance with the conditionality referred to in point (a) of paragraph 1 of this Article or if the conditionalities referred to in point (b) or (c) of paragraph 1 of this Article are not fulfilled satisfactorily, the Commission may decide
  to suspend all or part of the Union financial assistance pending the satisfactory completion of the ex ante conditionalities.

Such decisions shall be reflected in the adoption of the annual work programme and shall not jeopardise safety standards at the nuclear power plants referred to in Article 1
  .
  The amount of suspended assistance shall be established in accordance with criteria set out in the acts referred to in Article 6(2)
  .

Amendment 31

Proposal for a regulation

Article 6

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   
  The
  Commission shall adopt one joint annual work programme for Kozloduy, Ignalina and Bohunice Programmes specifying the objectives, expected results, related indicators and timeline for the use of funds under each annual financial commitment. | 1.   
  At the beginning of each year of the 2014-2020 period, the
  Commission shall adopt one joint annual work programme for
  the
  Kozloduy, Ignalina and Bohunice Programmes
  respectively
  specifying the objectives, expected results, target end dates, related
  performance
  indicators and timeline for the use of funds under each annual financial commitment. |
| | 1a.
     
  At the end of each year of the 2014-2020 period, the Commission shall submit an evaluation report on the implementation of the joint annual work programmes to the European Parliament and the Council. That report shall serve as a basis for the adoption of subsequent annual work programmes. |
| 2.   The Commission shall adopt not later than 31 December 2014, detailed implementation procedures for the duration of the
  Programme. The act
  setting out the implementation procedures shall also define in more detail for the Kozloduy, Ignalina and Bohunice Programmes
  the expected results, activities and the corresponding performance indicators
  . It will contain the revised detailed decommissioning plans as referred to
  under
  Article 4(1)(c) that shall serve as baseline for the monitoring of the progress and the timely achievement of the expected results. | 2.   The Commission shall adopt not later than 31 December 2014, detailed implementation procedures for the duration of the
  Programme
  .
  Those implementing acts
  setting out the implementation procedures shall also define in more detail
  the elements referred to in paragraph 1 of this Article
  for the Kozloduy, Ignalina and Bohunice Programmes. It will contain the revised detailed decommissioning plans as referred to
  in
  Article 4(1)(c) that shall serve as baseline for the monitoring of the progress and the timely achievement of the expected results. |
| | 2a.
     
  The Commission shall ensure the implementation of this Regulation. It shall carry out an interim evaluation, as provided for in Article 8(1). |
| 3.   The annual work programmes and the acts setting out the implementation procedures referred to in paragraph 1 and 2 shall be adopted in accordance with the examination procedure referred to in Article 9(2). | 3.   The annual work programmes and the acts setting out the implementation procedures referred to in paragraph 1 and 2 shall be adopted in accordance with the examination procedure referred to in Article 9(2). |

Text proposed by the Commission

Amendment

1.   
  The
  Commission shall adopt one joint annual work programme for Kozloduy, Ignalina and Bohunice Programmes specifying the objectives, expected results, related indicators and timeline for the use of funds under each annual financial commitment.

1.   
  At the beginning of each year of the 2014-2020 period, the
  Commission shall adopt one joint annual work programme for
  the
  Kozloduy, Ignalina and Bohunice Programmes
  respectively
  specifying the objectives, expected results, target end dates, related
  performance
  indicators and timeline for the use of funds under each annual financial commitment.

1a.
     
  At the end of each year of the 2014-2020 period, the Commission shall submit an evaluation report on the implementation of the joint annual work programmes to the European Parliament and the Council. That report shall serve as a basis for the adoption of subsequent annual work programmes.

2.   The Commission shall adopt not later than 31 December 2014, detailed implementation procedures for the duration of the
  Programme. The act
  setting out the implementation procedures shall also define in more detail for the Kozloduy, Ignalina and Bohunice Programmes
  the expected results, activities and the corresponding performance indicators
  . It will contain the revised detailed decommissioning plans as referred to
  under
  Article 4(1)(c) that shall serve as baseline for the monitoring of the progress and the timely achievement of the expected results.

2.   The Commission shall adopt not later than 31 December 2014, detailed implementation procedures for the duration of the
  Programme
  .
  Those implementing acts
  setting out the implementation procedures shall also define in more detail
  the elements referred to in paragraph 1 of this Article
  for the Kozloduy, Ignalina and Bohunice Programmes. It will contain the revised detailed decommissioning plans as referred to
  in
  Article 4(1)(c) that shall serve as baseline for the monitoring of the progress and the timely achievement of the expected results.

2a.
     
  The Commission shall ensure the implementation of this Regulation. It shall carry out an interim evaluation, as provided for in Article 8(1).

3.   The annual work programmes and the acts setting out the implementation procedures referred to in paragraph 1 and 2 shall be adopted in accordance with the examination procedure referred to in Article 9(2).

3.   The annual work programmes and the acts setting out the implementation procedures referred to in paragraph 1 and 2 shall be adopted in accordance with the examination procedure referred to in Article 9(2).

Amendment 32

Proposal for a regulation

Article 7 — paragraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 1a.
     
  By 31 March of the year following each accounting year, the Member States concerned shall report on the use of the financial allocations. Those reports, certified by national audit bodies, shall be sent to the Commission and the Council to be incorporated into the discharge procedure of the annual budget of the Union. |

Text proposed by the Commission

Amendment

1a.
     
  By 31 March of the year following each accounting year, the Member States concerned shall report on the use of the financial allocations. Those reports, certified by national audit bodies, shall be sent to the Commission and the Council to be incorporated into the discharge procedure of the annual budget of the Union.

Amendment 33

Proposal for a regulation

Article 7 — paragraph 2 — subparagraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   The Commission or its representatives and the 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. | 2.   The Commission or its representatives
  , the national audit bodies of the Member States in which the nuclear power plants to be decommissioned are situated
  and the 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 under the Programme.
  The results of the audits shall be communicated to the European Parliament. |

Text proposed by the Commission

Amendment

2.   The Commission or its representatives and the 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.

2.   The Commission or its representatives
  , the national audit bodies of the Member States in which the nuclear power plants to be decommissioned are situated
  and the 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 under the Programme.
  The results of the audits shall be communicated to the European Parliament.

Amendment 34

Proposal for a regulation

Article 7 — paragraph 2 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections on economic operators concerned directly or indirectly by such funding in accordance with the procedures laid down in Regulation (Euratom, EC) No 2185/96 with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the European Union in connection with a grant agreement or grant decision or a contract concerning Union funding. | The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections on economic operators concerned directly or indirectly by such funding in accordance with the procedures laid down in Regulation (Euratom, EC) No 2185/96 with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the European Union in connection with a grant agreement or grant decision or a contract concerning Union funding.
  The results of the checks and inspections shall be communicated to the European Parliament. |

Text proposed by the Commission

Amendment

The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections on economic operators concerned directly or indirectly by such funding in accordance with the procedures laid down in Regulation (Euratom, EC) No 2185/96 with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the European Union in connection with a grant agreement or grant decision or a contract concerning Union funding.

The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections on economic operators concerned directly or indirectly by such funding in accordance with the procedures laid down in Regulation (Euratom, EC) No 2185/96 with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the European Union in connection with a grant agreement or grant decision or a contract concerning Union funding.
  The results of the checks and inspections shall be communicated to the European Parliament.

Amendment 35

Proposal for a regulation

Article 7 — paragraph 2 — subparagraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| Without prejudice to the first and second sub-paragraphs, cooperation agreements with third countries and international organisations and grant agreements and grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and OLAF to conduct such audits, on-the-spot checks and inspections. | Without prejudice to the first and second sub-paragraphs, cooperation agreements with third countries and international organisations and grant agreements and grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and OLAF to conduct audits, on-the-spot checks and inspections
  and shall ensure that the results thereof are communicated to the European Parliament
  . |

Text proposed by the Commission

Amendment

Without prejudice to the first and second sub-paragraphs, cooperation agreements with third countries and international organisations and grant agreements and grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and OLAF to conduct such audits, on-the-spot checks and inspections.

Without prejudice to the first and second sub-paragraphs, cooperation agreements with third countries and international organisations and grant agreements and grant decisions and contracts resulting from the implementation of this Regulation shall expressly empower the Commission, the Court of Auditors and OLAF to conduct audits, on-the-spot checks and inspections
  and shall ensure that the results thereof are communicated to the European Parliament
  .

Amendment 36

Proposal for a regulation

Article 8

| Text proposed by the Commission | Amendment |
| --- | --- |
| Evaluation | Interim
  evaluation |
| 1.   No later than end 2015, an evaluation report shall be established by the Commission on the achievement of the objectives of all the measures, at the level of results and impacts, the efficiency of the use of resources and its Union added value, in view of a decision amending or suspending the measures. The evaluation shall additionally address the scope for simplification, its internal and external coherence, the continued relevance of all objectives. It shall take into account evaluation results on the long-term impact of the predecessor measures. | 1.   No later than end 2017, an
  interim
  evaluation report shall be established by the Commission
  , in close cooperation with the Member States concerned and the beneficiaries,
  on the achievement of the objectives of all the measures, at the level of results and impacts, the efficiency of the use of resources and its Union added value
  and the effectiveness of the programme management, including management of Union funds,
  in view of a decision amending or suspending the measures.
  On the basis of the results of that evaluation, the Commission may review the appropriateness of the appropriations allocated to the Programme and their distribution amongst the Kozloduy, Ignalina and Bohunice Programmes, in agreement with the Union's budgetary authorities and in accordance with Regulation (EU) No .../2013 [laying down the multiannual financial framework for the years 2014-2020].
  The
  interim
  evaluation shall additionally address the scope for simplification, its internal and external coherence, the continued relevance of all objectives. It shall take into account evaluation results on the long-term impact of the predecessor measures. |
| 2.
     
  The Commission shall carry out ex-post evaluation in close cooperation with the Member States and beneficiaries. The ex-post evaluation shall examine the effectiveness and efficiency of the Programme and its impact on decommissioning. | |
| 3.   
  Evaluations
  shall take account of progress against performance indicators as referred to in Article 2(2). | 3.   
  The interim evaluation
  shall take account of progress against performance indicators as referred to in Article 2(2)
  and fulfilment of requirements set out in the decommissioning plan referred to in point (c) of Article 4(1)
  . |
| 4.   The Commission shall
  communicate
  the conclusions of these evaluations to the European Parliament and the Council. | 4.   The Commission shall
  submit
  the conclusions of these evaluations to the European Parliament and the Council. |

Text proposed by the Commission

Amendment

Evaluation

Interim
  evaluation

1.   No later than end 2015, an evaluation report shall be established by the Commission on the achievement of the objectives of all the measures, at the level of results and impacts, the efficiency of the use of resources and its Union added value, in view of a decision amending or suspending the measures. The evaluation shall additionally address the scope for simplification, its internal and external coherence, the continued relevance of all objectives. It shall take into account evaluation results on the long-term impact of the predecessor measures.

1.   No later than end 2017, an
  interim
  evaluation report shall be established by the Commission
  , in close cooperation with the Member States concerned and the beneficiaries,
  on the achievement of the objectives of all the measures, at the level of results and impacts, the efficiency of the use of resources and its Union added value
  and the effectiveness of the programme management, including management of Union funds,
  in view of a decision amending or suspending the measures.
  On the basis of the results of that evaluation, the Commission may review the appropriateness of the appropriations allocated to the Programme and their distribution amongst the Kozloduy, Ignalina and Bohunice Programmes, in agreement with the Union's budgetary authorities and in accordance with Regulation (EU) No .../2013 [laying down the multiannual financial framework for the years 2014-2020].
  The
  interim
  evaluation shall additionally address the scope for simplification, its internal and external coherence, the continued relevance of all objectives. It shall take into account evaluation results on the long-term impact of the predecessor measures.

2.
     
  The Commission shall carry out ex-post evaluation in close cooperation with the Member States and beneficiaries. The ex-post evaluation shall examine the effectiveness and efficiency of the Programme and its impact on decommissioning.

3.   
  Evaluations
  shall take account of progress against performance indicators as referred to in Article 2(2).

3.   
  The interim evaluation
  shall take account of progress against performance indicators as referred to in Article 2(2)
  and fulfilment of requirements set out in the decommissioning plan referred to in point (c) of Article 4(1)
  .

4.   The Commission shall
  communicate
  the conclusions of these evaluations to the European Parliament and the Council.

4.   The Commission shall
  submit
  the conclusions of these evaluations to the European Parliament and the Council.

Amendment 37

Proposal for a regulation

Article 8 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 8a |
| | Final Evaluation for the period 2014-2020 |
| | 1.
     
  The Commission shall carry out an ex-post evaluation in close cooperation with the beneficiaries. The ex-post evaluation shall examine the effectiveness and efficiency of the Programme and its impact on decommissioning. |
| | 2.
     
  Before 31 December 2020, the Commission shall establish, in close cooperation with the Member States concerned and the beneficiaries, a final evaluation report on the effectiveness and efficiency of the Programme, as well as the effectiveness of financed measures in terms of impacts, use of resources and Union added value, using appropriate qualitative and quantitative indicators. The evaluation report shall identify whether further Union financial assistance is needed under the next multiannual financial framework. |
| | 3.
     
  The final evaluation shall take account of progress against performance indicators as referred to in Article 2(2). |
| | 4.
     
  The Commission shall communicate the conclusions of the final evaluation to the European Parliament and the Council. |
| | 5.
     
  The Commission shall take into account the various decommissioning expertise and strategies employed by Bulgaria. Lithuania and Slovakia, to explore possible ways of harmonising approaches to decommissioning in the Union in order to ensure timely build-up of the necessary knowledge in order to improve the competiveness of the Union nuclear industry in that domain. |

Text proposed by the Commission

Amendment

Article 8a

Final Evaluation for the period 2014-2020

1.
     
  The Commission shall carry out an ex-post evaluation in close cooperation with the beneficiaries. The ex-post evaluation shall examine the effectiveness and efficiency of the Programme and its impact on decommissioning.

2.
     
  Before 31 December 2020, the Commission shall establish, in close cooperation with the Member States concerned and the beneficiaries, a final evaluation report on the effectiveness and efficiency of the Programme, as well as the effectiveness of financed measures in terms of impacts, use of resources and Union added value, using appropriate qualitative and quantitative indicators. The evaluation report shall identify whether further Union financial assistance is needed under the next multiannual financial framework.

3.
     
  The final evaluation shall take account of progress against performance indicators as referred to in Article 2(2).

4.
     
  The Commission shall communicate the conclusions of the final evaluation to the European Parliament and the Council.

5.
     
  The Commission shall take into account the various decommissioning expertise and strategies employed by Bulgaria. Lithuania and Slovakia, to explore possible ways of harmonising approaches to decommissioning in the Union in order to ensure timely build-up of the necessary knowledge in order to improve the competiveness of the Union nuclear industry in that domain.

---

(1)  
  Council Directive 96/29/Euratom of 13 May 1996 laying down basic safety standards for the protection of the health of workers and the general public against the dangers arising from ionizing radiation (OJ L 159, 29.6.1996, p. 1).

(2)  
  Council Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for the nuclear safety of nuclear installations (OJ L 172, 2.7.2009, p. 18).

(3)  
  Council Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste (OJ L 199, 2.8.2011, p. 48).

(4)  
  OJ ...

---

Wednesday 20 November 2013

| 24.11.2016 | EN | Official Journal of the European Union | C 436/140 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/140

---

P7_TA(2013)0472

2014 budgetary procedure: joint text

European Parliament legislative resolution of 20 November 2013 on the joint text on the draft general budget of the European Union for the financial year 2014 approved by the Conciliation Committee under the budgetary procedure (16106/2013 ADD 1-5 — C7-0413/2013 — 2013/2145(BUD))

(2016/C 436/27)

The European Parliament,

| — | having regard to the joint text approved by the Conciliation Committee (16106/2013 ADD 1-5 — C7-0413/2013) and the Parliament, Council and Commission statements annexed to this resolution, |
| --- | --- |

—

having regard to the joint text approved by the Conciliation Committee (16106/2013 ADD 1-5 — C7-0413/2013) and the Parliament, Council and Commission statements annexed to this resolution,

| — | having regard to its resolution of 23 October 2013 on the draft general budget of the European Union for the financial year 2014 as modified by the Council — all sections (1) and the budgetary amendments therein, |
| --- | --- |

—

having regard to its resolution of 23 October 2013 on the draft general budget of the European Union for the financial year 2014 as modified by the Council — all sections (1) and the budgetary amendments therein,

| — | having regard to the draft general budget of the European Union for the financial year 2014, adopted by the Commission on 28 June 2013 (COM(2013)0450), |
| --- | --- |

—

having regard to the draft general budget of the European Union for the financial year 2014, adopted by the Commission on 28 June 2013 (COM(2013)0450),

| — | having regard to the position on the draft general budget of the European Union adopted by the Council on 2 September 2013 and forwarded to Parliament on 12 September 2013 (13176/2013 — C7-0260/2013), |
| --- | --- |

—

having regard to the position on the draft general budget of the European Union adopted by the Council on 2 September 2013 and forwarded to Parliament on 12 September 2013 (13176/2013 — C7-0260/2013),

| — | having regard to Amending Letters No 1/2014 (COM(2013)0644) and 2/2014 (COM(2013)0719) to the draft general budget of the European Union for the financial year 2014 presented by the Commission on 18 September 2013 and 16 October 2013 respectively, |
| --- | --- |

—

having regard to Amending Letters No 1/2014 (COM(2013)0644) and 2/2014 (COM(2013)0719) to the draft general budget of the European Union for the financial year 2014 presented by the Commission on 18 September 2013 and 16 October 2013 respectively,

| — | having regard to Article 314 of the Treaty on the Functioning of the European Union and to Article 106a of the Treaty establishing the European Atomic Energy Community, |
| --- | --- |

—

having regard to Article 314 of the Treaty on the Functioning of the European Union and to Article 106a of the Treaty establishing the European Atomic Energy Community,

| — | having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (2), |
| --- | --- |

—

having regard to Council Decision 2007/436/EC, Euratom of 7 June 2007 on the system of the European Communities' own resources (2),

| — | having regard to 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 (3), |
| --- | --- |

—

having regard to 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 (3),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (4), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (4),

| — | having regard to the Draft Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline, cooperation in budgetary matters and on sound financial management, |
| --- | --- |

—

having regard to the Draft Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline, cooperation in budgetary matters and on sound financial management,

| — | having regard to the draft Council Regulation laying down the multiannual financial framework for the years 2014 — 2020, |
| --- | --- |

—

having regard to the draft Council Regulation laying down the multiannual financial framework for the years 2014 — 2020,

| — | having regard to Rules 75d and 75e of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 75d and 75e of its Rules of Procedure,

| — | having regard to the report of its delegation to the Conciliation Committee (A7-0387/2013), |
| --- | --- |

—

having regard to the report of its delegation to the Conciliation Committee (A7-0387/2013),

| 1. | Approves the joint text agreed by the Conciliation Committee, which consists of the following documents taken together:






  — | list of budget lines not modified, compared to the draft budget or the Council's position; |
| --- | --- | --- |

1.

Approves the joint text agreed by the Conciliation Committee, which consists of the following documents taken together:

—

list of budget lines not modified, compared to the draft budget or the Council's position;

| — | summary figures by financial framework headings; |
| --- | --- |

—

summary figures by financial framework headings;

| — | line-by-line figures on all budget items; |
| --- | --- |

—

line-by-line figures on all budget items;

| — | consolidated document showing the figures and final text of all lines modified during the conciliation; |
| --- | --- |

—

consolidated document showing the figures and final text of all lines modified during the conciliation;

| 2. | Confirms the joint statements by Parliament, the Council and the Commission included in the joint conclusions agreed by the Conciliation Committee annexed to this resolution; |
| --- | --- |

2.

Confirms the joint statements by Parliament, the Council and the Commission included in the joint conclusions agreed by the Conciliation Committee annexed to this resolution;

| 3. | Confirms the joint statements by Parliament and the Commission on payment appropriations, as well as by Parliament and the Council, on heading 5 and salary adjustments, and on EU Special Representatives, annexed to this resolution; |
| --- | --- |

3.

Confirms the joint statements by Parliament and the Commission on payment appropriations, as well as by Parliament and the Council, on heading 5 and salary adjustments, and on EU Special Representatives, annexed to this resolution;

| 4. | Instructs its President to declare that the general budget of the European Union for the financial year 2014 has been definitively adopted and to arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

4.

Instructs its President to declare that the general budget of the European Union for the financial year 2014 has been definitively adopted and to arrange for its publication in the Official Journal of the European Union;

| 5. | Instructs its President to forward this legislative resolution to the Council, the Commission, the other institutions and bodies concerned and the national parliaments. |
| --- | --- |

5.

Instructs its President to forward this legislative resolution to the Council, the Commission, the other institutions and bodies concerned and the national parliaments.

---

(1)  Texts adopted, P7_TA(2013)0437.

(2)  OJ L 163, 23.6.2007, p. 17.

(3)  OJ L 298, 26.10.2012, p. 1.

(4)  OJ C 139, 14.6.2006, p. 1.

---

ANNEX

FINAL 12.11.2013

Budget 2014 — Joint conclusions

These joint conclusions cover the following sections:

| | 1. | Budget 2014 |
| --- | --- | --- |

1.

Budget 2014

| 2. | Budget 2013 — Amending Budgets No 8/2013 and No 9/2013 |
| --- | --- |

2.

Budget 2013 — Amending Budgets No 8/2013 and No 9/2013

| 3. | Statements |
| --- | --- |

3.

Statements

1.   Budget 2014

1.1.   ‘Closed’ lines

Unless stated otherwise below in these conclusions, all budget lines not amended by either Council or Parliament, and those for which Parliament accepted Council's amendments during their respective reading are confirmed.

For the other budget items, the Conciliation Committee has reached the following conclusions:

1.2.   Horizontal issues

Decentralised agencies

The number of posts for all decentralised agencies is set at the level proposed by the Commission in the Draft Budget, with the exception of:

| — | European Aviation Safety Agency (EASA), for which 7 additional posts are agreed; |
| --- | --- |

—

European Aviation Safety Agency (EASA), for which 7 additional posts are agreed;

| — | European Banking Authority (EBA), for which 8 additional posts are agreed; |
| --- | --- |

—

European Banking Authority (EBA), for which 8 additional posts are agreed;

| — | European Insurance and Occupational Pensions Authority (EIOPA), for which 3 additional posts are agreed; |
| --- | --- |

—

European Insurance and Occupational Pensions Authority (EIOPA), for which 3 additional posts are agreed;

| — | European Securities and Markets Authority (ESMA), for which 5 additional posts are agreed; |
| --- | --- |

—

European Securities and Markets Authority (ESMA), for which 5 additional posts are agreed;

| — | European Asylum Support Office (EASO), for which 2 additional posts are agreed; and |
| --- | --- |

—

European Asylum Support Office (EASO), for which 2 additional posts are agreed; and

| — | EUROPOL, for which 2 additional posts are agreed. |
| --- | --- |

—

EUROPOL, for which 2 additional posts are agreed.

The EU contribution (in commitment appropriations and in payment appropriations) for decentralised agencies is set at the level proposed by the Commission in the Draft Budget (DB), with the exception of:

| — | European Banking Authority (EBA), for which an additional amount of EUR 2,1 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities); |
| --- | --- |

—

European Banking Authority (EBA), for which an additional amount of EUR 2,1 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities);

| — | European Insurance and Occupational Pensions Authority (EIOPA), for which an additional amount of EUR 1,2 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities); |
| --- | --- |

—

European Insurance and Occupational Pensions Authority (EIOPA), for which an additional amount of EUR 1,2 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities);

| — | European Securities and Markets Authority (ESMA), for which an additional amount of EUR 2,0 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities); |
| --- | --- |

—

European Securities and Markets Authority (ESMA), for which an additional amount of EUR 2,0 million is agreed, on the basis of the EU funding key of 40 % (60 % to be co-financed by national supervisory authorities);

| — | European Asylum Support Office (EASO), for which an additional amount of EUR 0,130 million is agreed; |
| --- | --- |

—

European Asylum Support Office (EASO), for which an additional amount of EUR 0,130 million is agreed;

| — | EUROPOL, for which an additional amount of EUR 1,7 million is agreed; and |
| --- | --- |

—

EUROPOL, for which an additional amount of EUR 1,7 million is agreed; and

| — | FRONTEX, for which an additional amount of EUR 2,0 million is agreed. |
| --- | --- |

—

FRONTEX, for which an additional amount of EUR 2,0 million is agreed.

The Conciliation Committee agrees on the joint statement on decentralised agencies as set out in Section 3.4.

Executive agencies

The EU contribution (in commitment appropriations and in payment appropriations) and the number of posts for executive agencies are set at the level proposed by the Commission in Amending Letter 2/2014.

Joint Technology Initiatives (JTIs)

The EU contribution (in commitment appropriations and in payment appropriations) and the number of posts for Joint Technology Initiatives are set at the level proposed at the level proposed by the Commission in the Draft Budget (DB), as amended by Amending Letter No 1/2014.

Pilot Projects/Preparatory Actions

A comprehensive package of 68 pilot projects/preparatory actions (PP/PA), for an amount of EUR 79,4 million in commitment appropriations is agreed, as proposed by the Parliament. When a pilot project or a preparatory action appears to be covered by an existing legal basis, the Commission may propose the transfer of appropriations to the corresponding legal basis in order to facilitate the implementation of the action.

This package fully respects the ceilings for pilot projects and preparatory actions provided in the Financial Regulation.

1.3.   Expenditure headings of the financial framework — commitment appropriations

After taking into account the above conclusions on ‘closed’ budget lines, agencies and pilot projects and preparatory actions, the Conciliation Committee has agreed on the following:

Heading 1a

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 1 and No 2/2014, with the following exceptions:

| in EUR million |
| --- |
| Budget line | Name | Reinforcements/reductions of commitment appropriations |
| DB 2014 | Budget 2014 | Difference |
| 01 02 01 | Coordination, surveillance and communication on the economic and monetary union, including the euro | 13,000 | 11,000 | -2,000 |
| 04 03 01 02 | Social dialogue | 38,500 | — | -38,500 |
| 04 03 01 05 | Information and training sessions for workers’ organisations | — | 18,600 | 18,600 |
| 04 03 01 06 | Information, consultation and participation of representatives undertakings | — | 7,250 | 7,250 |
| 04 03 01 08 | Industrial relations and social dialogue | — | 15,935 | 15,935 |
| 04 03 02 02 | EURES — Promoting workers’ geographical mobility and boosting employment opportunities | 19,310 | 21,300 | 1,990 |
| 04 03 02 03 | Microfinance and Social Entrepreneurship — Facilitating access to finance for entrepreneurs, especially those furthest from the labour market, and social enterprises | 25,074 | 26,500 | 1,426 |
| 06 02 05 | Support activities to the European transport policy and passenger rights, including communication activities | 16,019 | 20,019 | 4,000 |
| 09 03 01 | Accelerating the deployment of broadband networks | — | 10,000 | 10,000 |
| 09 04 01 01 | Strengthening research in FET — Future and Emerging Technologies | 241,003 | 246,003 | 5,000 |
| 15 02 10 | Special Annual Events | — | 3,000 | 3,000 |
| Total | | | 26,701 |

in EUR million

Budget line

Name

Reinforcements/reductions of commitment appropriations

DB 2014

Budget 2014

Difference

01 02 01

Coordination, surveillance and communication on the economic and monetary union, including the euro

13,000

11,000

-2,000

04 03 01 02

Social dialogue

38,500

—

-38,500

04 03 01 05

Information and training sessions for workers’ organisations

—

18,600

18,600

04 03 01 06

Information, consultation and participation of representatives undertakings

—

7,250

7,250

04 03 01 08

Industrial relations and social dialogue

—

15,935

15,935

04 03 02 02

EURES — Promoting workers’ geographical mobility and boosting employment opportunities

19,310

21,300

1,990

04 03 02 03

Microfinance and Social Entrepreneurship — Facilitating access to finance for entrepreneurs, especially those furthest from the labour market, and social enterprises

25,074

26,500

1,426

06 02 05

Support activities to the European transport policy and passenger rights, including communication activities

16,019

20,019

4,000

09 03 01

Accelerating the deployment of broadband networks

—

10,000

10,000

09 04 01 01

Strengthening research in FET — Future and Emerging Technologies

241,003

246,003

5,000

15 02 10

Special Annual Events

—

3,000

3,000

Total

26,701

As a consequence, and after taking into account pilot projects and preparatory actions, as well as decentralised agencies, the margin under the expenditure ceiling of heading 1a amounts to EUR 76,0 million.

Heading 1b

Commitment appropriations are set at the level proposed in the Draft Budget, as amended by Amending Letter No 1/2014, with the exception of the following budget lines, for each of which an amount of EUR 2,5 million in commitments is agreed:

| — | 13 03 67 ‘Macro regional strategies 2014-2020: European strategy for the Baltic Sea region — Technical assistance’ and |
| --- | --- |

—

13 03 67 ‘Macro regional strategies 2014-2020: European strategy for the Baltic Sea region — Technical assistance’ and

| — | 13 03 68 ‘Macro regional strategies 2014-2020: European strategy for the Danube region — Technical assistance’. |
| --- | --- |

—

13 03 68 ‘Macro regional strategies 2014-2020: European strategy for the Danube region — Technical assistance’.

Furthermore, for the Fund for European Aid to the Most Deprived (FEAD, chapter 04 06) an additional amount of EUR 134,9 million in commitments is agreed. A corresponding amount in commitments is transferred from the European Social Fund (ESF, chapter 04 02), broken down as follows:

| — | - EUR 67,9 million for the ‘Less developed regions’ (budget line 04 02 60) |
| --- | --- |

—

- EUR 67,9 million for the ‘Less developed regions’ (budget line 04 02 60)

| — | - EUR 22,2 million for the ‘Transition regions’ (budget line 04 02 61) |
| --- | --- |

—

- EUR 22,2 million for the ‘Transition regions’ (budget line 04 02 61)

| — | - EUR 44,8 million for the ‘More developed regions’ (budget line 04 02 62) |
| --- | --- |

—

- EUR 44,8 million for the ‘More developed regions’ (budget line 04 02 62)

The Flexibility Instrument will be mobilised for an amount of EUR 89,3 million for additional assistance to Cyprus.

Heading 2

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014, with the exception of:

| — | budget line 05 08 80 Union participation at the World Exposition 2015 ‘Feeding the Planet — Energy for Life’ in Milan, for which an additional amount of EUR 1 million in commitments is agreed. |
| --- | --- |

—

budget line 05 08 80 Union participation at the World Exposition 2015 ‘Feeding the Planet — Energy for Life’ in Milan, for which an additional amount of EUR 1 million in commitments is agreed.

As a consequence, and after taking into account pilot projects and preparatory actions, the margin under the expenditure ceiling of heading 2 amounts to EUR 35,8 million.

Heading 3

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014, with the following exceptions:

| in EUR million |
| --- |
| Budget line | Name | Reinforcements of commitment appropriations |
| DB 2014 | Budget 2014 | Difference |
| 15 04 02 | Supporting the cultural and creative sectors to operate in Europe and beyond and to promote transnational circulation and mobility | 52,922 | 53,922 | 1,000 |
| 15 04 03 | MEDIA sub-programme — Supporting the MEDIA cultural and creative sectors to operate in Europe and beyond and to promote transnational circulation and mobility | 102,321 | 103,321 | 1,000 |
| 16 02 01 | Europe for Citizens — Strengthening remembrance and enhancing capacity for civic participation at the Union level | 21,050 | 23,050 | 2,000 |
| 16 03 01 01 | Multimedia actions | 18,740 | 25,540 | 6,800 |
| 33 02 02 | Promoting non-discrimination and equality | 30,651 | 31,151 | 0,500 |
| Total | | | 11,300 |

in EUR million

Budget line

Name

Reinforcements of commitment appropriations

DB 2014

Budget 2014

Difference

15 04 02

Supporting the cultural and creative sectors to operate in Europe and beyond and to promote transnational circulation and mobility

52,922

53,922

1,000

15 04 03

MEDIA sub-programme — Supporting the MEDIA cultural and creative sectors to operate in Europe and beyond and to promote transnational circulation and mobility

102,321

103,321

1,000

16 02 01

Europe for Citizens — Strengthening remembrance and enhancing capacity for civic participation at the Union level

21,050

23,050

2,000

16 03 01 01

Multimedia actions

18,740

25,540

6,800

33 02 02

Promoting non-discrimination and equality

30,651

31,151

0,500

Total

11,300

As a consequence, and after taking into account pilot projects and preparatory actions, as well as decentralised agencies, the margin under the expenditure ceiling of heading 3 amounts to EUR 7,0 million.

Heading 4

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014, with the following exceptions:

| in EUR million |
| --- |
| Budget line | Name | Reinforcements/reductions of commitment appropriations |
| DB 2014 | Budget 2014 | Difference |
| 01 03 02 | Macro-financial assistance | 76,257 | 60,000 | -16,257 |
| 19 02 01 | Response to crisis and emerging crisis (Instrument for Stability) | 201,867 | 204,337 | 2,470 |
| 19 02 02 | Support conflict prevention, crisis preparedness and peace building (Instrument for Stability) | 22,000 | 22,494 | 0,494 |
| 19 05 01 | Cooperation with third countries to advance and promote European Union and mutual interests | 100,511 | 106,109 | 5,598 |
| 21 02 01 01 | Latin America — poverty reduction and sustainable development | 205,735 | 0,000 | - 205,735 |
| 21 02 01 02 | Latin America — democracy, rule of law, good governance and respect for human rights | 48,259 | 0,000 | -48,259 |
| 21 02 02 01 | Asia — poverty reduction and sustainable development | 581,964 | 0,000 | - 581,964 |
| 21 02 02 02 | Asia — democracy, rule of law, good governance and respect for human rights | 154,699 | 0,000 | - 154,699 |
| 21 02 03 01 | Central Asia — poverty reduction and sustainable development | 65,240 | 0,000 | -65,240 |
| 21 02 03 02 | Central Asia– democracy, rule of law, good governance and respect for human rights | 4,911 | 0,000 | -4,911 |
| 21 02 04 01 | Middle East — poverty reduction and sustainable development | 37,305 | 0,000 | -37,305 |
| 21 02 04 02 | Middle East — democracy, rule of law, good governance and respect for human rights | 13,107 | 0,000 | -13,107 |
| 21 02 05 01 | South Africa — poverty reduction and sustainable development | 22,768 | 0,000 | -22,768 |
| 21 02 05 02 | South Africa — democracy, rule of law, good governance and respect for human rights | 2,530 | 0,000 | -2,530 |
| 21 02 06 01 | Pan-Africa — poverty reduction and sustainable development | 85,210 | 0,000 | -85,210 |
| 21 02 06 02 | Pan-Africa — democracy, rule of law, good governance and respect for human rights | 9,468 | 0,000 | -9,468 |
| 21 02 07 01 | Global Public Goods — poverty reduction and sustainable development | 620,988 | 0,000 | - 620,988 |
| 21 02 07 02 | Global Public Goods — democracy, rule of law, good governance and respect for human rights | 19,036 | 0,000 | -19,036 |
| 21 02 07 03 | Environment and climate change | 0,000 | 163,094 | 163,094 |
| 21 02 07 04 | Sustainable energy | 0,000 | 82,852 | 82,852 |
| 21 02 07 05 | Human development | 0,000 | 163,094 | 163,094 |
| 21 02 07 06 | Food security and sustainable agriculture | 0,000 | 197,018 | 197,018 |
| 21 02 07 07 | Migration and asylum | 0,000 | 46,319 | 46,319 |
| 21 02 08 01 | Non-State actors and Local authorities — Poverty reduction and sustainable development | 183,452 | 0,000 | - 183,452 |
| 21 02 08 02 | Non-State actors and Local authorities — Democracy, rule of law, good governance and respect for human rights | 61,151 | 0,000 | -61,151 |
| 21 02 08 03 | Civil society in development | 0,000 | 212,399 | 212,399 |
| 21 02 08 04 | Local authorities in development | 0,000 | 36,366 | 36,366 |
| 21 02 09 | Middle East | 0,000 | 51,182 | 51,182 |
| 21 02 10 | Central Asia | 0,000 | 71,571 | 71,571 |
| 21 02 11 | Pan Africa | 0,000 | 97,577 | 97,577 |
| 21 02 12 | Latin America | 0,000 | 259,304 | 259,304 |
| 21 02 13 | South Africa | 0,000 | 25,978 | 25,978 |
| 21 02 14 | Asia | 0,000 | 537,057 | 537,057 |
| 21 02 15 | Afghanistan | 0,000 | 203,497 | 203,497 |
| 21 03 01 01 | Mediterranean countries — human rights and mobility | 205,355 | 211,087 | 5,731 |
| 21 03 01 02 | Mediterranean countries — poverty reduction and sustainable development | 680,400 | 687,811 | 7,411 |
| 21 03 01 03 | Mediterranean countries — confidence building, security and the prevention and settlement of conflicts | 75,950 | 80,199 | 4,249 |
| 21 03 01 04 | Support to peace process and financial assistance to Palestine and to the United Nations Relief and Works Agency for Palestine Refugees (UNRWA) | 250,000 | 300,000 | 50,000 |
| 21 03 02 01 | Eastern Partnership — human rights and mobility | 240,841 | 247,067 | 6,226 |
| 21 03 02 02 | Eastern Partnership — poverty reduction and sustainable development | 335,900 | 339,853 | 3,953 |
| 21 03 02 03 | Eastern Partnership — confidence building, security and the prevention and settlement of conflicts | 11,800 | 12,966 | 1,166 |
| 21 03 03 03 | Support to other multi-country cooperation in the neighbourhood | 163,277 | 163,771 | 0,494 |
| 21 04 01 | Enhancing the respect for and observance of human rights and fundamental freedoms and supporting democratic reforms | 127,841 | 132,782 | 4,941 |
| 21 05 01 | Global and trans-regional security threats (Instrument for Stability) | 81,514 | 82,255 | 0,741 |
| 21 08 02 | Coordination and promotion of awareness on development issues | 11,700 | 13,331 | 1,631 |
| 22 02 01 | Support to Albania, Bosnia and Herzegovina, Kosovo, Montenegro, Serbia and the former Yugoslav Republic of Macedonia | | | |
| 22 02 01 01 | Support for political reforms and progressive alignment with and adoption, implementation and enforcement of the ‘acquis communautaire’ | 248,565 | 249,800 | 1,235 |
| 22 02 01 02 | Support for economic, social and territorial development | 248,565 | 249,800 | 1,235 |
| 22 02 03 | Support to Turkey | | | |
| 22 02 03 01 | Support for political reforms and progressive alignment with and adoption, implementation and enforcement of the ‘acquis communautaire’ | 292,938 | 294,173 | 1,235 |
| 22 02 03 02 | Support for economic, social and territorial development | 292,938 | 294,173 | 1,235 |
| 22 03 01 | Financial support for encouraging the economic development of the Turkish Cypriot community | 30,000 | 31,482 | 1,482 |
| 23 02 01 | Delivery of rapid, effective and needs-based humanitarian aid and food assistance | 859,529 | 874,529 | 15,000 |
| Total | | | 131,755 |

in EUR million

Budget line

Name

Reinforcements/reductions of commitment appropriations

DB 2014

Budget 2014

Difference

01 03 02

Macro-financial assistance

76,257

60,000

-16,257

19 02 01

Response to crisis and emerging crisis (Instrument for Stability)

201,867

204,337

2,470

19 02 02

Support conflict prevention, crisis preparedness and peace building (Instrument for Stability)

22,000

22,494

0,494

19 05 01

Cooperation with third countries to advance and promote European Union and mutual interests

100,511

106,109

5,598

21 02 01 01

Latin America — poverty reduction and sustainable development

205,735

0,000

- 205,735

21 02 01 02

Latin America — democracy, rule of law, good governance and respect for human rights

48,259

0,000

-48,259

21 02 02 01

Asia — poverty reduction and sustainable development

581,964

0,000

- 581,964

21 02 02 02

Asia — democracy, rule of law, good governance and respect for human rights

154,699

0,000

- 154,699

21 02 03 01

Central Asia — poverty reduction and sustainable development

65,240

0,000

-65,240

21 02 03 02

Central Asia– democracy, rule of law, good governance and respect for human rights

4,911

0,000

-4,911

21 02 04 01

Middle East — poverty reduction and sustainable development

37,305

0,000

-37,305

21 02 04 02

Middle East — democracy, rule of law, good governance and respect for human rights

13,107

0,000

-13,107

21 02 05 01

South Africa — poverty reduction and sustainable development

22,768

0,000

-22,768

21 02 05 02

South Africa — democracy, rule of law, good governance and respect for human rights

2,530

0,000

-2,530

21 02 06 01

Pan-Africa — poverty reduction and sustainable development

85,210

0,000

-85,210

21 02 06 02

Pan-Africa — democracy, rule of law, good governance and respect for human rights

9,468

0,000

-9,468

21 02 07 01

Global Public Goods — poverty reduction and sustainable development

620,988

0,000

- 620,988

21 02 07 02

Global Public Goods — democracy, rule of law, good governance and respect for human rights

19,036

0,000

-19,036

21 02 07 03

Environment and climate change

0,000

163,094

163,094

21 02 07 04

Sustainable energy

0,000

82,852

82,852

21 02 07 05

Human development

0,000

163,094

163,094

21 02 07 06

Food security and sustainable agriculture

0,000

197,018

197,018

21 02 07 07

Migration and asylum

0,000

46,319

46,319

21 02 08 01

Non-State actors and Local authorities — Poverty reduction and sustainable development

183,452

0,000

- 183,452

21 02 08 02

Non-State actors and Local authorities — Democracy, rule of law, good governance and respect for human rights

61,151

0,000

-61,151

21 02 08 03

Civil society in development

0,000

212,399

212,399

21 02 08 04

Local authorities in development

0,000

36,366

36,366

21 02 09

Middle East

0,000

51,182

51,182

21 02 10

Central Asia

0,000

71,571

71,571

21 02 11

Pan Africa

0,000

97,577

97,577

21 02 12

Latin America

0,000

259,304

259,304

21 02 13

South Africa

0,000

25,978

25,978

21 02 14

Asia

0,000

537,057

537,057

21 02 15

Afghanistan

0,000

203,497

203,497

21 03 01 01

Mediterranean countries — human rights and mobility

205,355

211,087

5,731

21 03 01 02

Mediterranean countries — poverty reduction and sustainable development

680,400

687,811

7,411

21 03 01 03

Mediterranean countries — confidence building, security and the prevention and settlement of conflicts

75,950

80,199

4,249

21 03 01 04

Support to peace process and financial assistance to Palestine and to the United Nations Relief and Works Agency for Palestine Refugees (UNRWA)

250,000

300,000

50,000

21 03 02 01

Eastern Partnership — human rights and mobility

240,841

247,067

6,226

21 03 02 02

Eastern Partnership — poverty reduction and sustainable development

335,900

339,853

3,953

21 03 02 03

Eastern Partnership — confidence building, security and the prevention and settlement of conflicts

11,800

12,966

1,166

21 03 03 03

Support to other multi-country cooperation in the neighbourhood

163,277

163,771

0,494

21 04 01

Enhancing the respect for and observance of human rights and fundamental freedoms and supporting democratic reforms

127,841

132,782

4,941

21 05 01

Global and trans-regional security threats (Instrument for Stability)

81,514

82,255

0,741

21 08 02

Coordination and promotion of awareness on development issues

11,700

13,331

1,631

22 02 01

Support to Albania, Bosnia and Herzegovina, Kosovo, Montenegro, Serbia and the former Yugoslav Republic of Macedonia

22 02 01 01

Support for political reforms and progressive alignment with and adoption, implementation and enforcement of the ‘acquis communautaire’

248,565

249,800

1,235

22 02 01 02

Support for economic, social and territorial development

248,565

249,800

1,235

22 02 03

Support to Turkey

22 02 03 01

Support for political reforms and progressive alignment with and adoption, implementation and enforcement of the ‘acquis communautaire’

292,938

294,173

1,235

22 02 03 02

Support for economic, social and territorial development

292,938

294,173

1,235

22 03 01

Financial support for encouraging the economic development of the Turkish Cypriot community

30,000

31,482

1,482

23 02 01

Delivery of rapid, effective and needs-based humanitarian aid and food assistance

859,529

874,529

15,000

Total

131,755

As a consequence, and after taking into account pilot projects and preparatory actions, the margin under the expenditure ceiling of heading 4 amounts to EUR 10,0 million.

Heading 5

As far as establishment plan posts of the Sections are concerned, the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014, is agreed, with the exception of the European Parliament, for which its own reading is agreed.

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014, with the exception of:

| — | The amounts corresponding to the possible impact of the 2011 and 2012 salary adjustments, which are not included in the budgets of each Section at this stage, pending the ruling of the Court of Justice. The Conciliation Committee agrees on the joint statement as set out in Section 3.5; |
| --- | --- |

—

The amounts corresponding to the possible impact of the 2011 and 2012 salary adjustments, which are not included in the budgets of each Section at this stage, pending the ruling of the Court of Justice. The Conciliation Committee agrees on the joint statement as set out in Section 3.5;

| — | Furthermore, as far as the appropriations of the other Sections are concerned, the level proposed by the European Parliament is agreed, with the following exceptions:






  — | For the Court of Auditors (Section V), the abatement rate proposed by the Council is agreed; |
| --- | --- | --- |

—

Furthermore, as far as the appropriations of the other Sections are concerned, the level proposed by the European Parliament is agreed, with the following exceptions:

—

For the Court of Auditors (Section V), the abatement rate proposed by the Council is agreed;

| — | For the Court of Justice (Section IV), excluding the reduction of EUR 0,6 million proposed by the European Parliament; |
| --- | --- |

—

For the Court of Justice (Section IV), excluding the reduction of EUR 0,6 million proposed by the European Parliament;

| — | For the European External Action Service (Section X), excluding the transfer of the EU Special Representatives proposed by the European Parliament. The Conciliation Committee agrees on the joint statement as set out in Section 3.6. |
| --- | --- |

—

For the European External Action Service (Section X), excluding the transfer of the EU Special Representatives proposed by the European Parliament. The Conciliation Committee agrees on the joint statement as set out in Section 3.6.

| — | In addition, three new lines (30 01 16 01, 30 01 16 02, 30 01 16 03) are included in the budget of the Commission (Section III), with the corresponding level of appropriations proposed by the European Parliament in its reading. |
| --- | --- |

—

In addition, three new lines (30 01 16 01, 30 01 16 02, 30 01 16 03) are included in the budget of the Commission (Section III), with the corresponding level of appropriations proposed by the European Parliament in its reading.

As a consequence, and after taking into account pilot projects and preparatory actions, the margin under the expenditure ceiling of heading 5 amounts to EUR 316,8 million.

Creation of function group AST/SC

The establishment plans of all EU Institutions and bodies will be modified to take account of the creation in the Staff Regulations of the new AST/SC function group, as proposed in Amending Letter No 2/2014.

Heading 6

Commitment appropriations are set at the level proposed by the Commission in the Draft Budget.

1.4.   Special instruments

Commitment appropriations for the Emergency Aid Reserve (EAR) and the European Globalisation Adjustment Fund (EGF) are set at the level proposed by the Commission in the Draft Budget.

1.5.   Payment appropriations

The overall level of payment appropriations in the 2014 budget is set at EUR 135 504 613 000.

The Council position on the Draft Budget is used as a starting point to apply the following allocation of payment appropriations across budget lines in 2014:

| 1. | First, account is taken of the agreed level of commitment appropriations for non-differentiated expenditure, for which the level of payment appropriations by definition is equal to the level of commitments; |
| --- | --- |

1.

First, account is taken of the agreed level of commitment appropriations for non-differentiated expenditure, for which the level of payment appropriations by definition is equal to the level of commitments;

| 2. | By analogy, the same applies to decentralised agencies, for which the EU contribution in payment appropriations is set at the level proposed in section 1.2 above; |
| --- | --- |

2.

By analogy, the same applies to decentralised agencies, for which the EU contribution in payment appropriations is set at the level proposed in section 1.2 above;

| 3. | The payment appropriations for all new pilot projects and preparatory actions are set at 50 % of the corresponding commitment appropriations, or to the level proposed by Parliament if lower; in the case of extension of existing pilot projects and preparatory actions the level of payments is the one defined in the Draft Budget plus 50 % of the corresponding new commitments, or to the level proposed by Parliament if lower; |
| --- | --- |

3.

The payment appropriations for all new pilot projects and preparatory actions are set at 50 % of the corresponding commitment appropriations, or to the level proposed by Parliament if lower; in the case of extension of existing pilot projects and preparatory actions the level of payments is the one defined in the Draft Budget plus 50 % of the corresponding new commitments, or to the level proposed by Parliament if lower;

| 4. | The following specific amounts in payment appropriations are agreed:






  a. | The level of payment appropriations for the EU Solidarity Fund in 2014 is set at EUR 150 million; |
| --- | --- | --- |

4.

The following specific amounts in payment appropriations are agreed:

a.

The level of payment appropriations for the EU Solidarity Fund in 2014 is set at EUR 150 million;

| b. | The level of payment appropriations for the Joint Technology Initiatives is set at the level proposed in Amending Letter No 1/2014, whereas the level of payment appropriations for the International Fisheries Agreements is set at the level proposed in Amending Letter No 2/2014; |
| --- | --- |

b.

The level of payment appropriations for the Joint Technology Initiatives is set at the level proposed in Amending Letter No 1/2014, whereas the level of payment appropriations for the International Fisheries Agreements is set at the level proposed in Amending Letter No 2/2014;

| c. | The level of payment appropriations for ‘Support to peace process and financial assistance to Palestine and to the United Nations Relief and Works Agency for Palestine Refugees (UNRWA)’ is set at EUR 200 million; |
| --- | --- |

c.

The level of payment appropriations for ‘Support to peace process and financial assistance to Palestine and to the United Nations Relief and Works Agency for Palestine Refugees (UNRWA)’ is set at EUR 200 million;

| d. | The level of payment appropriations for the Macro-regional strategies 2014-2020 is set at 50 % of the level of commitments defined under heading 1b in section 1.3 above; |
| --- | --- |

d.

The level of payment appropriations for the Macro-regional strategies 2014-2020 is set at 50 % of the level of commitments defined under heading 1b in section 1.3 above;

| e. | The level of payment appropriations for the Special Annual Events is set at the level of commitments defined under heading 1a in section 1.3 above. |
| --- | --- |

e.

The level of payment appropriations for the Special Annual Events is set at the level of commitments defined under heading 1a in section 1.3 above.

| 5. | The level of payment appropriations set in paragraphs 2 to 4 has a net impact of EUR 285 million compared with the Council position on the Draft Budget for the expenditure items concerned. Taking into account the difference between the overall level of payment appropriations of EUR 135 504 613 000 and the Council position on the Draft Budget, the remaining amount of EUR 215 million allows for an increase of payment appropriations across all budget lines with differentiated appropriations for which no specific rules have been defined in the paragraphs 2 to 4 above, in proportion with the difference between the Draft Budget proposed by the Commission and the Council position. |
| --- | --- |

5.

The level of payment appropriations set in paragraphs 2 to 4 has a net impact of EUR 285 million compared with the Council position on the Draft Budget for the expenditure items concerned. Taking into account the difference between the overall level of payment appropriations of EUR 135 504 613 000 and the Council position on the Draft Budget, the remaining amount of EUR 215 million allows for an increase of payment appropriations across all budget lines with differentiated appropriations for which no specific rules have been defined in the paragraphs 2 to 4 above, in proportion with the difference between the Draft Budget proposed by the Commission and the Council position.

As part of the overall compromise, the Conciliation Committee agrees on the joint statement on payment appropriations as set out in section 3.1 below.

The Council takes note of the joint statement of the European Parliament and the Commission on payment appropriations as set out in section 3.2 below.

1.6.   Budgetary remarks

All amendments introduced by the European Parliament or the Council to the text of budgetary remarks are agreed with changes as set out in Annex 1. This is with the understanding that they cannot modify or extend the scope of an existing legal base, or impinge on the administrative autonomy of institutions, and that the action can be covered by available resources.

1.7.   New budget lines

Unless mentioned otherwise in the joint conclusions agreed by the Conciliation Committee or agreed jointly by both arms of the budgetary authority in their respective reading, the budget nomenclature as proposed by the Commission in its Draft Budget and its Amending Letters No 1 and No 2/2014 will remain unchanged, with the exception of pilot projects and preparatory actions.

These commonly agreed nomenclature changes concern the following budget lines:

| Budget line | Name |
| --- | --- |
| 04 03 01 05 | Information and training sessions for workers’ organisations |
| 04 03 01 06 | Information, consultation and participation of representatives undertakings |
| 04 03 01 08 | Industrial relations and social dialogue |
| 15 02 01 | Promoting excellence and cooperation in the European education, training and youth area, its relevance to the labour market and the participation of young people in European democratic life |
| 15 02 01 01 | Education and training |
| 15 02 01 02 | Youth |
| 15 02 10 | Special Annual Events |
| 21 02 07 03 | Environment and climate change |
| 21 02 07 04 | Sustainable energy |
| 21 02 07 05 | Human development |
| 21 02 07 06 | Food security and sustainable agriculture |
| 21 02 07 07 | Migration and asylum |
| 21 02 08 03 | Civil society in development |
| 21 02 08 04 | Local authorities in development |
| 21 02 09 | Middle East |
| 21 02 10 | Central Asia |
| 21 02 11 | Pan Africa |
| 21 02 12 | Latin America |
| 21 02 13 | South Africa |
| 21 02 14 | Asia |
| 21 02 15 | Afghanistan |
| 30 01 16 01 | Retirement Pensions of former Members of the European Parliament |
| 30 01 16 02 | Invalidity Pensions of former Members of the European Parliament |
| 30 01 16 03 | Survivor’s Pensions of former Members of the European Parliament |

Budget line

Name

04 03 01 05

Information and training sessions for workers’ organisations

04 03 01 06

Information, consultation and participation of representatives undertakings

04 03 01 08

Industrial relations and social dialogue

15 02 01

Promoting excellence and cooperation in the European education, training and youth area, its relevance to the labour market and the participation of young people in European democratic life

15 02 01 01

Education and training

15 02 01 02

Youth

15 02 10

Special Annual Events

21 02 07 03

Environment and climate change

21 02 07 04

Sustainable energy

21 02 07 05

Human development

21 02 07 06

Food security and sustainable agriculture

21 02 07 07

Migration and asylum

21 02 08 03

Civil society in development

21 02 08 04

Local authorities in development

21 02 09

Middle East

21 02 10

Central Asia

21 02 11

Pan Africa

21 02 12

Latin America

21 02 13

South Africa

21 02 14

Asia

21 02 15

Afghanistan

30 01 16 01

Retirement Pensions of former Members of the European Parliament

30 01 16 02

Invalidity Pensions of former Members of the European Parliament

30 01 16 03

Survivor’s Pensions of former Members of the European Parliament

The budget remarks for the new budget lines on Social Dialogue, as proposed by the Commission, are set out in the Annex.

1.8.   Reserves

The reserve of EUR 2 million set by the European Parliament on budget line 01 02 01 ‘Coordination, surveillance and communication on the economic and monetary union, including the euro’ is agreed.

1.9.   Revenues

The revenue side of the budget is approved as proposed by the Commission in the Draft Budget, as amended by Amending Letter No 2/2014 adjusted to the level of payments agreed in the Conciliation Committee.

2.   Budget 2013

Draft Amending Budget (DAB) No 8/2013 is agreed with the amounts as proposed by the Council.

DAB No 9/2013 is agreed as proposed by the Council, with the following amendments:

| 1. | A reinforcement of EUR 200 million to meet outstanding needs for payment appropriations in 2013 in the field of research is agreed, on the following budget lines:








  in EUR million |
| --- | --- |
| Budget line | Name | Reinforcement in payment appropriations in 2013 |
| 06 06 02 03 | SESAR Joint Undertaking | 12,458  million |
| 08 02 02 | Cooperation — Health — Innovative Medicines Initiative Joint Undertaking | 17,981  million |
| 08 04 01 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies | 19,936  million |
| 08 06 01 | Cooperation — Environment (including climate change) | 2,804  million |
| 08 10 01 | Ideas | 41,884  million |
| 08 19 01 | Capacities — Support for coherent development of research policies | 0,406  million |
| 09 04 01 01 | Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation) | 40,813  million |
| 10 03 01 | Nuclear activities of the Joint Research Centre (JRC) | 0,406  million |
| 15 07 77 | People | 63,313  million |
| Total | 200 million |

1.

A reinforcement of EUR 200 million to meet outstanding needs for payment appropriations in 2013 in the field of research is agreed, on the following budget lines:

in EUR million

Budget line

Name

Reinforcement in payment appropriations in 2013

06 06 02 03

SESAR Joint Undertaking

12,458  million

08 02 02

Cooperation — Health — Innovative Medicines Initiative Joint Undertaking

17,981  million

08 04 01

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

19,936  million

08 06 01

Cooperation — Environment (including climate change)

2,804  million

08 10 01

Ideas

41,884  million

08 19 01

Capacities — Support for coherent development of research policies

0,406  million

09 04 01 01

Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

40,813  million

10 03 01

Nuclear activities of the Joint Research Centre (JRC)

0,406  million

15 07 77

People

63,313  million

Total

200 million

| 2. | A redeployment of payment appropriations for a total amount of EUR 50 million in 2013 is agreed from the following budget lines:










  in EUR million |
| --- | --- |
| Budget line | Name | Redeployments of payment appropriations |
| Budget 2013 | DAB 9/2013 | Difference |
| 01 03 02 | Macro-Financial Assistance | | | 10,000 |
| 04 05 01 | European Globalisation Adjustment Fund (EGF) | | | 13,116 |
| 08 01 04 31 | Research Executive Agency (REA) | | | 3,915 |
| 08 01 05 01 | Expenditure related to research staff | | | 7,230 |
| 08 01 05 03 | Other management expenditure for research | | | 15,739 |
| Total | | | 50,000 |

2.

A redeployment of payment appropriations for a total amount of EUR 50 million in 2013 is agreed from the following budget lines:

in EUR million

Budget line

Name

Redeployments of payment appropriations

Budget 2013

DAB 9/2013

Difference

01 03 02

Macro-Financial Assistance

10,000

04 05 01

European Globalisation Adjustment Fund (EGF)

13,116

08 01 04 31

Research Executive Agency (REA)

3,915

08 01 05 01

Expenditure related to research staff

7,230

08 01 05 03

Other management expenditure for research

15,739

Total

50,000

The redeployment of payment appropriations for administrative support expenditure for research (chapter 08 01) in 2013 concerns non-differentiated expenditure, which leads to a corresponding reduction in commitment appropriations (- EUR 26,9 million) on the last three lines in the table above.

An amount of EUR 250 million of payment appropriations for the EU Solidarity Fund in included in the 2013 budget, whereas an amount of EUR 150 million of payment appropriations for the EU Solidarity Fund is included in the 2014 budget.

3.   Statements

3.1.   Joint statement on payment appropriations

The European Parliament, the Council, and the Commission recall their shared responsibility, as laid down in Article 323 of the Treaty on the Functioning the European Union (TFEU), that ‘the European Parliament, the Council and the Commission shall ensure that the financial means are made available to allow the Union to fulfil its legal obligation in respect of third parties’.

The European Parliament and the Council recall 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. In this respect, they will have recourse, when appropriate, to the various flexibility mechanisms included in the MFF Regulation, among others in its Article 13.

The European Parliament and the Council agree to set the level of payment appropriations for 2014 at EUR 135 504 613 000. They ask the Commission to initiate any necessary action, on the basis of the provisions of the draft MFF Regulation and the Financial Regulation, to cover the responsibility assigned by the Treaty and, in particular, after having examined the scope for reallocation of the relevant appropriations, with particular reference to any expected under-implementation of appropriations (Financial Regulation Article 41§ 2) to request additional payment appropriations in an amending budget if the appropriations entered in the 2014 budget are insufficient to cover expenditure.

The European Parliament and the Council will take position on any draft amending budget as quickly as possible in order to avoid any shortfall in payment appropriations. In addition, the European Parliament and the Council undertake to process swiftly any possible transfer of payment appropriations, including across financial framework headings, in order to make the best possible use of payment appropriations entered in the budget and align them to actual execution and needs.

The European Parliament, the Council and the Commission will, throughout the year, actively monitor the state of implementation of the 2014 budget, in particular under sub-heading 1b (Economic, social and territorial cohesion) and rural development under heading 2 (Sustainable Growth: Natural Resources). This will take the form of dedicated inter-institutional meetings, in accordance with point 36 of the Annex of the Interinstitutional Agreement, to take stock of payment implementation and revised forecasts.

3.2.   European Parliament and Commission statement on payment appropriations

The European Parliament and the Commission recall the need for specific and maximum flexibility within the 2014-2020 MFF. Changes to the proposed legal bases agreed by the legislative authority will lead to further pressure on the payment ceilings under the 2014-2020 MFF. In the context of the finalisation of the legislative package for the Cohesion policy 2014-2020 and taking into account the possible impact of the SME initiative, the Commission issued a declaration on the impact of the agreement reached on the performance reserve and pre-financing levels, on payment needs. Whilst the overall impact of these changes on additional payment appropriations in the 2014-2020 MFF is considered to remain limited, the Commission stated that the annual fluctuations in the global level of payments would be managed through the use of the global margin for payments. If needed, the Commission may also have recourse to the Flexibility Instrument and the Contingency Margin agreed upon in the draft MFF Regulation.

Therefore, the Commission intends to propose correcting measures in light of implementation, using, to the extent necessary, all the tools offered by the new MFF. Specifically, in the course of 2014 the Commission may have to propose to have recourse to the Contingency Margin, in accordance with Article 13 of the draft MFF Regulation.

3.3.   Council statement on payment appropriations

The Council recalls that the special instruments can only be activated to cater for genuinely unforeseen circumstances.

It recalls that the Contingency Margin shall not result in exceeding the total ceilings of commitment and payment appropriations.

As regards other special instruments, the Council recalls that Article 3(2) of the draft MFF Regulation states that commitment appropriations may be entered in the budget over and above the ceilings of the relevant headings.

3.4.   Joint statement on decentralised agencies

The European Parliament, the Council and the Commission recall the importance to progressively reduce the staffing levels of all EU institutions, bodies and agencies by 5 % over five years, as agreed in point 23 of the draft Interinstitutional Agreement on budgetary discipline, cooperation in budgetary matters and on sound financial management.

The European Parliament and the Council commit to pursue progressively the above-mentioned 5 % staff reduction for the period 2013-2017 while insisting as well on the proper functioning of the agencies so that they can fulfil the tasks they have been assigned by the legislative authority. In this respect, they consider that further measures, including structural ones, may be required to achieve this reduction for decentralised agencies. In this context, the Commission will continue its assessment of the possibilities to merge and/or wind-up some of the existing agencies, and/or other ways to achieve synergies.

Further to the work carried out by the Inter-Institutional Working Group, which resulted in the Common Approach on decentralised agencies agreed in July 2012, the European Parliament, the Council and the Commission agree on the need for a closer and more permanent scrutiny on the development of decentralised agencies to ensure a coherent approach. Without prejudice to their respective prerogatives, they agree to establish a specific inter-institutional working group with the aim of defining a clear development path for agencies, based on objective criteria. The Group should in particular discuss:

| — | Evaluation of establishment plans on a case-by-case basis; |
| --- | --- |

—

Evaluation of establishment plans on a case-by-case basis;

| — | Ways to provide adequate appropriations and staff for additional tasks, assigned to individual agencies by the legislative authority; |
| --- | --- |

—

Ways to provide adequate appropriations and staff for additional tasks, assigned to individual agencies by the legislative authority;

| — | Treatment of agencies which are fully or partially fee-financed; |
| --- | --- |

—

Treatment of agencies which are fully or partially fee-financed;

| — | Administrative structure of agencies, financing models, treatment of assigned revenues; |
| --- | --- |

—

Administrative structure of agencies, financing models, treatment of assigned revenues;

| — | Reassessment of needs; potential mergers/closures; transfer of tasks to the Commission. |
| --- | --- |

—

Reassessment of needs; potential mergers/closures; transfer of tasks to the Commission.

The European Parliament and the Council will take into due account the results achieved by the Inter-Institutional Working Group in their deliberations as legislative and budgetary authority.

3.5.   Joint statement on heading 5 and salary adjustments

The European Parliament and the Council agree that pending the outcome of the cases before the European Court of Justice, the appropriations related to the proposed salary adjustments of 1,7 % for 2011 and 1,7 % for 2012 will not be included at this stage in the 2014 budget.

Should the Court of Justice rule in favour of the Commission, the Commission will present a Draft Amending Budget in 2014 in order to cover the proposed salary adjustments, for all the Sections. Under such a scenario, the European Parliament and the Council undertake to act swiftly on the relevant Draft Amending Budget.

3.6.   Joint statement on EU Special Representatives

The Parliament and the Council agree to examine the transfer of appropriations for the European Union Special Representatives from the Commission's budget (Section III) to the budget of the European External Action Service (Section X) in the context of the 2015 budgetary procedure.

Annex 1 — Modification of budgetary remarks

With reference to section 1.6 of the joint conclusions, as compared to the budgetary remarks voted by the Council and the Parliament, the following modifications are agreed:

Heading 1A

| 04 03 01 05 | Information and training measures for workers' organisations |
| --- | --- |

04 03 01 05

Information and training measures for workers' organisations

Remarks

This appropriation is intended to cover expenditure on information and training measures for workers’ organisations, including representatives of workers’ organisations in the candidate countries, deriving from the implementation of Union action in the framework of the implementation of the Union social dimension action. These measures should help workers’ organisations to help address the overarching challenges facing European employment and social policy as laid down in the Europe 2020 Strategy and the Social Agenda and within the context of Union initiatives to address the consequences of the economic crisis.

Moreover, this appropriation is also intended to support the work programmes of the two institutes — ETUI (European Trade Union Institute) and EZA (European Centre for Workers’ Questions) — which have been established to promote capacity-building through educational measures and research at European level, including in candidate countries, to include worker representatives in decision-making processes to a greater extent.

This appropriation is intended to cover in particular the following activities:

| — | Support for the work programmes of the two specific trade union institutes, ETUI (European Trade Union Institute) and EZA (European Centre for Workers’ Questions), which have been established to facilitate capacity-building through training and research at European level, as well as to improve the degree of involvement of workers' representatives in European governance, |
| --- | --- |

—

Support for the work programmes of the two specific trade union institutes, ETUI (European Trade Union Institute) and EZA (European Centre for Workers’ Questions), which have been established to facilitate capacity-building through training and research at European level, as well as to improve the degree of involvement of workers' representatives in European governance,

| — | Information and training measures for workers’ organisations, including representatives of workers’ organisations in the candidate countries, deriving from the implementation of Union action in the framework of the implementation of the Union social dimension, |
| --- | --- |

—

Information and training measures for workers’ organisations, including representatives of workers’ organisations in the candidate countries, deriving from the implementation of Union action in the framework of the implementation of the Union social dimension,

| — | Measures involving representatives of the social partners in the candidate countries with the specific purpose of promoting social dialogue at Union level. It is also intended to promote equal participation of women and men in the decision-making bodies of workers’ organisations." |
| --- | --- |

—

Measures involving representatives of the social partners in the candidate countries with the specific purpose of promoting social dialogue at Union level. It is also intended to promote equal participation of women and men in the decision-making bodies of workers’ organisations."

Legal Basis

Task resulting from specific powers directly conferred on the Commission by the Treaty on the Functioning of the European Union pursuant to Article 154.

Convention concluded in 1959 between the ECSC High Authority and the International Occupational Safety and Health Information Centre (CIS) of the International Labour Office.

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 (OJ L 183, 29.6.1989, p. 1), and the associated individual Directives.

Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels (OJ L 113, 30.4.1992, p. 19).

| 04 03 01 06 | Information, consultation and participation of representatives of undertakings |
| --- | --- |

04 03 01 06

Information, consultation and participation of representatives of undertakings

Remarks

This appropriation is intended to provide funding for action to foster the development of employee involvement in undertakings in furtherance of Directives 97/74/EC and 2009/38/EC on European Works Councils, Directives 2001/86/EC and 2003/72/EC on employees’ involvement in the European Company and in the European Cooperative Society respectively, Directive 2002/14/EC establishing a general framework for informing and consulting employees in the European Community, and Article 16 of Directive 2005/56/EC on cross-border mergers of limited liability companies.

This appropriation covers the funding of measures to strengthen transnational cooperation between workers’ and employers’ representatives in respect of information, consultation and participation of employees within companies operating in more than one Member State. Short training courses for negotiators and representatives in transnational information, consultation and participation bodies may be funded in that context. This may involve social partners from candidate countries. This appropriation may be used to finance measures enabling social partners to exercise their rights and discharge their duties as regards employee involvement, especially on European Works Councils and in SMEs, to familiarise them with transnational company agreements, and to cooperate to a greater extent in connection with Union law on employee involvement.

In addition, it may be used to finance measures to develop expertise on employee involvement across Member States, to promote cooperation between relevant authorities and stakeholders, and to foster relations with EU institutions so as to support implementation of Union law on employee involvement and make it more effective.

This appropriation is intended to cover in particular the following activities:

| — | Measures to set the conditions for social dialogue in companies and proper employee involvement in undertakings as provided under directive 2009/38/EC on European Works Councils, Directives 2001/86/EC and 2003/72/EC on employees’ involvement in the European company and in the European cooperative society, respectively, Directive 2002/14/EC establishing a general framework for informing and consulting employees in the European Community, Directive 98/59/EC on collective redundancies and Article 16 of Directive 2005/56/EC on cross-border mergers of limited liability companies. |
| --- | --- |

—

Measures to set the conditions for social dialogue in companies and proper employee involvement in undertakings as provided under directive 2009/38/EC on European Works Councils, Directives 2001/86/EC and 2003/72/EC on employees’ involvement in the European company and in the European cooperative society, respectively, Directive 2002/14/EC establishing a general framework for informing and consulting employees in the European Community, Directive 98/59/EC on collective redundancies and Article 16 of Directive 2005/56/EC on cross-border mergers of limited liability companies.

| — | Initiatives to strengthen transnational cooperation between workers’ and employers’ representatives in respect of information, consultation and participation of employees within companies operating in more than one Member State and short training actions for negotiators and representatives in transnational information, consultation and participation bodies may be funded in that context. This may involve social partners from candidate countries. |
| --- | --- |

—

Initiatives to strengthen transnational cooperation between workers’ and employers’ representatives in respect of information, consultation and participation of employees within companies operating in more than one Member State and short training actions for negotiators and representatives in transnational information, consultation and participation bodies may be funded in that context. This may involve social partners from candidate countries.

| — | Measures to enable social partners to exercise their rights and duties as regards employee involvement, especially within the framework of European Works Councils, to familiarise them with transnational company agreements and strengthen their cooperation in respect to Union law on employee involvement. |
| --- | --- |

—

Measures to enable social partners to exercise their rights and duties as regards employee involvement, especially within the framework of European Works Councils, to familiarise them with transnational company agreements and strengthen their cooperation in respect to Union law on employee involvement.

| — | Operations fostering the development of employee involvement in undertakings. |
| --- | --- |

—

Operations fostering the development of employee involvement in undertakings.

| — | Innovative actions relating to employee involvement, with the view of supporting the anticipation of change and the prevention and resolution of disputes in the context of corporate restructuring, mergers, take-overs and relocation in union-scale undertakings and union-scale groups of undertakings. |
| --- | --- |

—

Innovative actions relating to employee involvement, with the view of supporting the anticipation of change and the prevention and resolution of disputes in the context of corporate restructuring, mergers, take-overs and relocation in union-scale undertakings and union-scale groups of undertakings.

| — | Measures to strengthen cooperation between the social partners for the development of employee involvement in the design of solutions addressing the consequences of the economic crisis, such as mass redundancies, or the need for a shift towards an inclusive, sustainable and low-carbon economy. |
| --- | --- |

—

Measures to strengthen cooperation between the social partners for the development of employee involvement in the design of solutions addressing the consequences of the economic crisis, such as mass redundancies, or the need for a shift towards an inclusive, sustainable and low-carbon economy.

| — | Transnational exchange of information and good practice in matters relevant for social dialogue at company level. |
| --- | --- |

—

Transnational exchange of information and good practice in matters relevant for social dialogue at company level.

Legal Basis

Task resulting from specific powers directly conferred on the Commission by the Treaty on the Functioning of the European Union pursuant to Articles 154 and 155.

Council Directive 97/74/EC of 15 December 1997 extending to the United Kingdom of Great Britain and Northern Ireland Directive 94/45/EC on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees (OJ L 10, 16.1.1998, p. 22).

Council Directive 2001/86/EC of 8 October 2001 supplementing the Statute for a European Company with regard to the involvement of employees (OJ L 294, 10.11.2001, p. 22).

Directive 98/59/EC on the approximation of the laws of the Member States relating to collective redundancies (OJ L 225, 12.8.1998, p. 16).

Directive 2001/23/EC on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses (OJ L 82, 22.3.2001, p. 16).

Directive 2002/14/EC of the European Parliament and of the Council of 11 March 2002 establishing a general framework for informing and consulting employees in the European Community (OJ L 80, 23.3.2002, p. 29).

Council Directive 2003/72/EC of 22 July 2003 supplementing the Statute for a European Cooperative Society with regard to the involvement of employees (OJ L 207, 18.8.2003, p. 25).

Directive 2005/56/EC of the European Parliament and of the Council of 26 October 2005 on cross-border mergers of limited liability companies (OJ L 310, 25.11.2005, p. 1).

Directive 2009/38/EC of the European Parliament and of the Council of 6 May 2009 on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees (Recast) (OJ L 122, 16.5.2009, p. 28).

Convention concluded in 1959 between the ECSC High Authority and the International Occupational Safety and Health Information Centre (CIS) of the International Labour Office.

| 04 03 01 08 | Industrial relations and social dialogue |
| --- | --- |

04 03 01 08

Industrial relations and social dialogue

Remarks

The objective of this activity is to strengthen the role of social dialogue and promote the adoption of agreements and other joint actions between the social partners at the EU level.
  This appropriation is intended to cover the financing of the social partners’ participation
  The actions financed should help social partner organisations to address
  in the European employment strategy and of the social partners’ contribution to addressing the overarching challenges facing European employment and social policy as laid down in the Europe 2020 Strategy and the Social Agenda
  and within the context of Union initiatives to address the consequences of the economic crisis and to contribute to the improvement and dissemination of knowledge of industrial relations institutions and practices.
  It is intended to cover grants for promoting social dialogue at cross-industry and sectoral level in accordance with Article 154 of the Treaty on the Functioning of the European Union. The appropriations shall therefore be used to finance consultations, meetings, negotiations and other operations designed to achieve these objectives.

In addition, this appropriation is intended to cover support for industrial relations measures, in particular those designed to develop expertise and the exchange of Union-relevant information.

This appropriation is also intended to cover the funding of measures involving representatives of the social partners in the candidate countries with the specific purpose of promoting social dialogue at Union level. A gender sensitive approach is taken into account in the implementation of these objectives and it is, therefore, intended to promote equal participation of women and men in the decision-making bodies of both trade unions and employers’ organisations. These last two components are cross-cutting.

On the basis of these objectives, two sub-programmes have been established:

| — | support for European social dialogue |
| --- | --- |

—

support for European social dialogue

| — | improvement of expertise in industrial relations. |
| --- | --- |

—

improvement of expertise in industrial relations.

This appropriation is intended to cover in particular the following activities:

| — | Studies, consultations, meetings of experts, negotiations, information, publications and other operations directly linked to the achievement of the above objective or measures falling under this budget line, plus any other expenditure on technical and administrative assistance not involving public authority tasks outsourced by the Commission under ad hoc service contracts. |
| --- | --- |

—

Studies, consultations, meetings of experts, negotiations, information, publications and other operations directly linked to the achievement of the above objective or measures falling under this budget line, plus any other expenditure on technical and administrative assistance not involving public authority tasks outsourced by the Commission under ad hoc service contracts.

| — | Actions undertaken by social partners to promote social dialogue (including capacity of social partners) at cross-industry and sector level, |
| --- | --- |

—

Actions undertaken by social partners to promote social dialogue (including capacity of social partners) at cross-industry and sector level,

| — | Actions to improve knowledge on industrial relations institutions and practices across the EU and dissemination of results, |
| --- | --- |

—

Actions to improve knowledge on industrial relations institutions and practices across the EU and dissemination of results,

| — | Measures involving representatives of the social partners in the candidate countries with the specific purpose of promoting social dialogue at Union level. It is also intended to promote equal participation of women and men in the decision-making bodies of both trade unions and employers’ organisations, |
| --- | --- |

—

Measures involving representatives of the social partners in the candidate countries with the specific purpose of promoting social dialogue at Union level. It is also intended to promote equal participation of women and men in the decision-making bodies of both trade unions and employers’ organisations,

| — | Actions to support industrial relations measures, in particular those designed to develop expertise and the exchange of Union-relevant information. |
| --- | --- |

—

Actions to support industrial relations measures, in particular those designed to develop expertise and the exchange of Union-relevant information.

Legal Basis

Task resulting from specific powers directly conferred on the Commission by the Treaty on the Functioning of the European Union pursuant to Articles 154 and 155.

| 15 02 10 | Special Annual Events |
| --- | --- |

15 02 10

Special Annual Events

Remarks

The remarks for this budget line read as follows:

Add following text:

This appropriation is intended to cover completion costs of measures supported as special annual sport events.

Special Annual Event: The European MOVE Week

Commitments: EUR 1 000 000; Payments: EUR 1 000 000

The European MOVE Week is a European-wide flagship event promoting grassroots sport and physical activity and their positive impact on European citizens and societies.

As part of the vision to get 100 million more Europeans to be active in sport and physical activity by 2020, the MOVE Week 2014 is a bottom-up approach, involving local communities, sports clubs, schools, workplaces and cities in a large-scale celebration of sport and physical activity. It is an integrated part of the European NowWeMove campaign and thus a sustainable contribution to more physically active and healthy European citizens.

MOVE Week 2014 will feature a minimum of 300 events from all 28 EU member states and a minimum of 150 cities, introducing new sport and physical activity initiatives and highlighting the myriad of successful existing actions.

Special Annual Event: European Special Olympics Summer Games in Antwerp, Belgium 2014

Commitments: EUR 2 000 000; Payments: EUR 2 000 000

This appropriation is intended to cover costs of measures supported as special annual events. The amount of 2 000 000 Euro allocated to co-finance the multi- annual event of The European Special Olympics Summer Games in Antwerp, Belgium (13-20 September 2014). This funding will also allow participating athletes from all 28 member states to train, to prepare and to attend the games in Belgium.

This event will see 2,000 athletes and their delegations from 58 countries competing over 10 days. More than 4,000 volunteers will help to make this multi-sport event unique. Along with the Sports Programme, other Scientific, Educational and Family Programmes will be set up. 30 Belgian cities will host the athletes and Antwerp will host the event. Many special events will be organised before, during, and after the Games.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/160 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/160

---

P7_TA(2013)0473

Mobilisation of the Flexibility Instrument — financing of the Cypriot Structural Funds programmes

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0647 — C7-0302/2013 — 2013/2223(BUD))

(2016/C 436/28)

The European Parliament,

| — | having regard to the Commission Draft Budget for the financial year 2014 (COM(2013)0450), presented on 28 June 2013, as amended by amending letter No 1 presented by the Commission on 18 September 2013 (COM(2013)0644), |
| --- | --- |

—

having regard to the Commission Draft Budget for the financial year 2014 (COM(2013)0450), presented on 28 June 2013, as amended by amending letter No 1 presented by the Commission on 18 September 2013 (COM(2013)0644),

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0647 — C7-0302/2013), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0647 — C7-0302/2013),

| — | having regard to Council Regulation (EU, Euratom) No 1311/2013 laying down the multiannual financial framework for the years 2014-2020 (1), and in particular Article 11 thereof, |
| --- | --- |

—

having regard to Council Regulation (EU, Euratom) No 1311/2013 laying down the multiannual financial framework for the years 2014-2020 (1), and in particular Article 11 thereof,

| — | having regard to the Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline, cooperation in budgetary matters and sound financial management (2), and in particular Point 12 thereof, |
| --- | --- |

—

having regard to the Interinstitutional Agreement between the European Parliament, the Council and the Commission on budgetary discipline, cooperation in budgetary matters and sound financial management (2), and in particular Point 12 thereof,

| — | having regard to its position adopted on 23 October 2013 on the 2014 draft general budget, |
| --- | --- |

—

having regard to its position adopted on 23 October 2013 on the 2014 draft general budget,

| — | having regard to the joint text approved by the Conciliation Committee on 12 November 2013 (16106/2013 ADD 1-5 — C7-0413/2013), |
| --- | --- |

—

having regard to the joint text approved by the Conciliation Committee on 12 November 2013 (16106/2013 ADD 1-5 — C7-0413/2013),

| — | having regard to the report of the Committee on Budgets (A7-0388/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0388/2013),

| A. | whereas, after having examined all possibilities for reallocating commitment appropriations under heading 1b, it appears necessary to mobilise the Flexibility Instrument for commitment appropriations, |
| --- | --- |

A.

whereas, after having examined all possibilities for reallocating commitment appropriations under heading 1b, it appears necessary to mobilise the Flexibility Instrument for commitment appropriations,

| B. | whereas the Commission has proposed to mobilise the Flexibility Instrument to complement the financing in the general budget of the European Union for the financial year 2014, beyond the ceiling of heading 1b, of EUR 78 million towards the financing of the Cypriot Structural Funds programmes to grant an additional allocation from the Structural Funds to Cyprus for the year 2014 by a total amount of EUR 100 000 000, |
| --- | --- |

B.

whereas the Commission has proposed to mobilise the Flexibility Instrument to complement the financing in the general budget of the European Union for the financial year 2014, beyond the ceiling of heading 1b, of EUR 78 million towards the financing of the Cypriot Structural Funds programmes to grant an additional allocation from the Structural Funds to Cyprus for the year 2014 by a total amount of EUR 100 000 000,

| 1. | Notes that despite contained reinforcements in commitment appropriations on a limited number of budget items and several decreases on other budget items, the 2014 ceilings of subheading 1b in commitments do not allow for the adequate financing of important and urgent political priorities of the Union carried out by Parliament and the Council; |
| --- | --- |

1.

Notes that despite contained reinforcements in commitment appropriations on a limited number of budget items and several decreases on other budget items, the 2014 ceilings of subheading 1b in commitments do not allow for the adequate financing of important and urgent political priorities of the Union carried out by Parliament and the Council;

| 2. | Agrees with the mobilisation of the Flexibility Instrument in commitment appropriations for the financing — under subheading 1b — of the Cypriot Structural Funds programmes for a total amount of EUR 89 330 000; |
| --- | --- |

2.

Agrees with the mobilisation of the Flexibility Instrument in commitment appropriations for the financing — under subheading 1b — of the Cypriot Structural Funds programmes for a total amount of EUR 89 330 000;

| 3. | Reiterates that the mobilisation of this instrument, as provided for in Article 11 of Council Regulation (EU, Euratom) No 1311/2013, highlights, once more, the crucial need for the Union budget to be increasingly flexible; |
| --- | --- |

3.

Reiterates that the mobilisation of this instrument, as provided for in Article 11 of Council Regulation (EU, Euratom) No 1311/2013, highlights, once more, the crucial need for the Union budget to be increasingly flexible;

| 4. | Approves the decision annexed to this resolution; |
| --- | --- |

4.

Approves the decision annexed to this resolution;

| 5. | Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

5.

Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

| 6. | Instructs its President to forward this resolution, including its annex, to the Council and the Commission. |
| --- | --- |

6.

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

---

(1)  OJ L 347, 20.12.2013, p. 884.

(2)  OJ C 373, 20.12.2013, p. 1.

---

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the Flexibility Instrument

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2014/97/EU.)

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/162 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/162

---

P7_TA(2013)0474

Draft amending budget No 9/2013: Mobilisation of the EU Solidarity Fund for Romania (Drought and forest fires in 2012) and for Germany, Austria and the Czech Republic (Flooding in May and June 2013)

European Parliament resolution of 20 November 2013 on the Council position on Draft amending budget No 9/2013 of the European Union for the financial year 2013, Section III — Commission (14872/2013 — C7-0388/2013 — 2013/2257(BUD))

(2016/C 436/29)

The European Parliament,

| — | having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty, |
| --- | --- |

—

having regard to Article 314 of the Treaty on the Functioning of the European Union and Article 106a of the Euratom Treaty,

| — | having regard to 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 (1), |
| --- | --- |

—

having regard to 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 (1),

| — | having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2), |
| --- | --- |

—

having regard to the general budget of the European Union for the financial year 2013, as definitively adopted on 12 December 2012 (2),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3) (hereafter referred to as ‘IIA’), |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (3) (hereafter referred to as ‘IIA’),

| — | having regard to Draft amending budget No 9/2013 of the European Union for the financial year 2013, which the Commission adopted on 3 October 2013 (COM(2013)0691), |
| --- | --- |

—

having regard to Draft amending budget No 9/2013 of the European Union for the financial year 2013, which the Commission adopted on 3 October 2013 (COM(2013)0691),

| — | having regard to the position adopted by the Council on 30 October 2013 on Draft amending budget No 9/2013 (14872/2013 — C7-0388/2013), |
| --- | --- |

—

having regard to the position adopted by the Council on 30 October 2013 on Draft amending budget No 9/2013 (14872/2013 — C7-0388/2013),

| — | having regard to the joint conclusions approved by the Conciliation Committee on 12 November 2013 (4), |
| --- | --- |

—

having regard to the joint conclusions approved by the Conciliation Committee on 12 November 2013 (4),

| — | having regard to Rules 75b of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 75b of its Rules of Procedure,

| — | having regard to the report of the Committee on Budgets (A7-0390/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0390/2013),

| A. | whereas Draft amending budget No 9 (DAB No 9/2013) for the year 2013 covers the mobilisation of the EU Solidarity Fund (‘the Fund’) for an amount of EUR 400,5 million in commitment and payment appropriations to Romania in relation to the drought and forest fires in summer 2012, and to Germany, Austria and the Czech Republic in relation to flooding in May and June 2013, |
| --- | --- |

A.

whereas Draft amending budget No 9 (DAB No 9/2013) for the year 2013 covers the mobilisation of the EU Solidarity Fund (‘the Fund’) for an amount of EUR 400,5 million in commitment and payment appropriations to Romania in relation to the drought and forest fires in summer 2012, and to Germany, Austria and the Czech Republic in relation to flooding in May and June 2013,

| B. | whereas the purpose of DAB No 9/2013 is to formally enter this budgetary adjustment into the 2013 budget, |
| --- | --- |

B.

whereas the purpose of DAB No 9/2013 is to formally enter this budgetary adjustment into the 2013 budget,

| 1. | Takes note of DAB No 9/2013, as submitted by the Commission; |
| --- | --- |

1.

Takes note of DAB No 9/2013, as submitted by the Commission;

| 2. | Calls on the Council to cease presenting its positions under Article 314(3) Treaty on the Functioning of the European Union in the form of legal acts (‘Decision’), since this is not in conformity with Article 314 TFEU, as interpreted by the Court of Justice in its judgment of 17 September 2013 in Case C-77/11 Council v Parliament; recalls that a position under Article 314(3) TFEU is a preparatory act and is valid as from its date of adoption; stresses that it will reject and ignore any clause by which the Council purports to make the validity of its position in a budgetary procedure conditional on the prior approval by Parliament of a different budget, amending budget or legislative act; |
| --- | --- |

2.

Calls on the Council to cease presenting its positions under Article 314(3) Treaty on the Functioning of the European Union in the form of legal acts (‘Decision’), since this is not in conformity with Article 314 TFEU, as interpreted by the Court of Justice in its judgment of 17 September 2013 in Case C-77/11 Council v Parliament; recalls that a position under Article 314(3) TFEU is a preparatory act and is valid as from its date of adoption; stresses that it will reject and ignore any clause by which the Council purports to make the validity of its position in a budgetary procedure conditional on the prior approval by Parliament of a different budget, amending budget or legislative act;

| 3. | Deplores the Council’s position on DAB No 9/2013, which amends the Commission’s proposal with a view to fully financing the mobilisation of the Fund through redeployments from budget lines for which underimplementation is expected by the end of 2013, as identified by the Commission in its proposal for 2013 global transfer (DEC 26/2013); |
| --- | --- |

3.

Deplores the Council’s position on DAB No 9/2013, which amends the Commission’s proposal with a view to fully financing the mobilisation of the Fund through redeployments from budget lines for which underimplementation is expected by the end of 2013, as identified by the Commission in its proposal for 2013 global transfer (DEC 26/2013);

| 4. | Endorses the agreement reached on 12 November 2013 in the framework of the Conciliation Committee with a view to financing this mobilisation up to a level of EUR 250,5 million in payment appropriations in 2013 through redeployments and EUR 150 million in 2014 through fresh appropriations; notes with satisfaction that this will allow for the financing of research needs identified in the global transfer for EUR 200 million, allowing in particular for the signing of a number of new research contracts still this year; |
| --- | --- |

4.

Endorses the agreement reached on 12 November 2013 in the framework of the Conciliation Committee with a view to financing this mobilisation up to a level of EUR 250,5 million in payment appropriations in 2013 through redeployments and EUR 150 million in 2014 through fresh appropriations; notes with satisfaction that this will allow for the financing of research needs identified in the global transfer for EUR 200 million, allowing in particular for the signing of a number of new research contracts still this year;

| 5. | Stresses, however, that it maintains its position of principle that the financing of special instruments, like the Fund, should be entered in the budget over and above the multiannual financial framework ceilings and does not support Council's unilateral statement on payment appropriations annexed to the joint conclusions on Budget 2014; |
| --- | --- |

5.

Stresses, however, that it maintains its position of principle that the financing of special instruments, like the Fund, should be entered in the budget over and above the multiannual financial framework ceilings and does not support Council's unilateral statement on payment appropriations annexed to the joint conclusions on Budget 2014;

| 6. | Therefore amends the position of the Council as follows:









  (in EUR million) |
| --- | --- |
| Budget line | Description | CA | PA |
| 06 06 02 03 | SESAR Joint Undertaking | | 12,458 |
| 08 02 02 | Cooperation — Health — Innovative Medicines Initiative Joint Undertaking | | 17,981 |
| 08 04 01 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies | | 19,936 |
| 08 06 01 | Cooperation — Environment (including climate change) | | 2,804 |
| 08 10 01 | Ideas | | 41,884 |
| 08 19 01 | Capacities — Support for coherent development of research policies | | 0,406 |
| 09 04 01 01 | Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation) | | 40,813 |
| 10 03 01 | Nuclear activities of the Joint Research Centre (JRC) | | 0,406 |
| 15 07 77 | People | | 63,313 |
| 13 06 01 | European Union Solidarity Fund — Member States | | - 150,000 |
| 01 03 02 | Macro-Financial Assistance | | -10,000 |
| 04 05 01 | European Globalisation Adjustment Fund (EGF) | | -13,116 |
| 08 01 04 31 | Research Executive Agency (REA) | -3,915 | -3,915 |
| 08 01 05 01 | Expenditure related to research staff | -7,230 | -7,230 |
| 08 01 05 03 | Other management expenditure for research | -15,739 | -15,739 |
| TOTAL | - 26,884 | 0 |

6.

Therefore amends the position of the Council as follows:

(in EUR million)

Budget line

Description

CA

PA

06 06 02 03

SESAR Joint Undertaking

12,458

08 02 02

Cooperation — Health — Innovative Medicines Initiative Joint Undertaking

17,981

08 04 01

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

19,936

08 06 01

Cooperation — Environment (including climate change)

2,804

08 10 01

Ideas

41,884

08 19 01

Capacities — Support for coherent development of research policies

0,406

09 04 01 01

Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

40,813

10 03 01

Nuclear activities of the Joint Research Centre (JRC)

0,406

15 07 77

People

63,313

13 06 01

European Union Solidarity Fund — Member States

- 150,000

01 03 02

Macro-Financial Assistance

-10,000

04 05 01

European Globalisation Adjustment Fund (EGF)

-13,116

08 01 04 31

Research Executive Agency (REA)

-3,915

-3,915

08 01 05 01

Expenditure related to research staff

-7,230

-7,230

08 01 05 03

Other management expenditure for research

-15,739

-15,739

TOTAL

- 26,884

0

| 7. | Instructs its President to forward this resolution to the Council, the Commission and the national parliaments. |
| --- | --- |

7.

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

---

(1)  OJ L 298, 26.10.2012, p. 1.

(2)  OJ L 66, 8.3.2013.

(3)  OJ C 139, 14.6.2006, p. 1.

(4)  Annex to P7_TA(2013)0472 of 20 November 2013.

---

BUDGETARY ANNEX:

DRAFT AMENDING BUDGET NO. 9/2013

EXPENDITURE — EXPENDITURE

Figures

| Title | Heading | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 01 | Economic and financial affairs | 555 684 796 | 428 350 972 | | -10 000 000 | 555 684 796 | 418 350 972 |
| 02 | Enterprise | 1 157 245 386 | 1 376 115 339 | | | 1 157 245 386 | 1 376 115 339 |
| 03 | Competition | 92 219 149 | 92 219 149 | | | 92 219 149 | 92 219 149 |
| 04 | Employment and social affairs | 12 214 158 933 | 13 743 651 206 | | -13 116 000 | 12 214 158 933 | 13 730 535 206 |
| 05 | Agriculture and rural development | 58 851 894 643 | 56 895 357 629 | | -32 331 335 | 58 851 894 643 | 56 863 026 294 |
| 06 | Mobility and transport | 1 740 800 530 | 983 961 494 | | 12 457 557 | 1 740 800 530 | 996 419 051 |
| 07 | Environment and climate action | 498 383 275 | 404 177 073 | | | 498 383 275 | 404 177 073 |
| 08 | Research | 6 901 336 033 | 5 231 942 972 | -26 884 000 | - 233 072 948 | 6 874 452 033 | 4 998 870 024 |
| 09 | Communications networks, content and technology | 1 810 829 637 | 1 507 705 211 | | 40 812 681 | 1 810 829 637 | 1 548 517 892 |
| 40 01 40, 40 02 41 | 391 985
  1 811 221 622 | 391 985
  1 508 097 196 | | | 391 985
  1 811 221 622 | 391 985
  1 548 909 877 |
| 10 | Direct research | 424 319 156 | 419 320 143 | | 405 852 | 424 319 156 | 419 725 995 |
| 11 | Maritime affairs and fisheries | 919 262 394 | 763 270 938 | | | 919 262 394 | 763 270 938 |
| 40 01 40, 40 02 41 | 115 220 000
  1 034 482 394 | 70 190 000
  833 460 938 | | | 115 220 000
  1 034 482 394 | 70 190 000
  833 460 938 |
| 12 | Internal market | 103 313 472 | 101 938 194 | | | 103 313 472 | 101 938 194 |
| 40 02 41 | 3 000 000
  106 313 472 | 3 000 000
  104 938 194 | | | 3 000 000
  106 313 472 | 3 000 000
  104 938 194 |
| 13 | Regional policy | 43 792 849 672 | 43 417 676 111 | 400 519 089 | 171 531 335 | 44 193 368 761 | 43 589 207 446 |
| 14 | Taxation and customs union | 144 620 394 | 127 227 655 | | | 144 620 394 | 127 227 655 |
| 15 | Education and culture | 2 829 575 587 | 2 564 555 677 | | 63 312 858 | 2 829 575 587 | 2 627 868 535 |
| 16 | Communication | 265 992 159 | 252 703 941 | | | 265 992 159 | 252 703 941 |
| 17 | Health and consumer protection | 634 370 124 | 598 986 674 | | | 634 370 124 | 598 986 674 |
| 18 | Home affairs | 1 227 109 539 | 906 396 228 | | | 1 227 109 539 | 906 396 228 |
| 40 01 40, 40 02 41 | 111 280 000
  1 338 389 539 | 66 442 946
  972 839 174 | | | 111 280 000
  1 338 389 539 | 66 442 946
  972 839 174 |
| 19 | External relations | 5 001 226 243 | 3 292 737 301 | | | 5 001 226 243 | 3 292 737 301 |
| 20 | Trade | 107 473 453 | 104 177 332 | | | 107 473 453 | 104 177 332 |
| 21 | Development and relations with African, Caribbean and Pacific (ACP) States | 1 571 699 626 | 1 235 408 520 | | | 1 571 699 626 | 1 235 408 520 |
| 22 | Enlargement | 1 091 261 928 | 913 197 071 | | | 1 091 261 928 | 913 197 071 |
| 23 | Humanitarian aid | 917 322 828 | 979 489 048 | | | 917 322 828 | 979 489 048 |
| 24 | Fight against fraud | 75 427 800 | 69 443 664 | | | 75 427 800 | 69 443 664 |
| 40 01 40 | 3 929 200
  79 357 000 | 3 929 200
  73 372 864 | | | 3 929 200
  79 357 000 | 3 929 200
  73 372 864 |
| 25 | Commission’s policy coordination and legal advice | 193 336 661 | 194 086 661 | | | 193 336 661 | 194 086 661 |
| 26 | Commission’s administration | 1 030 021 548 | 1 023 305 407 | | | 1 030 021 548 | 1 023 305 407 |
| 27 | Budget | 142 450 570 | 142 450 570 | | | 142 450 570 | 142 450 570 |
| 28 | Audit | 11 879 141 | 11 879 141 | | | 11 879 141 | 11 879 141 |
| 29 | Statistics | 82 071 571 | 114 760 614 | | | 82 071 571 | 114 760 614 |
| 40 01 40, 40 02 41 | 51 900 000
  133 971 571 | 7 743 254
  122 503 868 | | | 51 900 000
  133 971 571 | 7 743 254
  122 503 868 |
| 30 | Pensions and related expenditure | 1 399 471 000 | 1 399 471 000 | | | 1 399 471 000 | 1 399 471 000 |
| 31 | Language services | 396 815 433 | 396 815 433 | | | 396 815 433 | 396 815 433 |
| 32 | Energy | 738 302 781 | 814 608 051 | | | 738 302 781 | 814 608 051 |
| 33 | Justice | 218 238 524 | 184 498 972 | | | 218 238 524 | 184 498 972 |
| 40 | Reserves | 1 049 836 185 | 231 697 385 | | | 1 049 836 185 | 231 697 385 |
| | Total | 148 190 800 171 | 140 923 582 776 | 373 635 089 | | 148 564 435 260 | 140 923 582 776 |
| | Of which Reserves: 40 01 40, 40 02 41 | 285 721 185 | 151 697 385 | | | 285 721 185 | 151 697 385 |

Title

Heading

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

01

Economic and financial affairs

555 684 796

428 350 972

-10 000 000

555 684 796

418 350 972

02

Enterprise

1 157 245 386

1 376 115 339

1 157 245 386

1 376 115 339

03

Competition

92 219 149

92 219 149

92 219 149

92 219 149

04

Employment and social affairs

12 214 158 933

13 743 651 206

-13 116 000

12 214 158 933

13 730 535 206

05

Agriculture and rural development

58 851 894 643

56 895 357 629

-32 331 335

58 851 894 643

56 863 026 294

06

Mobility and transport

1 740 800 530

983 961 494

12 457 557

1 740 800 530

996 419 051

07

Environment and climate action

498 383 275

404 177 073

498 383 275

404 177 073

08

Research

6 901 336 033

5 231 942 972

-26 884 000

- 233 072 948

6 874 452 033

4 998 870 024

09

Communications networks, content and technology

1 810 829 637

1 507 705 211

40 812 681

1 810 829 637

1 548 517 892

40 01 40, 40 02 41

391 985

1 811 221 622

391 985

1 508 097 196

391 985

1 811 221 622

391 985

1 548 909 877

10

Direct research

424 319 156

419 320 143

405 852

424 319 156

419 725 995

11

Maritime affairs and fisheries

919 262 394

763 270 938

919 262 394

763 270 938

40 01 40, 40 02 41

115 220 000

1 034 482 394

70 190 000

833 460 938

115 220 000

1 034 482 394

70 190 000

833 460 938

12

Internal market

103 313 472

101 938 194

103 313 472

101 938 194

40 02 41

3 000 000

106 313 472

3 000 000

104 938 194

3 000 000

106 313 472

3 000 000

104 938 194

13

Regional policy

43 792 849 672

43 417 676 111

400 519 089

171 531 335

44 193 368 761

43 589 207 446

14

Taxation and customs union

144 620 394

127 227 655

144 620 394

127 227 655

15

Education and culture

2 829 575 587

2 564 555 677

63 312 858

2 829 575 587

2 627 868 535

16

Communication

265 992 159

252 703 941

265 992 159

252 703 941

17

Health and consumer protection

634 370 124

598 986 674

634 370 124

598 986 674

18

Home affairs

1 227 109 539

906 396 228

1 227 109 539

906 396 228

40 01 40, 40 02 41

111 280 000

1 338 389 539

66 442 946

972 839 174

111 280 000

1 338 389 539

66 442 946

972 839 174

19

External relations

5 001 226 243

3 292 737 301

5 001 226 243

3 292 737 301

20

Trade

107 473 453

104 177 332

107 473 453

104 177 332

21

Development and relations with African, Caribbean and Pacific (ACP) States

1 571 699 626

1 235 408 520

1 571 699 626

1 235 408 520

22

Enlargement

1 091 261 928

913 197 071

1 091 261 928

913 197 071

23

Humanitarian aid

917 322 828

979 489 048

917 322 828

979 489 048

24

Fight against fraud

75 427 800

69 443 664

75 427 800

69 443 664

40 01 40

3 929 200

79 357 000

3 929 200

73 372 864

3 929 200

79 357 000

3 929 200

73 372 864

25

Commission’s policy coordination and legal advice

193 336 661

194 086 661

193 336 661

194 086 661

26

Commission’s administration

1 030 021 548

1 023 305 407

1 030 021 548

1 023 305 407

27

Budget

142 450 570

142 450 570

142 450 570

142 450 570

28

Audit

11 879 141

11 879 141

11 879 141

11 879 141

29

Statistics

82 071 571

114 760 614

82 071 571

114 760 614

40 01 40, 40 02 41

51 900 000

133 971 571

7 743 254

122 503 868

51 900 000

133 971 571

7 743 254

122 503 868

30

Pensions and related expenditure

1 399 471 000

1 399 471 000

1 399 471 000

1 399 471 000

31

Language services

396 815 433

396 815 433

396 815 433

396 815 433

32

Energy

738 302 781

814 608 051

738 302 781

814 608 051

33

Justice

218 238 524

184 498 972

218 238 524

184 498 972

40

Reserves

1 049 836 185

231 697 385

1 049 836 185

231 697 385

Total

148 190 800 171

140 923 582 776

373 635 089

148 564 435 260

140 923 582 776

Of which Reserves: 40 01 40, 40 02 41

285 721 185

151 697 385

285 721 185

151 697 385

TITLE XX — ADMINISTRATIVE EXPENDITURE ALLOCATED TO POLICY AREAS

Figures

Classification by type

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| XX 01 | Administrative expenditure allocated to policy areas | | | | |
| XX 01 01 | Expenditure related to staff in active employment in policy areas | | | | |
| XX 01 01 01 | Expenditure related to staff in active employment working with the institution | | | | |
| XX 01 01 01 01 | Remuneration and allowances | 5 | 1 835 168 000 | | 1 835 168 000 |
| XX 01 01 01 02 | Expenses and allowances related to recruitment, transfers and termination of service | 5 | 14 878 000 | | 14 878 000 |
| XX 01 01 01 03 | Adjustments to remuneration | 5 | 15 496 000 | | 15 496 000 |
| | Subtotal | | 1 865 542 000 | | 1 865 542 000 |
| XX 01 01 02 | Expenditure related to Commission staff in active employment of the Union delegations | | | | |
| XX 01 01 02 01 | Remuneration and allowances | 5 | 110 428 000 | | 110 428 000 |
| XX 01 01 02 02 | Expenses and allowances related to recruitment, transfers and termination of service | 5 | 7 462 000 | | 7 462 000 |
| XX 01 01 02 03 | Appropriations to cover any adjustments to remuneration | 5 | 871 000 | | 871 000 |
| | Subtotal | | 118 761 000 | | 118 761 000 |
| | Article XX 01 01 — Subtotal | | 1 984 303 000 | | 1 984 303 000 |
| XX 01 02 | External staff and other management expenditure | | | | |
| XX 01 02 01 | External staff working with the institution | | | | |
| XX 01 02 01 01 | Contract staff | 5 | 66 373 486 | | 66 373 486 |
| XX 01 02 01 02 | Agency staff and technical and administrative assistance in support of different activities | 5 | 23 545 000 | | 23 545 000 |
| XX 01 02 01 03 | National civil servants temporarily assigned to the institution | 5 | 39 727 000 | | 39 727 000 |
| | Subtotal | | 129 645 486 | | 129 645 486 |
| XX 01 02 02 | External staff of the Commission in Union delegations | | | | |
| XX 01 02 02 01 | Remuneration of other staff | 5 | 7 619 000 | | 7 619 000 |
| XX 01 02 02 02 | Training of junior experts and seconded national experts | 5 | 2 300 000 | | 2 300 000 |
| XX 01 02 02 03 | Expenses of other staff and payment for other services | 5 | 256 000 | | 256 000 |
| | Subtotal | | 10 175 000 | | 10 175 000 |
| XX 01 02 11 | Other management expenditure of the institution | | | | |
| XX 01 02 11 01 | Mission and representation expenses | 5 | 56 391 000 | | 56 391 000 |
| XX 01 02 11 02 | Conferences and meeting costs | 5 | 27 008 000 | | 27 008 000 |
| XX 01 02 11 03 | Meetings of committees | 5 | 12 863 000 | | 12 863 000 |
| XX 01 02 11 04 | Studies and consultations | 5 | 6 400 000 | | 6 400 000 |
| XX 01 02 11 05 | Information and management systems | 5 | 26 985 000 | | 26 985 000 |
| XX 01 02 11 06 | Further training and management training | 5 | 13 500 000 | | 13 500 000 |
| | Subtotal | | 143 147 000 | | 143 147 000 |
| XX 01 02 12 | Other management expenditure relating to Commission staff in Union delegations | | | | |
| XX 01 02 12 01 | Missions, conferences and representation expenses | 5 | 6 328 000 | | 6 328 000 |
| XX 01 02 12 02 | Further training of staff in delegations | 5 | 500 000 | | 500 000 |
| | Subtotal | | 6 828 000 | | 6 828 000 |
| | Article XX 01 02 — Subtotal | | 289 795 486 | | 289 795 486 |
| XX 01 03 | Expenditure related to information and communication technology equipment and services, and buildings | | | | |
| XX 01 03 01 | Expenditure related to information and communication technology equipment and services of the Commission | | | | |
| XX 01 03 01 03 | Information and communication technology equipment | 5 | 54 525 000 | | 54 525 000 |
| XX 01 03 01 04 | Information and communication technology services | 5 | 63 545 000 | | 63 545 000 |
| | Subtotal | | 118 070 000 | | 118 070 000 |
| XX 01 03 02 | Buildings and related expenditure relating to Commission staff in Union delegations | | | | |
| XX 01 03 02 01 | Acquisition, renting and related expenditure | 5 | 46 908 000 | | 46 908 000 |
| XX 01 03 02 02 | Equipment, furniture, supplies and services | 5 | 9 638 000 | | 9 638 000 |
| | Subtotal | | 56 546 000 | | 56 546 000 |
| | Article XX 01 03 — Subtotal | | 174 616 000 | | 174 616 000 |
| XX 01 05 | Expenditure related to staff in active employment for indirect research | | | | |
| XX 01 05 01 | Remuneration and allowances related to staff in active employment for indirect research | 1.1 | 197 229 000 | -7 230 000 | 189 999 000 |
| XX 01 05 02 | External staff for indirect research | 1.1 | 47 262 000 | | 47 262 000 |
| XX 01 05 03 | Other management expenditure for indirect research | 1.1 | 80 253 000 | -15 739 000 | 64 514 000 |
| | Article XX 01 05 — Subtotal | | 324 744 000 | -22 969 000 | 301 775 000 |
| | Chapter XX 01 — Total | | 2 773 458 486 | -22 969 000 | 2 750 489 486 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

XX 01

Administrative expenditure allocated to policy areas

XX 01 01

Expenditure related to staff in active employment in policy areas

XX 01 01 01

Expenditure related to staff in active employment working with the institution

XX 01 01 01 01

Remuneration and allowances

5

1 835 168 000

1 835 168 000

XX 01 01 01 02

Expenses and allowances related to recruitment, transfers and termination of service

5

14 878 000

14 878 000

XX 01 01 01 03

Adjustments to remuneration

5

15 496 000

15 496 000

Subtotal

1 865 542 000

1 865 542 000

XX 01 01 02

Expenditure related to Commission staff in active employment of the Union delegations

XX 01 01 02 01

Remuneration and allowances

5

110 428 000

110 428 000

XX 01 01 02 02

Expenses and allowances related to recruitment, transfers and termination of service

5

7 462 000

7 462 000

XX 01 01 02 03

Appropriations to cover any adjustments to remuneration

5

871 000

871 000

Subtotal

118 761 000

118 761 000

Article XX 01 01 — Subtotal

1 984 303 000

1 984 303 000

XX 01 02

External staff and other management expenditure

XX 01 02 01

External staff working with the institution

XX 01 02 01 01

Contract staff

5

66 373 486

66 373 486

XX 01 02 01 02

Agency staff and technical and administrative assistance in support of different activities

5

23 545 000

23 545 000

XX 01 02 01 03

National civil servants temporarily assigned to the institution

5

39 727 000

39 727 000

Subtotal

129 645 486

129 645 486

XX 01 02 02

External staff of the Commission in Union delegations

XX 01 02 02 01

Remuneration of other staff

5

7 619 000

7 619 000

XX 01 02 02 02

Training of junior experts and seconded national experts

5

2 300 000

2 300 000

XX 01 02 02 03

Expenses of other staff and payment for other services

5

256 000

256 000

Subtotal

10 175 000

10 175 000

XX 01 02 11

Other management expenditure of the institution

XX 01 02 11 01

Mission and representation expenses

5

56 391 000

56 391 000

XX 01 02 11 02

Conferences and meeting costs

5

27 008 000

27 008 000

XX 01 02 11 03

Meetings of committees

5

12 863 000

12 863 000

XX 01 02 11 04

Studies and consultations

5

6 400 000

6 400 000

XX 01 02 11 05

Information and management systems

5

26 985 000

26 985 000

XX 01 02 11 06

Further training and management training

5

13 500 000

13 500 000

Subtotal

143 147 000

143 147 000

XX 01 02 12

Other management expenditure relating to Commission staff in Union delegations

XX 01 02 12 01

Missions, conferences and representation expenses

5

6 328 000

6 328 000

XX 01 02 12 02

Further training of staff in delegations

5

500 000

500 000

Subtotal

6 828 000

6 828 000

Article XX 01 02 — Subtotal

289 795 486

289 795 486

XX 01 03

Expenditure related to information and communication technology equipment and services, and buildings

XX 01 03 01

Expenditure related to information and communication technology equipment and services of the Commission

XX 01 03 01 03

Information and communication technology equipment

5

54 525 000

54 525 000

XX 01 03 01 04

Information and communication technology services

5

63 545 000

63 545 000

Subtotal

118 070 000

118 070 000

XX 01 03 02

Buildings and related expenditure relating to Commission staff in Union delegations

XX 01 03 02 01

Acquisition, renting and related expenditure

5

46 908 000

46 908 000

XX 01 03 02 02

Equipment, furniture, supplies and services

5

9 638 000

9 638 000

Subtotal

56 546 000

56 546 000

Article XX 01 03 — Subtotal

174 616 000

174 616 000

XX 01 05

Expenditure related to staff in active employment for indirect research

XX 01 05 01

Remuneration and allowances related to staff in active employment for indirect research

1.1

197 229 000

-7 230 000

189 999 000

XX 01 05 02

External staff for indirect research

1.1

47 262 000

47 262 000

XX 01 05 03

Other management expenditure for indirect research

1.1

80 253 000

-15 739 000

64 514 000

Article XX 01 05 — Subtotal

324 744 000

-22 969 000

301 775 000

Chapter XX 01 — Total

2 773 458 486

-22 969 000

2 750 489 486

CHAPTER XX 01 — ADMINISTRATIVE EXPENDITURE ALLOCATED TO POLICY AREAS

Article XX 01 05 — Expenditure related to staff in active employment for indirect research

Item XX 01 05 01 — Remuneration and allowances related to staff in active employment for indirect research

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| 197 229 000 | -7 230 000 | 189 999 000 |

Budget 2013

Draft amending budget No. 9/2013

New amount

197 229 000

-7 230 000

189 999 000

Remarks

The following comments apply to all the policy areas (Enterprise and Industry, Mobility and Transport, Research, Information Society and Media, Education and Culture, Energy) involved in indirect actions under the Seventh Framework Programme for research.

This appropriation covers expenditure relating to staff covered by the Staff Regulations occupying posts on the authorised establishment plans engaged in indirect action under the nuclear and non-nuclear programmes, including staff posted in Union delegations.

The breakdown of these appropriations for staff expenditure is as follows:

| Programme | Appropriation |
| --- | --- |
| Framework programme (nuclear) | 22 840 000 |
| Framework programme (non-nuclear) | 167 159 000 |
| Total | 189 999 000 |

Programme

Appropriation

Framework programme (nuclear)

22 840 000

Framework programme (non-nuclear)

167 159 000

Total

189 999 000

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this item. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Council Decision 2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 60).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

Council Decision 2006/972/EC of 19 December 2006 concerning the specific programme: ‘Ideas’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 243).

Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme: ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 270).

Council Decision 2006/974/EC of 19 December 2006 on the specific programme: ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 299).

Council Decision 2006/976/Euratom of 19 December 2006 concerning the specific programme implementing the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 404).

Council Decision 2012/93/Euratom of 19 December 2011 concerning the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 25).

Council Regulation (Euratom) No 139/2012 of 19 December 2011 laying down the rules for the participation of undertakings, research centres and universities in indirect actions under the Framework Programme of the European Atomic Energy Community and for the dissemination of research results (2012-2013) (OJ L 47, 18.2.2012, p. 1).

Council Decision 2012/94/Euratom of 19 December 2011 concerning the specific programme, to be carried out by means of indirect actions, implementing the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 33).

Item XX 01 05 03 — Other management expenditure for indirect research

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| 80 253 000 | -15 739 000 | 64 514 000 |

Budget 2013

Draft amending budget No. 9/2013

New amount

80 253 000

-15 739 000

64 514 000

Remarks

The following comments apply to all the policy areas (Enterprise and Industry, Mobility and Transport, Research, Information Society and Media, Education and Culture, Energy) involved in indirect actions under the Seventh Framework Programme for research.

This appropriation is intended to cover other administrative expenditure for all management of research in the form of indirect action under the nuclear and non-nuclear programmes, including other administrative expenditure incurred by staff posted in Union delegations.

The breakdown of these appropriations for staff expenditure is as follows:

| Programme | Appropriation |
| --- | --- |
| Framework programme (nuclear) | 10 984 000 |
| Framework programme (non-nuclear) | 53 530 000 |
| Total | 64 514 000 |

Programme

Appropriation

Framework programme (nuclear)

10 984 000

Framework programme (non-nuclear)

53 530 000

Total

64 514 000

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this item. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Council Decision 2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 60).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

Council Decision 2006/972/EC of 19 December 2006 concerning the specific programme: ‘Ideas’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 243).

Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme: ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 270).

Council Decision 2006/974/EC of 19 December 2006 on the specific programme: ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 299).

Council Decision 2006/976/Euratom of 19 December 2006 concerning the specific programme implementing the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 404).

Council Decision 2012/93/Euratom of 19 December 2011 concerning the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 25).

Council Regulation (Euratom) No 139/2012 of 19 December 2011 laying down the rules for the participation of undertakings, research centres and universities in indirect actions under the Framework Programme of the European Atomic Energy Community and for the dissemination of research results (2012-2013) (OJ L 47, 18.2.2012, p. 1).

Council Decision 2012/94/Euratom of 19 December 2011 concerning the specific programme, to be carried out by means of indirect actions, implementing the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 33).

TITLE 01 — ECONOMIC AND FINANCIAL AFFAIRS

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 01 01 | Administrative expenditure of the ‘Economic and financial affairs’ policy area | 5 | 82 524 796 | 82 524 796 | | | 82 524 796 | 82 524 796 |
| 01 02 | Economic and monetary union | | 13 000 000 | 12 953 676 | | | 13 000 000 | 12 953 676 |
| 01 03 | International economic and financial affairs | 4 | 94 550 000 | 56 339 890 | | -10 000 000 | 94 550 000 | 46 339 890 |
| 01 04 | Financial operations and instruments | | 365 610 000 | 276 532 610 | | | 365 610 000 | 276 532 610 |
| | Title 01 — Total | | 555 684 796 | 428 350 972 | | -10 000 000 | 555 684 796 | 418 350 972 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

01 01

Administrative expenditure of the ‘Economic and financial affairs’ policy area

5

82 524 796

82 524 796

82 524 796

82 524 796

01 02

Economic and monetary union

13 000 000

12 953 676

13 000 000

12 953 676

01 03

International economic and financial affairs

4

94 550 000

56 339 890

-10 000 000

94 550 000

46 339 890

01 04

Financial operations and instruments

365 610 000

276 532 610

365 610 000

276 532 610

Title 01 — Total

555 684 796

428 350 972

-10 000 000

555 684 796

418 350 972

CHAPTER 01 03 — INTERNATIONAL ECONOMIC AND FINANCIAL AFFAIRS

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 01 03 | International economic and financial affairs | | | | | | | |
| 01 03 01 | Participation in the capital of international financial institutions | | | | | | | |
| 01 03 01 01 | European Bank for Reconstruction and Development — Provision of paid-up shares of subscribed capital | 4 | — | — | | | — | — |
| 01 03 01 02 | European Bank for Reconstruction and Development — Callable portion of subscribed capital | 4 | p.m. | p.m. | | | p.m. | p.m. |
| | Article 01 03 01 — Subtotal | | p.m. | p.m. | | | p.m. | p.m. |
| 01 03 02 | Macro-financial assistance | 4 | 94 550 000 | 56 339 890 | | -10 000 000 | 94 550 000 | 46 339 890 |
| | Chapter 01 03 — Total | | 94 550 000 | 56 339 890 | | -10 000 000 | 94 550 000 | 46 339 890 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

01 03

International economic and financial affairs

01 03 01

Participation in the capital of international financial institutions

01 03 01 01

European Bank for Reconstruction and Development — Provision of paid-up shares of subscribed capital

4

—

—

—

—

01 03 01 02

European Bank for Reconstruction and Development — Callable portion of subscribed capital

4

p.m.

p.m.

p.m.

p.m.

Article 01 03 01 — Subtotal

p.m.

p.m.

p.m.

p.m.

01 03 02

Macro-financial assistance

4

94 550 000

56 339 890

-10 000 000

94 550 000

46 339 890

Chapter 01 03 — Total

94 550 000

56 339 890

-10 000 000

94 550 000

46 339 890

Article 01 03 02 — Macro-financial assistance

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 94 550 000 | 56 339 890 | | -10 000 000 | 94 550 000 | 46 339 890 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

94 550 000

56 339 890

-10 000 000

94 550 000

46 339 890

Remarks

This exceptional assistance aims to ease financial constraints on certain third countries experiencing macro-financial difficulties characterised by balance of payment deficits and/or serious budgetary imbalances.

It is directly linked to the implementation by the recipient countries of macro-financial stabilisation and structural adjustment measures. Union action generally complements that of the International Monetary Fund, coordinated with other bilateral donors.

The Commission informs the budgetary authority twice a year of the macro-financial situation of the beneficiary countries and reports extensively on the implementation of this assistance on a yearly basis.

Appropriations under this article will also be used to cover financial aid for the reconstruction in Georgia of the areas affected by the conflict with Russia. The actions should be primarily geared to the macro-financial stabilisation of the country. The total financial allocation for the aid was decided at an international donors’ conference in 2008.

Legal basis

Council Decision 2006/880/EC of 30 November 2006 providing exceptional Community financial assistance to Kosovo (OJ L 339, 6.12.2006, p. 36).

Council Decision 2007/860/EC of 10 December 2007 providing Community macro-financial assistance to Lebanon (OJ L 337, 21.12.2007, p. 111).

Council Decision 2009/889/EC of 30 November 2009 providing macro-financial assistance to Georgia (OJ L 320, 5.12.2009, p. 1).

Council Decision 2009/890/EC of 30 November 2009 providing macro-financial assistance to Armenia (OJ L 320, 5.12.2009, p. 3).

Decision No 938/2010/EU of the European Parliament and of the Council of 20 October 2010 providing macro-financial assistance to the Republic of Moldova (OJ L 277, 21.10.2010, p. 1).

TITLE 04 — EMPLOYMENT AND SOCIAL AFFAIRS

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 04 01 | Administrative expenditure of the ‘Employment and social affairs’ policy area | | 94 756 546 | 94 756 546 | | | 94 756 546 | 94 756 546 |
| 04 02 | European Social Fund | 1 | 11 804 862 310 | 13 358 557 851 | | | 11 804 862 310 | 13 358 557 851 |
| 04 03 | Working in europe — Social dialogue and mobility | 1 | 79 097 000 | 58 354 054 | | | 79 097 000 | 58 354 054 |
| 04 04 | Employment, social solidarity and gender equality | 1 | 122 286 000 | 108 376 020 | | | 122 286 000 | 108 376 020 |
| 04 05 | European Globalisation Adjustment Fund (EGF) | 1 | p.m. | 58 454 161 | | -13 116 000 | p.m. | 45 338 161 |
| 04 06 | Instrument for Pre-Accession Assistance (IPA) — Human resources development | 4 | 113 157 077 | 65 152 574 | | | 113 157 077 | 65 152 574 |
| | Title 04 — Total | | 12 214 158 933 | 13 743 651 206 | | -13 116 000 | 12 214 158 933 | 13 730 535 206 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

04 01

Administrative expenditure of the ‘Employment and social affairs’ policy area

94 756 546

94 756 546

94 756 546

94 756 546

04 02

European Social Fund

1

11 804 862 310

13 358 557 851

11 804 862 310

13 358 557 851

04 03

Working in europe — Social dialogue and mobility

1

79 097 000

58 354 054

79 097 000

58 354 054

04 04

Employment, social solidarity and gender equality

1

122 286 000

108 376 020

122 286 000

108 376 020

04 05

European Globalisation Adjustment Fund (EGF)

1

p.m.

58 454 161

-13 116 000

p.m.

45 338 161

04 06

Instrument for Pre-Accession Assistance (IPA) — Human resources development

4

113 157 077

65 152 574

113 157 077

65 152 574

Title 04 — Total

12 214 158 933

13 743 651 206

-13 116 000

12 214 158 933

13 730 535 206

CHAPTER 04 05 — EUROPEAN GLOBALISATION ADJUSTMENT FUND (EGF)

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 04 05 | European Globalisation Adjustment Fund (EGF) | | | | | | | |
| 04 05 01 | European Globalisation Adjustment Fund (EGF) | 1.1 | p.m. | 58 454 161 | | -13 116 000 | p.m. | 45 338 161 |
| | Chapter 04 05 — Total | | p.m. | 58 454 161 | | -13 116 000 | p.m. | 45 338 161 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

04 05

European Globalisation Adjustment Fund (EGF)

04 05 01

European Globalisation Adjustment Fund (EGF)

1.1

p.m.

58 454 161

-13 116 000

p.m.

45 338 161

Chapter 04 05 — Total

p.m.

58 454 161

-13 116 000

p.m.

45 338 161

Article 04 05 01 — European Globalisation Adjustment Fund (EGF)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| p.m. | 58 454 161 | | -13 116 000 | p.m. | 45 338 161 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

p.m.

58 454 161

-13 116 000

p.m.

45 338 161

Remarks

This appropriation is intended to cover the European Globalisation Adjustment Fund (EGF) so as to enable the Union to provide temporary and targeted support for workers made redundant as a result of major structural changes in world trade patterns due to globalisation where these redundancies have a significant adverse impact on the regional or local economy. For applications submitted before 31 December 2011, it may also be used to provide support to workers made redundant as a direct result of the global financial and economic crisis.

The maximum amount of expenditure from the Fund shall be EUR 500 000 000 per year.

The aim of this reserve, in accordance with point 28 of the Interinstitutional Agreement of 17 May 2006, is to provide additional temporary support for workers who suffer from the consequences of major structural changes in world trade patterns and to assist them with their reintegration into the labour market.

The actions undertaken by the EGF should be complementary to those of the European Social Fund. There must be no double funding from these instruments.

The rules for entering the appropriations in this reserve and for mobilising the Fund are laid down in point 28 of the Interinstitutional Agreement of 17 May 2006 and in Article 12 of Regulation (EC) No 1927/2006.

Legal basis

Regulation (EC) No 1927/2006 of the European Parliament and of the Council of 20 December 2006 on establishing the European Globalisation Adjustment Fund (OJ L 406, 30.12.2006, p. 1).

Regulation (EC) No 546/2009 of the European Parliament and of the Council of 18 June 2009 amending Regulation (EC) No 1927/2006 on establishing the European Globalisation Adjustment Fund (OJ L 167, 29.6.2009, p. 26).

Reference acts

Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (OJ C 139, 14.6.2006, p. 1).

TITLE 05 — AGRICULTURE AND RURAL DEVELOPMENT

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 05 01 | Administrative expenditure of the ‘Agriculture and rural development’ policy area | | 133 234 504 | 133 234 504 | | | 133 234 504 | 133 234 504 |
| 05 02 | Interventions in agricultural markets | 2 | 2 773 440 000 | 2 772 526 798 | | | 2 773 440 000 | 2 772 526 798 |
| 05 03 | Direct aids | 2 | 40 931 900 000 | 40 931 900 000 | | | 40 931 900 000 | 40 931 900 000 |
| 05 04 | Rural development | 2 | 14 804 955 797 | 13 022 586 520 | | | 14 804 955 797 | 13 022 586 520 |
| 05 05 | Pre-accession measures in the field of agriculture and rural development | 4 | 259 328 000 | 81 470 000 | | -32 331 335 | 259 328 000 | 49 138 665 |
| 05 06 | International aspects of the ‘Agriculture and rural development’ policy area | 4 | 6 629 000 | 5 069 602 | | | 6 629 000 | 5 069 602 |
| 05 07 | Audit of agricultural expenditure | 2 | -84 900 000 | -84 900 000 | | | -84 900 000 | -84 900 000 |
| 05 08 | Policy strategy and coordination of the ‘Agriculture and rural development’ policy area | 2 | 27 307 342 | 33 470 205 | | | 27 307 342 | 33 470 205 |
| | Title 05 — Total | | 58 851 894 643 | 56 895 357 629 | | -32 331 335 | 58 851 894 643 | 56 863 026 294 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

05 01

Administrative expenditure of the ‘Agriculture and rural development’ policy area

133 234 504

133 234 504

133 234 504

133 234 504

05 02

Interventions in agricultural markets

2

2 773 440 000

2 772 526 798

2 773 440 000

2 772 526 798

05 03

Direct aids

2

40 931 900 000

40 931 900 000

40 931 900 000

40 931 900 000

05 04

Rural development

2

14 804 955 797

13 022 586 520

14 804 955 797

13 022 586 520

05 05

Pre-accession measures in the field of agriculture and rural development

4

259 328 000

81 470 000

-32 331 335

259 328 000

49 138 665

05 06

International aspects of the ‘Agriculture and rural development’ policy area

4

6 629 000

5 069 602

6 629 000

5 069 602

05 07

Audit of agricultural expenditure

2

-84 900 000

-84 900 000

-84 900 000

-84 900 000

05 08

Policy strategy and coordination of the ‘Agriculture and rural development’ policy area

2

27 307 342

33 470 205

27 307 342

33 470 205

Title 05 — Total

58 851 894 643

56 895 357 629

-32 331 335

58 851 894 643

56 863 026 294

CHAPTER 05 05 — PRE-ACCESSION MEASURES IN THE FIELD OF AGRICULTURE AND RURAL DEVELOPMENT

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 05 05 | Pre-accession measures in the field of agriculture and rural development | | | | | | | |
| 05 05 01 | Special Accession Programme for Agriculture and Rural Development (Sapard) — Completion of earlier measures | | | | | | | |
| 05 05 01 01 | The Sapard pre-accession instrument — Completion of the programme (2000 to 2006) | 4 | p.m. | p.m. | | | p.m. | p.m. |
| 05 05 01 02 | The Sapard pre-accession instrument — Completion of the pre-accession assistance related to eight applicant countries | 4 | p.m. | p.m. | | | p.m. | p.m. |
| | Article 05 05 01 — Subtotal | | p.m. | p.m. | | | p.m. | p.m. |
| 05 05 02 | Instrument for Pre-accession Assistance for Rural Development (IPARD) | 4 | 259 328 000 | 81 470 000 | | -32 331 335 | 259 328 000 | 49 138 665 |
| | Chapter 05 05 — Total | | 259 328 000 | 81 470 000 | | -32 331 335 | 259 328 000 | 49 138 665 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

05 05

Pre-accession measures in the field of agriculture and rural development

05 05 01

Special Accession Programme for Agriculture and Rural Development (Sapard) — Completion of earlier measures

05 05 01 01

The Sapard pre-accession instrument — Completion of the programme (2000 to 2006)

4

p.m.

p.m.

p.m.

p.m.

05 05 01 02

The Sapard pre-accession instrument — Completion of the pre-accession assistance related to eight applicant countries

4

p.m.

p.m.

p.m.

p.m.

Article 05 05 01 — Subtotal

p.m.

p.m.

p.m.

p.m.

05 05 02

Instrument for Pre-accession Assistance for Rural Development (IPARD)

4

259 328 000

81 470 000

-32 331 335

259 328 000

49 138 665

Chapter 05 05 — Total

259 328 000

81 470 000

-32 331 335

259 328 000

49 138 665

Article 05 05 02 — Instrument for Pre-accession Assistance for Rural Development (IPARD)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 259 328 000 | 81 470 000 | | -32 331 335 | 259 328 000 | 49 138 665 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

259 328 000

81 470 000

-32 331 335

259 328 000

49 138 665

Remarks

This appropriation is intended to cover the Union assistance to the candidate countries covered by the IPA in progressive alignment with the standards and policies of the Union, including where appropriate the acquis of the Union, with a view to membership. The rural development component shall support countries in their preparations for the implementation and management of the common agricultural policy, alignment to Union structures and post-accession Union-funded rural development programmes.

Legal basis

Council Regulation (EC) No 1085/2006 of 17 July 2006 establishing an Instrument for Pre-Accession Assistance (IPA) (OJ L 210, 31.7.2006, p. 82)

TITLE 06 — MOBILITY AND TRANSPORT

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 06 01 | Administrative expenditure of the ‘Mobility and transport’ policy area | | 68 011 011 | 68 011 011 | | | 68 011 011 | 68 011 011 |
| 06 02 | Inland, air and maritime transport | 1 | 201 808 724 | 151 320 581 | | | 201 808 724 | 151 320 581 |
| 06 03 | Trans-European networks | 1 | 1 410 000 000 | 721 545 956 | | | 1 410 000 000 | 721 545 956 |
| 06 06 | Research related to transport | 1 | 60 980 795 | 43 083 946 | | 12 457 557 | 60 980 795 | 55 541 503 |
| | Title 06 — Total | | 1 740 800 530 | 983 961 494 | | 12 457 557 | 1 740 800 530 | 996 419 051 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

06 01

Administrative expenditure of the ‘Mobility and transport’ policy area

68 011 011

68 011 011

68 011 011

68 011 011

06 02

Inland, air and maritime transport

1

201 808 724

151 320 581

201 808 724

151 320 581

06 03

Trans-European networks

1

1 410 000 000

721 545 956

1 410 000 000

721 545 956

06 06

Research related to transport

1

60 980 795

43 083 946

12 457 557

60 980 795

55 541 503

Title 06 — Total

1 740 800 530

983 961 494

12 457 557

1 740 800 530

996 419 051

CHAPTER 06 06 — RESEARCH RELATED TO TRANSPORT

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 06 06 | Research related to transport | | | | | | | |
| 06 06 02 | Research related to transport (including aeronautics) | | | | | | | |
| 06 06 02 01 | Research related to transport (including aeronautics) | 1.1 | p.m. | 10 542 392 | | | p.m. | 10 542 392 |
| 06 06 02 02 | Research related to transport (including aeronautics) — Fuel Cells and Hydrogen Joint Undertaking | 1.1 | 2 656 000 | 2 305 982 | | | 2 656 000 | 2 305 982 |
| 06 06 02 03 | SESAR Joint Undertaking | 1.1 | 58 324 795 | 29 652 574 | | 12 457 557 | 58 324 795 | 42 110 131 |
| | Article 06 06 02 — Subtotal | | 60 980 795 | 42 500 948 | | 12 457 557 | 60 980 795 | 54 958 505 |
| 06 06 04 | Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development | 1.1 | p.m. | p.m. | | | p.m. | p.m. |
| 06 06 05 | Completion of previous programmes | | | | | | | |
| 06 06 05 01 | Completion of programmes (prior to 2003) | 1.1 | — | p.m. | | | — | p.m. |
| 06 06 05 02 | Completion of the sixth EC framework programme (2003 to 2006) | 1.1 | — | 582 998 | | | — | 582 998 |
| | Article 06 06 05 — Subtotal | | — | 582 998 | | | — | 582 998 |
| | Chapter 06 06 — Total | | 60 980 795 | 43 083 946 | | 12 457 557 | 60 980 795 | 55 541 503 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

06 06

Research related to transport

06 06 02

Research related to transport (including aeronautics)

06 06 02 01

Research related to transport (including aeronautics)

1.1

p.m.

10 542 392

p.m.

10 542 392

06 06 02 02

Research related to transport (including aeronautics) — Fuel Cells and Hydrogen Joint Undertaking

1.1

2 656 000

2 305 982

2 656 000

2 305 982

06 06 02 03

SESAR Joint Undertaking

1.1

58 324 795

29 652 574

12 457 557

58 324 795

42 110 131

Article 06 06 02 — Subtotal

60 980 795

42 500 948

12 457 557

60 980 795

54 958 505

06 06 04

Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development

1.1

p.m.

p.m.

p.m.

p.m.

06 06 05

Completion of previous programmes

06 06 05 01

Completion of programmes (prior to 2003)

1.1

—

p.m.

—

p.m.

06 06 05 02

Completion of the sixth EC framework programme (2003 to 2006)

1.1

—

582 998

—

582 998

Article 06 06 05 — Subtotal

—

582 998

—

582 998

Chapter 06 06 — Total

60 980 795

43 083 946

12 457 557

60 980 795

55 541 503

Remarks

These remarks are applicable to all the budget headings in this chapter.

These appropriations will be used for the Seventh Framework Programme of the European Community for research, technological development and demonstration activities, which covers the period 2007 to 2013.

The programme will be carried out in order to pursue the general objectives described in Article 179 of the Treaty on the Functioning of the European Union, in order to contribute to the creation of a society of knowledge, based on the European Research Area, i.e. supporting transnational cooperation at all levels throughout the Union, taking the dynamism, creativity and the excellence of European research to the limits of knowledge, strengthening human resources for research and for technology in Europe, quantitatively and qualitatively and research and innovation capacities in the whole of Europe and ensuring optimum use thereof.

Also entered against these articles and items are the costs of high-level scientific and technological meetings, conferences, workshops and seminars of European interest organised by the Commission, the funding of high-level scientific and technological analyses and evaluations carried out on behalf of the Union to investigate new areas of research suitable for Union action, inter alia, in the context of the European Research Area, and measures to monitor and disseminate the results of the programmes, including measures under previous framework programmes.

These appropriations also cover administrative expenditure, including expenditure on staff, information, publications, administrative and technical operation, and certain other expenditure items relating to internal infrastructure to achieve the objective of the measure of which they form an integral part, including the action and measures necessary to prepare and monitor of the Union’s RTD strategy.

The possibility of third countries or institutes from third countries taking part in European cooperation in the field of scientific and technical research is envisaged for some of these projects. Any financial contribution will be entered in Items 6 0 1 3 and 6 0 1 5 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Revenue from States taking part in the European Cooperation in the field of scientific and technical research will be entered in Item 6 0 1 6 of the of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Any revenue from the contributions from candidate countries and, if applicable, the western Balkan potential candidate countries for participating in Union programmes entered in Item 6 0 3 1 of the statement of revenue may give rise to the provision of additional appropriations in accordance with Article 21(2)(e) to (g) of the Financial Regulation.

Any revenue from the contribution by outside bodies to Union activities will be entered in Item 6 0 3 3 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Additional appropriations will be made available under Article 06 06 04.

Article 06 06 02 — Research related to transport (including aeronautics)

Item 06 06 02 03 — SESAR Joint Undertaking

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 58 324 795 | 29 652 574 | | 12 457 557 | 58 324 795 | 42 110 131 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

58 324 795

29 652 574

12 457 557

58 324 795

42 110 131

Remarks

This appropriation is intended to cover the development phase of the SESAR programme for the implantation of the technological component of the single European sky policy (SESAR), including the functioning of the SESAR Joint Undertaking.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this item. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

Council Regulation (EC) No 219/2007 of 27 February 2007 on the establishment of a Joint Undertaking to develop the new generation European air traffic management system (SESAR) (OJ L 64, 2.3.2007, p. 1).

Council Regulation (EC) No 1361/2008 of 16 December 2008 amending Regulation (EC) No 219/2007 on the establishment of a joint undertaking to develop the new generation European air traffic management system (SESAR) (OJ L 352, 31.12.2008, p. 12).

TITLE 08 — RESEARCH

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 01 | Administrative expenditure of the ‘Research’ policy area | | 346 871 798 | 346 871 798 | -26 884 000 | -26 884 000 | 319 987 798 | 319 987 798 |
| 08 02 | Cooperation — Health | 1 | 1 011 075 530 | 842 660 918 | | 17 980 852 | 1 011 075 530 | 860 641 770 |
| 08 03 | Cooperation — Food, agriculture and fisheries, and biotechnology | 1 | 363 076 419 | 323 404 000 | | | 363 076 419 | 323 404 000 |
| 08 04 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies | 1 | 621 408 062 | 504 625 722 | | 19 936 245 | 621 408 062 | 524 561 967 |
| 08 05 | Cooperation — Energy | 1 | 218 718 047 | 165 048 655 | | | 218 718 047 | 165 048 655 |
| 08 06 | Cooperation — Environment (including climate change) | 1 | 340 570 726 | 283 092 998 | | 2 804 213 | 340 570 726 | 285 897 211 |
| 08 07 | Cooperation — Transport (including aeronautics) | 1 | 560 200 746 | 444 884 572 | | | 560 200 746 | 444 884 572 |
| 08 08 | Cooperation — Socioeconomic sciences and the humanities | 1 | 112 677 988 | 67 955 934 | | | 112 677 988 | 67 955 934 |
| 08 09 | Cooperation — Risk-sharing finance facility (RSFF) | 1 | p.m. | p.m. | | | p.m. | p.m. |
| 08 10 | Ideas | 1 | 1 714 721 109 | 1 026 958 500 | | 41 883 890 | 1 714 721 109 | 1 068 842 390 |
| 08 12 | Capacities — Research infrastructures | 1 | 74 993 775 | 128 562 844 | | | 74 993 775 | 128 562 844 |
| 08 13 | Capacities — Research for the benefit of small and medium-sized enterprises (SMEs) | 1 | 274 436 455 | 236 286 122 | | | 274 436 455 | 236 286 122 |
| 08 14 | Capacities — Regions of knowledge | 1 | 27 351 639 | 19 269 599 | | | 27 351 639 | 19 269 599 |
| 08 15 | Capacities — Research potential | 1 | 74 266 567 | 56 254 471 | | | 74 266 567 | 56 254 471 |
| 08 16 | Capacities — Science in society | 1 | 63 656 771 | 40 164 131 | | | 63 656 771 | 40 164 131 |
| 08 17 | Capacities — International cooperation activities | 1 | 39 858 805 | 27 329 402 | | | 39 858 805 | 27 329 402 |
| 08 18 | Capacities — Risk-sharing finance facility (RSFF) | 1 | 50 221 512 | 50 237 726 | | | 50 221 512 | 50 237 726 |
| 08 19 | Capacities — Support for coherent development of research policies | 1 | 13 470 414 | 8 912 772 | | 405 852 | 13 470 414 | 9 318 624 |
| 08 20 | Euratom — Fusion energy | 1 | 937 673 290 | 573 362 274 | | - 289 200 000 | 937 673 290 | 284 162 274 |
| 08 21 | Euratom — Nuclear fission and radiation protection | 1 | 56 086 380 | 54 244 745 | | | 56 086 380 | 54 244 745 |
| 08 22 | Completion of previous framework programmes and other activities | 1 | p.m. | 31 815 789 | | | p.m. | 31 815 789 |
| 08 23 | Research programme of the Research Fund for Coal and Steel | 1 | p.m. | p.m. | | | p.m. | p.m. |
| | Title 08 — Total | | 6 901 336 033 | 5 231 942 972 | -26 884 000 | - 233 072 948 | 6 874 452 033 | 4 998 870 024 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 01

Administrative expenditure of the ‘Research’ policy area

346 871 798

346 871 798

-26 884 000

-26 884 000

319 987 798

319 987 798

08 02

Cooperation — Health

1

1 011 075 530

842 660 918

17 980 852

1 011 075 530

860 641 770

08 03

Cooperation — Food, agriculture and fisheries, and biotechnology

1

363 076 419

323 404 000

363 076 419

323 404 000

08 04

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

1

621 408 062

504 625 722

19 936 245

621 408 062

524 561 967

08 05

Cooperation — Energy

1

218 718 047

165 048 655

218 718 047

165 048 655

08 06

Cooperation — Environment (including climate change)

1

340 570 726

283 092 998

2 804 213

340 570 726

285 897 211

08 07

Cooperation — Transport (including aeronautics)

1

560 200 746

444 884 572

560 200 746

444 884 572

08 08

Cooperation — Socioeconomic sciences and the humanities

1

112 677 988

67 955 934

112 677 988

67 955 934

08 09

Cooperation — Risk-sharing finance facility (RSFF)

1

p.m.

p.m.

p.m.

p.m.

08 10

Ideas

1

1 714 721 109

1 026 958 500

41 883 890

1 714 721 109

1 068 842 390

08 12

Capacities — Research infrastructures

1

74 993 775

128 562 844

74 993 775

128 562 844

08 13

Capacities — Research for the benefit of small and medium-sized enterprises (SMEs)

1

274 436 455

236 286 122

274 436 455

236 286 122

08 14

Capacities — Regions of knowledge

1

27 351 639

19 269 599

27 351 639

19 269 599

08 15

Capacities — Research potential

1

74 266 567

56 254 471

74 266 567

56 254 471

08 16

Capacities — Science in society

1

63 656 771

40 164 131

63 656 771

40 164 131

08 17

Capacities — International cooperation activities

1

39 858 805

27 329 402

39 858 805

27 329 402

08 18

Capacities — Risk-sharing finance facility (RSFF)

1

50 221 512

50 237 726

50 221 512

50 237 726

08 19

Capacities — Support for coherent development of research policies

1

13 470 414

8 912 772

405 852

13 470 414

9 318 624

08 20

Euratom — Fusion energy

1

937 673 290

573 362 274

- 289 200 000

937 673 290

284 162 274

08 21

Euratom — Nuclear fission and radiation protection

1

56 086 380

54 244 745

56 086 380

54 244 745

08 22

Completion of previous framework programmes and other activities

1

p.m.

31 815 789

p.m.

31 815 789

08 23

Research programme of the Research Fund for Coal and Steel

1

p.m.

p.m.

p.m.

p.m.

Title 08 — Total

6 901 336 033

5 231 942 972

-26 884 000

- 233 072 948

6 874 452 033

4 998 870 024

Remarks

These remarks apply to all the budget headings in this title (with the exception of Chapter 08 22).

These appropriations will be used in accordance with Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1) and Council Regulation (Euratom) No 1908/2006 of 19 December 2006 laying down the rules for the participation of undertakings, research centres and universities in action under the seventh framework programme of the European Atomic Energy Community and for the dissemination of research results (2007 to 2011) (OJ L 400, 30.12.2006, p. 1).

For all appropriations under this title the same definition of small and medium-sized enterprises (SMEs) as is used for the horizontal SME-specific programmes within the same framework programme shall apply. That definition reads as follows: ‘An eligible SME is a legal entity that complies with the SME definition set out in Commission Recommendation 2003/361/EC and is not a research centre, research institute, contract research organisation or consultancy firm’. All research activities conducted pursuant to the Seventh Framework Programme will be carried out in compliance with fundamental ethical principles (in accordance with Article 6(1) of Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1)), including animal welfare requirements. This will include, in particular, the principles laid down in Article 6 of the Treaty on European Union and in the Charter of Fundamental Rights of the European Union. Particular account will be taken of the need to step up efforts to enhance the participation and role of women in science and research.

Also entered against these articles and items are the costs of high-level scientific and technological meetings, conferences, workshops and seminars of European interest organised by the Commission, the funding of high-level scientific and technological analyses and evaluations carried out on behalf of the Union to investigate new areas of research suitable for Union action, inter alia, in the context of the European Research Area, and measures to monitor and disseminate the results of the programmes, including measures under previous framework programmes.

These appropriations also cover administrative expenditure, including expenditure on staff, whether covered by the Staff Regulations or not, information, publications, administrative and technical operation, and certain other expenditure items relating to internal infrastructure linked with the achievement of the objective of the measure of which they form an integral part, including the action and initiatives necessary for preparation and monitoring of the Union’s strategy on research, technological development and demonstration (RTD).

Revenue resulting from cooperation agreements between the European Atomic Energy Community and Switzerland or the multilateral European Fusion Development Agreement (EFDA) will be entered in Items 6 0 1 1 and 6 0 1 2 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

The possibility of third countries or institutes from third countries taking part in European Cooperation in the field of Scientific and Technical Research is envisaged for some of these projects. Any financial contribution will be entered in Items 6 0 1 3 and 6 0 1 5 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Revenue from States taking part in the European Cooperation in the field of Scientific and Technical Research will be entered in Item 6 0 1 6 of the of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Any revenue from the contributions from candidate countries and, if applicable, the western Balkan potential candidate countries for participating in Union programmes entered in Item 6 0 3 1 of the statement of revenue may give rise to the provision of additional appropriations in accordance with Article 21(2)(e) to (g) of the Financial Regulation.

Any revenue from the contribution by outside bodies to Union activities will be entered in Item 6 0 3 3 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Additional appropriations will be made available under Article 08 22 04.

In order to be able to meet the goal of 15 % SME participation in the projects financed by these appropriations, as laid down in Decision No 1982/2006/EC, more specific action is needed. Qualifying projects under the SME specific programmes should be made eligible for funding under the thematic programme when they fulfil the necessary (thematic) requirements.

CHAPTER 08 01 — ADMINISTRATIVE EXPENDITURE OF THE ‘RESEARCH’ POLICY AREA

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| 08 01 | Administrative expenditure of the ‘Research’ policy area | | | | |
| 08 01 01 | Expenditure related to staff in active employment in the
  ‘
  Research
  ’
  policy area | 5 | 8 879 594 | | 8 879 594 |
| 08 01 02 | External staff and other management expenditure of the
  ‘
  Research
  ’
  policy area | | | | |
| 08 01 02 01 | External staff | 5 | 265 716 | | 265 716 |
| 08 01 02 11 | Other management expenditure | 5 | 394 554 | | 394 554 |
| | Article 08 01 02 — Subtotal | | 660 270 | | 660 270 |
| 08 01 03 | Expenditure related to information and communication technology equipment and services of the
  ‘
  Research
  ’
  policy area | 5 | 561 934 | | 561 934 |
| 08 01 04 | Support expenditure for operations of the
  ‘
  Research
  ’
  policy area | | | | |
| 08 01 04 30 | European Research Council Executive Agency (ERCEA) | 1.1 | 39 000 000 | | 39 000 000 |
| 08 01 04 31 | Research Executive Agency (REA) | 1.1 | 49 300 000 | -3 915 000 | 45 385 000 |
| 08 01 04 40 | European Joint Undertaking for ITER — Fusion for Energy (F4E) — Expenditure on administrative management | 1.1 | 39 390 000 | | 39 390 000 |
| | Article 08 01 04 — Subtotal | | 127 690 000 | -3 915 000 | 123 775 000 |
| 08 01 05 | Support expenditure for operations in the
  ‘
  Research
  ’
  policy area | | | | |
| 08 01 05 01 | Expenditure related to research staff | 1.1 | 127 793 000 | -7 230 000 | 120 563 000 |
| 08 01 05 02 | External staff for research | 1.1 | 26 287 000 | | 26 287 000 |
| 08 01 05 03 | Other management expenditure for research | 1.1 | 55 000 000 | -15 739 000 | 39 261 000 |
| | Article 08 01 05 — Subtotal | | 209 080 000 | -22 969 000 | 186 111 000 |
| | Chapter 08 01 — Total | | 346 871 798 | -26 884 000 | 319 987 798 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

08 01

Administrative expenditure of the ‘Research’ policy area

08 01 01

Expenditure related to staff in active employment in the
  ‘
  Research
  ’
  policy area

5

8 879 594

8 879 594

08 01 02

External staff and other management expenditure of the
  ‘
  Research
  ’
  policy area

08 01 02 01

External staff

5

265 716

265 716

08 01 02 11

Other management expenditure

5

394 554

394 554

Article 08 01 02 — Subtotal

660 270

660 270

08 01 03

Expenditure related to information and communication technology equipment and services of the
  ‘
  Research
  ’
  policy area

5

561 934

561 934

08 01 04

Support expenditure for operations of the
  ‘
  Research
  ’
  policy area

08 01 04 30

European Research Council Executive Agency (ERCEA)

1.1

39 000 000

39 000 000

08 01 04 31

Research Executive Agency (REA)

1.1

49 300 000

-3 915 000

45 385 000

08 01 04 40

European Joint Undertaking for ITER — Fusion for Energy (F4E) — Expenditure on administrative management

1.1

39 390 000

39 390 000

Article 08 01 04 — Subtotal

127 690 000

-3 915 000

123 775 000

08 01 05

Support expenditure for operations in the
  ‘
  Research
  ’
  policy area

08 01 05 01

Expenditure related to research staff

1.1

127 793 000

-7 230 000

120 563 000

08 01 05 02

External staff for research

1.1

26 287 000

26 287 000

08 01 05 03

Other management expenditure for research

1.1

55 000 000

-15 739 000

39 261 000

Article 08 01 05 — Subtotal

209 080 000

-22 969 000

186 111 000

Chapter 08 01 — Total

346 871 798

-26 884 000

319 987 798

Article 08 01 04 — Support expenditure for operations of the ‘Research’ policy area

Item 08 01 04 31 — Research Executive Agency (REA)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| 49 300 000 | -3 915 000 | 45 385 000 |

Budget 2013

Draft amending budget No. 9/2013

New amount

49 300 000

-3 915 000

45 385 000

Remarks

This appropriation is intended to cover the operating costs of the Research Executive Agency incurred as a result of the Agency’s role in the management of certain areas of the specific ‘People’, ‘Capacities’ and ‘Cooperation’ programmes in the field of research.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this item. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

The Agency’s establishment plan is set out in the Part entitled ‘Establishment plan staff’ of Section III — Commission (Volume 3).

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 269).

Council Decision 2006/974/EC of 19 December 2006 on the specific programme ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 299).

Reference acts

Commission Decision 2008/46/EC of 14 December 2007 setting up the ‘Research Executive Agency’ for the management of certain areas of the specific Community programmes People, Capacities and Cooperation in the field of research in application of Council Regulation (EC) No 58/2003 (OJ L 11, 15.1.2008, p. 9).

Article 08 01 05 — Support expenditure for operations in the ‘Research’ policy area

Item 08 01 05 01 — Expenditure related to research staff

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| 127 793 000 | -7 230 000 | 120 563 000 |

Budget 2013

Draft amending budget No. 9/2013

New amount

127 793 000

-7 230 000

120 563 000

Item 08 01 05 03 — Other management expenditure for research

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| 55 000 000 | -15 739 000 | 39 261 000 |

Budget 2013

Draft amending budget No. 9/2013

New amount

55 000 000

-15 739 000

39 261 000

CHAPTER 08 02 — COOPERATION — HEALTH

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 02 | Cooperation — Health | | | | | | | |
| 08 02 01 | Cooperation — Health | 1.1 | 799 767 530 | 737 750 113 | | | 799 767 530 | 737 750 113 |
| 08 02 02 | Cooperation — Health — Innovative Medicines Initiative Joint Undertaking | 1.1 | 207 068 000 | 100 719 908 | | 17 980 852 | 207 068 000 | 118 700 760 |
| 08 02 03 | Cooperation — Health — Support expenditure for Innovative Medicines Initiative Joint Undertaking | 1.1 | 4 240 000 | 4 190 897 | | | 4 240 000 | 4 190 897 |
| | Chapter 08 02 — Total | | 1 011 075 530 | 842 660 918 | | 17 980 852 | 1 011 075 530 | 860 641 770 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 02

Cooperation — Health

08 02 01

Cooperation — Health

1.1

799 767 530

737 750 113

799 767 530

737 750 113

08 02 02

Cooperation — Health — Innovative Medicines Initiative Joint Undertaking

1.1

207 068 000

100 719 908

17 980 852

207 068 000

118 700 760

08 02 03

Cooperation — Health — Support expenditure for Innovative Medicines Initiative Joint Undertaking

1.1

4 240 000

4 190 897

4 240 000

4 190 897

Chapter 08 02 — Total

1 011 075 530

842 660 918

17 980 852

1 011 075 530

860 641 770

Article 08 02 02 — Cooperation — Health — Innovative Medicines Initiative Joint Undertaking

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 207 068 000 | 100 719 908 | | 17 980 852 | 207 068 000 | 118 700 760 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

207 068 000

100 719 908

17 980 852

207 068 000

118 700 760

Remarks

The Innovative Medicines Initiative Joint Undertaking shall contribute to the implementation of the Seventh Framework Programme and in particular the ‘Health’ theme of the specific ‘Cooperation’ programme implementing the Seventh Framework Programme. It shall have the objective of significantly improving the efficiency and effectiveness of the drug development process with the long-term aim that the pharmaceutical sector will produce more effective and safer innovative medicines. In particular it shall:

| — | support ‘pre-competitive pharmaceutical research and development’ in the Member States and countries associated to the Seventh Framework Programme via a coordinated approach to overcome the identified research bottlenecks in the drug development process, |
| --- | --- |

—

support ‘pre-competitive pharmaceutical research and development’ in the Member States and countries associated to the Seventh Framework Programme via a coordinated approach to overcome the identified research bottlenecks in the drug development process,

| — | support the implementation of the research priorities as set out by the Research Agenda of the Joint Technology Initiative on Innovative Medicines (‘Research Activities’), notably by awarding grants following competitive calls for proposals, |
| --- | --- |

—

support the implementation of the research priorities as set out by the Research Agenda of the Joint Technology Initiative on Innovative Medicines (‘Research Activities’), notably by awarding grants following competitive calls for proposals,

| — | ensure complementarity with other activities of the Seventh Framework Programme, |
| --- | --- |

—

ensure complementarity with other activities of the Seventh Framework Programme,

| — | be a public-private partnership aiming at increasing the research investment in the biopharmaceutical sector in the Member States and countries associated to the Seventh Framework Programme by pooling resources and fostering collaboration between the public and private sectors, |
| --- | --- |

—

be a public-private partnership aiming at increasing the research investment in the biopharmaceutical sector in the Member States and countries associated to the Seventh Framework Programme by pooling resources and fostering collaboration between the public and private sectors,

| — | promote the involvement of small and medium-sized enterprises in its activities, in line with the objectives of the Seventh Framework Programme. |
| --- | --- |

—

promote the involvement of small and medium-sized enterprises in its activities, in line with the objectives of the Seventh Framework Programme.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

Council Regulation (EC) No 73/2008 of 20 December 2007 setting up the Joint Undertaking for the implementation of the Joint Technology Initiative on Innovative Medicines (OJ L 30, 4.2.2008, p. 38).

CHAPTER 08 04 — COOPERATION — NANOSCIENCES, NANOTECHNOLOGIES, MATERIALS AND NEW PRODUCTION TECHNOLOGIES

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 04 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies | | | | | | | |
| 08 04 01 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies | 1.1 | 612 616 062 | 497 518 000 | | 19 936 245 | 612 616 062 | 517 454 245 |
| 08 04 02 | Cooperation — Nanosciences, nanotechnologies, materials and new production technologies — Fuel Cells and Hydrogen Joint Undertaking | 1.1 | 8 792 000 | 7 107 722 | | | 8 792 000 | 7 107 722 |
| | Chapter 08 04 — Total | | 621 408 062 | 504 625 722 | | 19 936 245 | 621 408 062 | 524 561 967 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 04

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

08 04 01

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

1.1

612 616 062

497 518 000

19 936 245

612 616 062

517 454 245

08 04 02

Cooperation — Nanosciences, nanotechnologies, materials and new production technologies — Fuel Cells and Hydrogen Joint Undertaking

1.1

8 792 000

7 107 722

8 792 000

7 107 722

Chapter 08 04 — Total

621 408 062

504 625 722

19 936 245

621 408 062

524 561 967

Article 08 04 01 — Cooperation — Nanosciences, nanotechnologies, materials and new production technologies

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 612 616 062 | 497 518 000 | | 19 936 245 | 612 616 062 | 517 454 245 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

612 616 062

497 518 000

19 936 245

612 616 062

517 454 245

Remarks

The actions carried out in this area are intended to help reach the critical mass of capacities needed to develop and exploit, in particular with a view to eco-efficiency and reducing the discharge of dangerous substances into the environment, state-of-the-art technologies which are the basis for products, services and manufacturing procedures in years to come, based mainly on knowledge and intelligence.

Sufficient appropriations must be provided for nano research in connection with environmental and health risk assessment, since only 5 to 10 % of global nano research is devoted to this today.

Sufficient budgetary appropriations must be provided for activities promoting research and the emergence of resource-efficiency processes and practices including eco-design, reusability, recyclability and research into substitution of hazardous or critical substances.

Expenditure on meetings, conferences, workshops and high-level scientific or technological seminars of European interest organised by the Commission, the funding of studies, grants, monitoring and assessment of specific programmes, funding the IMS secretariat, high-level scientific or technological assessments and evaluations, as well as actions carried out under the previous framework programmes will also be charged.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

CHAPTER 08 06 — COOPERATION — ENVIRONMENT (INCLUDING CLIMATE CHANGE)

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 06 | Cooperation — Environment (including climate change) | | | | | | | |
| 08 06 01 | Cooperation — Environment (including climate change) | 1.1 | 336 619 726 | 280 421 301 | | 2 804 213 | 336 619 726 | 283 225 514 |
| 08 06 02 | Cooperation — Environment — Fuel Cells and Hydrogen Joint Undertaking | 1.1 | 3 951 000 | 2 671 697 | | | 3 951 000 | 2 671 697 |
| | Chapter 08 06 — Total | | 340 570 726 | 283 092 998 | | 2 804 213 | 340 570 726 | 285 897 211 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 06

Cooperation — Environment (including climate change)

08 06 01

Cooperation — Environment (including climate change)

1.1

336 619 726

280 421 301

2 804 213

336 619 726

283 225 514

08 06 02

Cooperation — Environment — Fuel Cells and Hydrogen Joint Undertaking

1.1

3 951 000

2 671 697

3 951 000

2 671 697

Chapter 08 06 — Total

340 570 726

283 092 998

2 804 213

340 570 726

285 897 211

Article 08 06 01 — Cooperation — Environment (including climate change)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 336 619 726 | 280 421 301 | | 2 804 213 | 336 619 726 | 283 225 514 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

336 619 726

280 421 301

2 804 213

336 619 726

283 225 514

Remarks

Environmental research within the Seventh Framework Programme will be implemented through the ‘Environment (including climate change)’ theme. The objective is to promote sustainable management of the natural and human environment and its resources by advancing our knowledge of the interactions between the biosphere, ecosystems and human activities, and developing new technologies, tools and services, in order to address in an integrated way global environmental issues. Emphasis will be put on prediction of climate, ecological, earth and ocean systems changes and on tools and technologies, for monitoring, prevention and mitigation of environmental pressures and risks including on human health, and for the sustainability of the natural and man-made environment.

Research on this theme will contribute to the implementation of international commitments and initiatives such as Global Earth Observation (GEO). In addition, it will support the research needs arising from the existing and future Union legislation and policies, associated thematic strategies and the action plans on environmental technologies and on environment and health. Research will also contribute technological developments that will improve the market positioning of European enterprises, in particular of small and medium-sized enterprises, in areas such as environmental technologies.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

CHAPTER 08 10 — IDEAS

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 10 | Ideas | | | | | | | |
| 08 10 01 | Ideas | 1.1 | 1 714 721 109 | 1 026 958 500 | | 41 883 890 | 1 714 721 109 | 1 068 842 390 |
| | Chapter 08 10 — Total | | 1 714 721 109 | 1 026 958 500 | | 41 883 890 | 1 714 721 109 | 1 068 842 390 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 10

Ideas

08 10 01

Ideas

1.1

1 714 721 109

1 026 958 500

41 883 890

1 714 721 109

1 068 842 390

Chapter 08 10 — Total

1 714 721 109

1 026 958 500

41 883 890

1 714 721 109

1 068 842 390

Article 08 10 01 — Ideas

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 1 714 721 109 | 1 026 958 500 | | 41 883 890 | 1 714 721 109 | 1 068 842 390 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

1 714 721 109

1 026 958 500

41 883 890

1 714 721 109

1 068 842 390

Remarks

The general aim of the activities carried out as part of the specific ‘Ideas’ programme, through the creation of the European Research Council, is to identify the best research teams in Europe and to stimulate research at the frontiers of knowledge by funding high-risk and multi-disciplinary projects evaluated according to the sole criteria of excellence as judged by peers at European level, while encouraging in particular the creation of networks among research groups in different countries in order to promote the development of a European scientific community.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

This appropriation will also cover expenditure corresponding to revenue giving rise to the provision of additional appropriations from (non-European Economic Area) third parties or third countries participating in projects in the field of research and technological development.

In accordance with Article 21 of the Financial Regulation, any revenue entered in Items 6 0 1 3, 6 0 1 5, 6 0 1 6, 6 0 3 1 and 6 0 3 3 of the statement of revenue may give rise to the provision of additional appropriations.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/972/EC of 19 December 2006 concerning the specific programme ‘Ideas’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 243).

CHAPTER 08 19 — CAPACITIES — SUPPORT FOR COHERENT DEVELOPMENT OF RESEARCH POLICIES

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 19 | Capacities — Support for coherent development of research policies | | | | | | | |
| 08 19 01 | Capacities — Support for coherent development of research policies | 1.1 | 13 470 414 | 8 912 772 | | 405 852 | 13 470 414 | 9 318 624 |
| | Chapter 08 19 — Total | | 13 470 414 | 8 912 772 | | 405 852 | 13 470 414 | 9 318 624 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 19

Capacities — Support for coherent development of research policies

08 19 01

Capacities — Support for coherent development of research policies

1.1

13 470 414

8 912 772

405 852

13 470 414

9 318 624

Chapter 08 19 — Total

13 470 414

8 912 772

405 852

13 470 414

9 318 624

Article 08 19 01 — Capacities — Support for coherent development of research policies

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 13 470 414 | 8 912 772 | | 405 852 | 13 470 414 | 9 318 624 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

13 470 414

8 912 772

405 852

13 470 414

9 318 624

Remarks

Increasing investment in research and development up to the 3 % objective and improving its effectiveness is a top priority under the Europe 2020 Strategy. Thus, the development of a coherent mix of policies to leverage public and private research investments is a major concern for public authorities. Actions under this heading will support the development of effective and coherent research policies at regional, national and Union level, through the provision of structured information, indicators and analyses, and through actions aimed at coordinating research policies, in particular application of the open method of coordination to research policy.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/974/EC of 19 December 2006 on the specific programme ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 299).

CHAPTER 08 20 — EURATOM — FUSION ENERGY

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 08 20 | Euratom — Fusion energy | | | | | | | |
| 08 20 01 | Euratom — Fusion energy | 1.1 | 72 163 290 | 78 549 779 | | | 72 163 290 | 78 549 779 |
| 08 20 02 | Euratom — European Joint Undertaking for ITER — Fusion for Energy (F4E) | 1.1 | 865 510 000 | 494 812 495 | | - 289 200 000 | 865 510 000 | 205 612 495 |
| | Chapter 08 20 — Total | | 937 673 290 | 573 362 274 | | - 289 200 000 | 937 673 290 | 284 162 274 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

08 20

Euratom — Fusion energy

08 20 01

Euratom — Fusion energy

1.1

72 163 290

78 549 779

72 163 290

78 549 779

08 20 02

Euratom — European Joint Undertaking for ITER — Fusion for Energy (F4E)

1.1

865 510 000

494 812 495

- 289 200 000

865 510 000

205 612 495

Chapter 08 20 — Total

937 673 290

573 362 274

- 289 200 000

937 673 290

284 162 274

Article 08 20 02 — Euratom — European Joint Undertaking for ITER — Fusion for Energy (F4E)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 865 510 000 | 494 812 495 | | - 289 200 000 | 865 510 000 | 205 612 495 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

865 510 000

494 812 495

- 289 200 000

865 510 000

205 612 495

Remarks

Fusion offers the prospect of an almost limitless supply of clean energy, with ITER being the crucial next step in the progress towards this ultimate goal. To this end, the European Organisation for ITER and the Development of Fusion Energy, in the form of a Joint Undertaking was established. This European Joint Undertaking for ITER and the Development of Fusion Energy (Fusion for Energy) has the following tasks:

| (a) | to provide the contribution of Euratom to the ITER International Fusion Energy Organization; |
| --- | --- |

(a)

to provide the contribution of Euratom to the ITER International Fusion Energy Organization;

| (b) | to provide the contribution of Euratom to broader approach activities with Japan for the rapid realisation of fusion energy; |
| --- | --- |

(b)

to provide the contribution of Euratom to broader approach activities with Japan for the rapid realisation of fusion energy;

| (c) | to implement a programme of activities in preparation for the construction of a demonstration fusion reactor and related facilities including the International Fusion Materials Irradiation Facility (IFMIF). |
| --- | --- |

(c)

to implement a programme of activities in preparation for the construction of a demonstration fusion reactor and related facilities including the International Fusion Materials Irradiation Facility (IFMIF).

Legal basis

Council Decision of 25 September 2006 concerning the conclusion, by the Commission, of the Agreement on the Establishment of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project, of the Arrangement on Provisional Application of the Agreement on the Establishment of the ITER International Fusion Energy Organization for the Joint Implementation on the ITER Project and of the Agreement on the Privileges and Immunities of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project.

Commission Decision 2006/943/Euratom of 17 November 2006 on Provisional Application of the Agreement on the Establishment of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project and of the Agreement on Privileges and Immunities of the ITER International Fusion Energy Organization for the Joint Implementation of the ITER Project (OJ L 358, 16.12.2006, p. 60).

Council Decision 2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 60).

Council Regulation (Euratom) No 1908/2006 of 19 December 2006 laying down the rules for the participation of undertakings, research centres and universities in action under the seventh framework programme of the European Atomic Energy Community and for the dissemination of research results (2007 to 2011) (OJ L 400, 30.12.2006, p. 1).

Council Decision 2006/976/Euratom of 19 December 2006 concerning the specific programme implementing the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 404).

Council Decision 2007/198/Euratom of 27 March 2007 establishing the European Joint Undertaking for ITER and the Development of Fusion Energy and conferring advantages upon it (OJ L 90, 30.3.2007, p. 58).

Council Decision 2012/93/Euratom of 19 December 2011 concerning the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012 to 2013) (OJ L 47, 18.2.2012, p. 25).

Council Regulation (Euratom) No 139/2012 of 19 December 2011 laying down the rules for the participation of undertakings, research centres and universities in indirect actions under the Framework Programme of the European Atomic Energy Community and for the dissemination of research results (2012-2013) (OJ L 47, 18.2.2012, p. 1).

Council Decision 2012/94/Euratom of 19 December 2011 concerning the specific programme, to be carried out by means of indirect actions, implementing the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 33).

TITLE 09 — COMMUNICATIONS NETWORKS, CONTENT AND TECHNOLOGY

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 09 01 | Administrative expenditure of the ‘Communications networks, content and technology’ policy area | | 127 323 333 | 127 323 333 | | | 127 323 333 | 127 323 333 |
| 09 02 | Regulatory framework for the Digital Agenda | | 18 137 969 | 25 484 774 | | | 18 137 969 | 25 484 774 |
| 40 02 41 | | 391 985
  18 529 954 | 391 985
  25 876 759 | | | 391 985
  18 529 954 | 391 985
  25 876 759 |
| 09 03 | information and communication technologies take-up | 1 | 144 265 000 | 132 209 900 | | | 144 265 000 | 132 209 900 |
| 09 04 | Cooperation — information and communication technologies (ICTs) | 1 | 1 483 700 335 | 1 168 738 402 | | 40 812 681 | 1 483 700 335 | 1 209 551 083 |
| 09 05 | Capacities — Research infrastructures | 1 | 37 403 000 | 53 948 802 | | | 37 403 000 | 53 948 802 |
| | Title 09 — Total | | 1 810 829 637 | 1 507 705 211 | | 40 812 681 | 1 810 829 637 | 1 548 517 892 |
| | 40 01 40, 40 02 41


  Total including reserves | | 391 985


  1 811 221 622 | 391 985


  1 508 097 196 | | | 391 985


  1 811 221 622 | 391 985


  1 548 909 877 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

09 01

Administrative expenditure of the ‘Communications networks, content and technology’ policy area

127 323 333

127 323 333

127 323 333

127 323 333

09 02

Regulatory framework for the Digital Agenda

18 137 969

25 484 774

18 137 969

25 484 774

40 02 41

391 985

18 529 954

391 985

25 876 759

391 985

18 529 954

391 985

25 876 759

09 03

information and communication technologies take-up

1

144 265 000

132 209 900

144 265 000

132 209 900

09 04

Cooperation — information and communication technologies (ICTs)

1

1 483 700 335

1 168 738 402

40 812 681

1 483 700 335

1 209 551 083

09 05

Capacities — Research infrastructures

1

37 403 000

53 948 802

37 403 000

53 948 802

Title 09 — Total

1 810 829 637

1 507 705 211

40 812 681

1 810 829 637

1 548 517 892

40 01 40, 40 02 41

Total including reserves

391 985

1 811 221 622

391 985

1 508 097 196

391 985

1 811 221 622

391 985

1 548 909 877

CHAPTER 09 04 — COOPERATION — INFORMATION AND COMMUNICATION TECHNOLOGIES (ICTS)

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 09 04 | Cooperation — information and communication technologies (ICTs) | | | | | | | |
| 09 04 01 | Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation) | | | | | | | |
| 09 04 01 01 | Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation) | 1.1 | 1 307 359 400 | 1 102 379 643 | | 40 812 681 | 1 307 359 400 | 1 143 192 324 |
| 09 04 01 02 | Cooperation — Information and communication technologies — ARTEMIS Joint Undertaking | 1.1 | 65 000 000 | 19 016 953 | | | 65 000 000 | 19 016 953 |
| 09 04 01 03 | Cooperation — Information and communication technologies — Support expenditure for ARTEMIS Joint Undertaking | 1.1 | 911 793 | 901 234 | | | 911 793 | 901 234 |
| 09 04 01 04 | Cooperation — Information and communication technologies — ENIAC Joint Undertaking | 1.1 | 110 000 000 | 35 143 790 | | | 110 000 000 | 35 143 790 |
| 09 04 01 05 | Cooperation — Information and communication technologies — Support expenditure for ENIAC Joint Undertaking | 1.1 | 429 142 | 424 172 | | | 429 142 | 424 172 |
| | Article 09 04 01 — Subtotal | | 1 483 700 335 | 1 157 865 792 | | 40 812 681 | 1 483 700 335 | 1 198 678 473 |
| 09 04 02 | Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development | 1.1 | p.m. | p.m. | | | p.m. | p.m. |
| 09 04 03 | Completion of previous European Community framework programmes (prior to 2007) | 1.1 | — | 10 872 610 | | | — | 10 872 610 |
| | Chapter 09 04 — Total | | 1 483 700 335 | 1 168 738 402 | | 40 812 681 | 1 483 700 335 | 1 209 551 083 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

09 04

Cooperation — information and communication technologies (ICTs)

09 04 01

Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

09 04 01 01

Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

1.1

1 307 359 400

1 102 379 643

40 812 681

1 307 359 400

1 143 192 324

09 04 01 02

Cooperation — Information and communication technologies — ARTEMIS Joint Undertaking

1.1

65 000 000

19 016 953

65 000 000

19 016 953

09 04 01 03

Cooperation — Information and communication technologies — Support expenditure for ARTEMIS Joint Undertaking

1.1

911 793

901 234

911 793

901 234

09 04 01 04

Cooperation — Information and communication technologies — ENIAC Joint Undertaking

1.1

110 000 000

35 143 790

110 000 000

35 143 790

09 04 01 05

Cooperation — Information and communication technologies — Support expenditure for ENIAC Joint Undertaking

1.1

429 142

424 172

429 142

424 172

Article 09 04 01 — Subtotal

1 483 700 335

1 157 865 792

40 812 681

1 483 700 335

1 198 678 473

09 04 02

Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development

1.1

p.m.

p.m.

p.m.

p.m.

09 04 03

Completion of previous European Community framework programmes (prior to 2007)

1.1

—

10 872 610

—

10 872 610

Chapter 09 04 — Total

1 483 700 335

1 168 738 402

40 812 681

1 483 700 335

1 209 551 083

Article 09 04 01 — Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

Item 09 04 01 01 — Support for research cooperation in the area of information and communication technologies (ICTs — Cooperation)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 1 307 359 400 | 1 102 379 643 | | 40 812 681 | 1 307 359 400 | 1 143 192 324 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

1 307 359 400

1 102 379 643

40 812 681

1 307 359 400

1 143 192 324

Remarks

The objective of the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) and the ‘Information and Communication Technologies’ theme of the specific ‘Cooperation’ programme is to improve the competitiveness of European industry and to enable Europe to master and shape the future developments in ICTs in accordance with a long-term European ICT strategy so that the demands of its society and economy are met and European standards help shape the global ICT developments rather than being overtaken by other growing global markets.

Activities will strengthen Europe’s scientific and technology base and ensure its global leadership in ICTs, help drive and stimulate innovation through ICT use and ensure that ICT progress is rapidly transformed into benefits for Europe’s citizens, businesses, industry and governments.

The ICT theme prioritises strategic research around key technology pillars, ensures end-to-end integration of technologies and provides the knowledge and the means to develop a wide range of innovative ICT applications.

The activities leverage industrial and technological advances in the ICT sector and improve the competitive edge of important ICT-intensive sectors — both through innovative high-value ICT-based products and services and from new or improved organisational processes in businesses and administrations alike. The ICT theme also supports other policies of the Union by mobilising ICTs to meet public and societal demands.

Activities cover collaboration and exchange of best practices with a view to setting common standards for the Union that are compatible with, or set, a global standard, networking actions and national programme coordination initiatives. This appropriation is also intended to cover the costs of independent experts assisting in proposal evaluations and project reviews, the costs of events, meetings, conferences, workshops and seminars of European interest organised by the Commission, the costs of studies, analyses and evaluations, the costs of monitoring and evaluation of the specific programmes and of the framework programmes and the costs of measures to monitor and disseminate the results of the programmes, including measures under previous framework programmes.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this item. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

Part of these appropriations is intended to foster common approaches to key global challenges, such as an ICT strategy that is not only able to compete with rapidly emerging ICT markets (e.g. in Asia), but that can also set standards for global ICT policy-making in the interest of European values, by pooling resources and fostering the exchange of best practices for the advancement of research, development and innovation in the field of ICT. Measures will aim at improving the efficacy of actions by the international community and will be complementary to existing mechanisms and successful working relationships. The appropriations will be used to fund innovative ventures between European and third countries. The scope of such ventures will go beyond what could be undertaken by a single country and will benefit both the Union and its partners in preparing their leading role for setting future ICT standards. In implementing this action, the Commission will ensure a balanced distribution of subsidies. It will help actors at a global level to engage in research partnerships in order to foster innovation in the field of ICT.

Legal basis

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007 to 2013) (OJ L 391, 30.12.2006, p. 1).

Council Decision 2006/971/EC of 19 December 2006 concerning the Specific Programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 86).

TITLE 10 — DIRECT RESEARCH

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 10 01 | Administrative expenditure of the ‘Direct research’ policy area | 1 | 350 080 000 | 350 080 000 | | | 350 080 000 | 350 080 000 |
| 10 02 | Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2013) — EU | 1 | 33 089 156 | 30 721 154 | | | 33 089 156 | 30 721 154 |
| 10 03 | Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2011 and 2012 to 2013) — Euratom | 1 | 10 250 000 | 9 314 301 | | 405 852 | 10 250 000 | 9 720 153 |
| 10 04 | Completion of previous framework programmes and other activities | 1 | p.m. | p.m. | | | p.m. | p.m. |
| 10 05 | Historical liabilities resulting from nuclear activities carried out by the Joint Research Centre pursuant to the Euratom Treaty | 1 | 30 900 000 | 29 204 688 | | | 30 900 000 | 29 204 688 |
| | Title 10 — Total | | 424 319 156 | 419 320 143 | | 405 852 | 424 319 156 | 419 725 995 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

10 01

Administrative expenditure of the ‘Direct research’ policy area

1

350 080 000

350 080 000

350 080 000

350 080 000

10 02

Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2013) — EU

1

33 089 156

30 721 154

33 089 156

30 721 154

10 03

Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2011 and 2012 to 2013) — Euratom

1

10 250 000

9 314 301

405 852

10 250 000

9 720 153

10 04

Completion of previous framework programmes and other activities

1

p.m.

p.m.

p.m.

p.m.

10 05

Historical liabilities resulting from nuclear activities carried out by the Joint Research Centre pursuant to the Euratom Treaty

1

30 900 000

29 204 688

30 900 000

29 204 688

Title 10 — Total

424 319 156

419 320 143

405 852

424 319 156

419 725 995

Remarks

These remarks apply to all the budget headings in the ‘Direct research’ policy area (with the exception of Chapter 10 05).

The appropriations cover not only expenditure on operations and staff covered by the Staff Regulations, but also other expenditure on staff, contracting, infrastructure, information and publications and any other administrative expenditure arising from research and technological development operations, including exploratory research.

In accordance with Article 21 of the Financial Regulation, any revenue entered in Items 6 2 2 4 and 6 2 2 5 of the statement of revenue may give rise to the provision of additional appropriations.

Miscellaneous revenue may give rise to the provision of additional appropriations to be used in Chapters 10 02, 10 03 or 10 04 or Article 10 01 05, depending on their purpose.

Any revenue from the contributions from candidate countries and, if applicable, the western Balkan potential candidate countries for participating in Union programmes entered in Item 6 0 3 1 of the statement of revenue may give rise to the provision of additional appropriations in accordance with Article 21(2)(e) to (g) of the Financial Regulation.

The possibility of third countries or organisations from third countries taking part in European cooperation in the field of scientific and technical research is envisaged for some of these projects. Any financial contribution will be entered in Item 6 0 1 3 of the statement of revenue and may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

The additional appropriations will be provided under Articles 10 02 02 and 10 03 02.

The appropriations in this title cover the cost of the staff working in the financial and administrative departments of the Joint Research Centre and of the support which they need (approximately 15 % of the cost).

CHAPTER 10 03 — DIRECTLY FINANCED RESEARCH OPERATIONAL APPROPRIATIONS — SEVENTH FRAMEWORK PROGRAMME (2007 TO 2011 AND 2012 TO 2013) — EURATOM

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 10 03 | Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2011 and 2012 to 2013) — Euratom | | | | | | | |
| 10 03 01 | Nuclear activities of the Joint Research Centre (JRC) | 1.1 | 10 250 000 | 9 314 301 | | 405 852 | 10 250 000 | 9 720 153 |
| 10 03 02 | Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development | 1.1 | p.m. | p.m. | | | p.m. | p.m. |
| | Chapter 10 03 — Total | | 10 250 000 | 9 314 301 | | 405 852 | 10 250 000 | 9 720 153 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

10 03

Directly financed research operational appropriations — Seventh Framework Programme (2007 to 2011 and 2012 to 2013) — Euratom

10 03 01

Nuclear activities of the Joint Research Centre (JRC)

1.1

10 250 000

9 314 301

405 852

10 250 000

9 720 153

10 03 02

Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development

1.1

p.m.

p.m.

p.m.

p.m.

Chapter 10 03 — Total

10 250 000

9 314 301

405 852

10 250 000

9 720 153

Article 10 03 01 — Nuclear activities of the Joint Research Centre (JRC)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 10 250 000 | 9 314 301 | | 405 852 | 10 250 000 | 9 720 153 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

10 250 000

9 314 301

405 852

10 250 000

9 720 153

Remarks

This appropriation is intended to cover the scientific and technical support and research activities carried out by the Joint Research Centre in accordance with the nuclear specific programme for the following themes:

| — | nuclear waste management, environmental impact, basic knowledge and research on decommissioning, |
| --- | --- |

—

nuclear waste management, environmental impact, basic knowledge and research on decommissioning,

| — | nuclear safety, |
| --- | --- |

—

nuclear safety,

| — | nuclear security. |
| --- | --- |

—

nuclear security.

It covers the activities necessary for implementing safeguards pursuant to Chapter 7 of Title II of the Euratom Treaty and the obligations arising from the Non-Proliferation Treaty and implementation of the Commission’s programme to support the International Atomic Energy Agency (IAEA).

It covers specific expenditure relating to the research and support activities in question (purchases of all types and contracts). This includes expenditure on scientific infrastructure directly incurred for the projects concerned.

It is also intended to cover expenditure of any type concerning research activities relating to activities under this article entrusted to the Joint Research Centre within the framework of its participation on a competitive basis in indirect actions.

In accordance with Article 21 and Article 183(2) of the Financial Regulation, any revenue entered in Items 6 2 2 3 and 6 2 2 6 of the statement of revenue may give rise to the provision of additional appropriations.

Legal basis

Council Decision 2006/970/Euratom of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 60).

Council Decision 2006/977/Euratom of 19 December 2006 concerning the Specific Programme to be carried out by means of direct actions by the Joint Research Centre implementing the Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 434).

Council Regulation (Euratom) No 1908/2006 of 19 December 2006 laying down the rules for the participation of undertakings, research centres and universities in action under the seventh framework programme of the European Atomic Energy Community and for the dissemination of research results (2007 to 2011) (OJ L 400, 30.12.2006, p. 1).

Council Decision 2012/93/Euratom of 19 December 2011 concerning the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 25).

Council Regulation (Euratom) No 139/2012 of 19 December 2011 laying down the rules for the participation of undertakings, research centres and universities in indirect actions under the Framework Programme of the European Atomic Energy Community and for the dissemination of research results (2012-2013) (OJ L 47, 18.2.2012, p. 1).

Council Decision 2012/95/Euratom of 19 December 2011 concerning the specific programme, to be carried out by means of direct actions by the Joint Research Centre, implementing the Framework Programme of the European Atomic Energy Community for nuclear research and training activities (2012-2013) (OJ L 47, 18.2.2012, p. 40).

TITLE 13 — REGIONAL POLICY

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 13 01 | Administrative expenditure of the ‘Regional policy’ policy area | | 88 792 579 | 88 792 579 | | | 88 792 579 | 88 792 579 |
| 13 03 | European Regional Development Fund and other regional operations | 1 | 30 639 878 699 | 31 410 089 436 | | | 30 639 878 699 | 31 410 089 436 |
| 13 04 | Cohesion Fund | 1 | 12 499 800 000 | 11 414 497 449 | | | 12 499 800 000 | 11 414 497 449 |
| 13 05 | Pre-accession operations related to the structural policies | | 549 770 452 | 489 688 705 | | -78 987 754 | 549 770 452 | 410 700 951 |
| 13 06 | Solidarity Fund | | 14 607 942 | 14 607 942 | 400 519 089 | 250 519 089 | 415 127 031 | 265 127 031 |
| | Title 13 — Total | | 43 792 849 672 | 43 417 676 111 | 400 519 089 | 171 531 335 | 44 193 368 761 | 43 589 207 446 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

13 01

Administrative expenditure of the ‘Regional policy’ policy area

88 792 579

88 792 579

88 792 579

88 792 579

13 03

European Regional Development Fund and other regional operations

1

30 639 878 699

31 410 089 436

30 639 878 699

31 410 089 436

13 04

Cohesion Fund

1

12 499 800 000

11 414 497 449

12 499 800 000

11 414 497 449

13 05

Pre-accession operations related to the structural policies

549 770 452

489 688 705

-78 987 754

549 770 452

410 700 951

13 06

Solidarity Fund

14 607 942

14 607 942

400 519 089

250 519 089

415 127 031

265 127 031

Title 13 — Total

43 792 849 672

43 417 676 111

400 519 089

171 531 335

44 193 368 761

43 589 207 446

CHAPTER 13 05 — PRE-ACCESSION OPERATIONS RELATED TO THE STRUCTURAL POLICIES

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 13 05 | Pre-accession operations related to the structural policies | | | | | | | |
| 13 05 01 | Instrument for Structural Policies for Pre-accession (ISPA) — Completion of previous projects (2000 to 2006) | | | | | | | |
| 13 05 01 01 | Instrument for Structural Policies for Pre-accession (ISPA) — Completion of other previous projects (2000 to 2006) | 4 | p.m. | 232 278 493 | | -78 987 754 | p.m. | 153 290 739 |
| 13 05 01 02 | Instrument for Structural Policies for Pre-accession — Closure of pre-accession assistance relating to eight applicant countries | 4 | p.m. | p.m. | | | p.m. | p.m. |
| | Article 13 05 01 — Subtotal | | p.m. | 232 278 493 | | -78 987 754 | p.m. | 153 290 739 |
| 13 05 02 | Instrument for Pre-Accession Assistance (IPA) — Regional development component | 4 | 462 000 000 | 172 734 477 | | | 462 000 000 | 172 734 477 |
| 13 05 03 | Instrument for Pre-Accession Assistance (IPA) — Cross-border cooperation (CBC) component | | | | | | | |
| 13 05 03 01 | Cross-border cooperation (CBC) — Contribution from Subheading 1-b | 1.2 | 51 491 401 | 50 000 000 | | | 51 491 401 | 50 000 000 |
| 13 05 03 02 | Cross-border cooperation (CBC) and participation of candidate and potential candidate countries in Structural Funds' transnational and interregional cooperation programmes — Contribution from Heading 4 | 4 | 36 279 051 | 34 675 735 | | | 36 279 051 | 34 675 735 |
| | Article 13 05 03 — Subtotal | | 87 770 452 | 84 675 735 | | | 87 770 452 | 84 675 735 |
| | Chapter 13 05 — Total | | 549 770 452 | 489 688 705 | | -78 987 754 | 549 770 452 | 410 700 951 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

13 05

Pre-accession operations related to the structural policies

13 05 01

Instrument for Structural Policies for Pre-accession (ISPA) — Completion of previous projects (2000 to 2006)

13 05 01 01

Instrument for Structural Policies for Pre-accession (ISPA) — Completion of other previous projects (2000 to 2006)

4

p.m.

232 278 493

-78 987 754

p.m.

153 290 739

13 05 01 02

Instrument for Structural Policies for Pre-accession — Closure of pre-accession assistance relating to eight applicant countries

4

p.m.

p.m.

p.m.

p.m.

Article 13 05 01 — Subtotal

p.m.

232 278 493

-78 987 754

p.m.

153 290 739

13 05 02

Instrument for Pre-Accession Assistance (IPA) — Regional development component

4

462 000 000

172 734 477

462 000 000

172 734 477

13 05 03

Instrument for Pre-Accession Assistance (IPA) — Cross-border cooperation (CBC) component

13 05 03 01

Cross-border cooperation (CBC) — Contribution from Subheading 1-b

1.2

51 491 401

50 000 000

51 491 401

50 000 000

13 05 03 02

Cross-border cooperation (CBC) and participation of candidate and potential candidate countries in Structural Funds' transnational and interregional cooperation programmes — Contribution from Heading 4

4

36 279 051

34 675 735

36 279 051

34 675 735

Article 13 05 03 — Subtotal

87 770 452

84 675 735

87 770 452

84 675 735

Chapter 13 05 — Total

549 770 452

489 688 705

-78 987 754

549 770 452

410 700 951

Article 13 05 01 — Instrument for Structural Policies for Pre-accession (ISPA) — Completion of previous projects (2000 to 2006)

Remarks

Aid provided by the Instrument for Structural Policies for Pre-accession (ISPA) was intended to help the candidate countries of Central and Eastern Europe in their accession to the Union. ISPA was used to help the beneficiary countries to comply with the acquis of the Union in the environment and transport fields.

Item 13 05 01 01 — Instrument for Structural Policies for Pre-accession (ISPA) — Completion of other previous projects (2000 to 2006)

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| p.m. | 232 278 493 | | -78 987 754 | p.m. | 153 290 739 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

p.m.

232 278 493

-78 987 754

p.m.

153 290 739

Remarks

This appropriation is intended to cover assistance under ISPA and the technical assistance provided outside the Commission which is required for implementation in the candidate countries of Central and Eastern Europe.

Irrespective of the beneficiary, no administrative expenditure against this item is authorised.

Legal basis

Council Regulation (EC) No 1266/1999 of 21 June 1999 on coordinating aid to the applicant countries in the framework of the pre-accession strategy (OJ L 161, 26.6.1999, p. 68).

Council Regulation (EC) No 1267/1999 of 21 June 1999 establishing an Instrument for Structural Policies for Pre-accession (OJ L 161, 26.6.1999, p. 73).

Council Regulation (EC) No 2257/2004 of 20 December 2004 amending Regulations (EEC) No 3906/89, (EC) No 1267/1999, (EC) No 1268/1999 and (EC) No 2666/2000, to take into account Croatia’s candidate status (OJ L 389, 30.12.2004, p. 1).

CHAPTER 13 06 — SOLIDARITY FUND

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 13 06 | Solidarity Fund | | | | | | | |
| 13 06 01 | European Union Solidarity Fund — Member States | 3.2 | 14 607 942 | 14 607 942 | 400 519 089 | 250 519 089 | 415 127 031 | 265 127 031 |
| 13 06 02 | European Union Solidarity Fund — Countries negotiating for accession | 4 | p.m. | p.m. | | | p.m. | p.m. |
| | Chapter 13 06 — Total | | 14 607 942 | 14 607 942 | 400 519 089 | 250 519 089 | 415 127 031 | 265 127 031 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

13 06

Solidarity Fund

13 06 01

European Union Solidarity Fund — Member States

3.2

14 607 942

14 607 942

400 519 089

250 519 089

415 127 031

265 127 031

13 06 02

European Union Solidarity Fund — Countries negotiating for accession

4

p.m.

p.m.

p.m.

p.m.

Chapter 13 06 — Total

14 607 942

14 607 942

400 519 089

250 519 089

415 127 031

265 127 031

Article 13 06 01 — European Union Solidarity Fund — Member States

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 14 607 942 | 14 607 942 | 400 519 089 | 250 519 089 | 415 127 031 | 265 127 031 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

14 607 942

14 607 942

400 519 089

250 519 089

415 127 031

265 127 031

Remarks

This article is intended to record appropriations resulting from the mobilisation of the European Union Solidarity Fund in the event of major disasters in the Member States. Assistance should be provided mainly in connection with natural disasters, but may also be provided, where warranted by the urgency of the situation, to the Member States concerned, with a deadline being laid down for use of the financial assistance awarded and provision being made for beneficiary states to substantiate the use made of the assistance they receive. Assistance received which is subsequently offset by third-party payments, under the ‘polluter pays’ principle, for example, or received in excess of the final valuation of damage should be recovered.

Allocation of the appropriations will be decided on in an amending budget with the sole purpose of mobilising the European Union Solidarity Fund.

Legal basis

Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund (OJ L 311, 14.11.2002, p. 3).

Reference acts

Proposal for a Regulation of the European Parliament and of the Council, submitted by the Commission on 6 April 2005, establishing the European Union Solidarity Fund (COM(2005)0108).

Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (OJ C 139, 14.6.2006, p. 1).

TITLE 15 — EDUCATION AND CULTURE

Figures

| Title Chapter | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 15 01 | Administrative expenditure of the ‘Education and culture’ policy area | | 123 603 923 | 123 603 923 | | | 123 603 923 | 123 603 923 |
| 15 02 | Lifelong learning, including multilingualism | | 1 417 215 664 | 1 379 114 216 | | | 1 417 215 664 | 1 379 114 216 |
| 15 04 | Developing cultural and audiovisual cooperation in Europe | | 175 715 000 | 159 896 411 | | | 175 715 000 | 159 896 411 |
| 15 05 | Encouraging and promoting cooperation in the field of youth and sports | 3 | 149 539 000 | 130 166 227 | | | 149 539 000 | 130 166 227 |
| 15 07 | People — Programme for the mobility of researchers | 1 | 963 502 000 | 771 774 900 | | 63 312 858 | 963 502 000 | 835 087 758 |
| | Title 15 — Total | | 2 829 575 587 | 2 564 555 677 | | 63 312 858 | 2 829 575 587 | 2 627 868 535 |

Title Chapter

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

15 01

Administrative expenditure of the ‘Education and culture’ policy area

123 603 923

123 603 923

123 603 923

123 603 923

15 02

Lifelong learning, including multilingualism

1 417 215 664

1 379 114 216

1 417 215 664

1 379 114 216

15 04

Developing cultural and audiovisual cooperation in Europe

175 715 000

159 896 411

175 715 000

159 896 411

15 05

Encouraging and promoting cooperation in the field of youth and sports

3

149 539 000

130 166 227

149 539 000

130 166 227

15 07

People — Programme for the mobility of researchers

1

963 502 000

771 774 900

63 312 858

963 502 000

835 087 758

Title 15 — Total

2 829 575 587

2 564 555 677

63 312 858

2 829 575 587

2 627 868 535

CHAPTER 15 07 — PEOPLE — PROGRAMME FOR THE MOBILITY OF RESEARCHERS

Figures

| Title Chapter Article Item | Heading | FF | Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- | --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 15 07 | People — Programme for the mobility of researchers | | | | | | | |
| 15 07 77 | People | 1.1 | 963 502 000 | 771 275 000 | | 63 312 858 | 963 502 000 | 834 587 858 |
| 15 07 78 | Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development | 1.1 | p.m. | p.m. | | | p.m. | p.m. |
| 15 07 79 | Pilot project — Knowledge partnerships | 1.1 | p.m. | 499 900 | | | p.m. | 499 900 |
| | Chapter 15 07 — Total | | 963 502 000 | 771 774 900 | | 63 312 858 | 963 502 000 | 835 087 758 |

Title Chapter Article Item

Heading

FF

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

15 07

People — Programme for the mobility of researchers

15 07 77

People

1.1

963 502 000

771 275 000

63 312 858

963 502 000

834 587 858

15 07 78

Appropriations accruing from contributions from (non-European Economic Area) third parties to research and technological development

1.1

p.m.

p.m.

p.m.

p.m.

15 07 79

Pilot project — Knowledge partnerships

1.1

p.m.

499 900

p.m.

499 900

Chapter 15 07 — Total

963 502 000

771 774 900

63 312 858

963 502 000

835 087 758

Article 15 07 77 — People

Figures

| Budget 2013 | Draft amending budget No. 9/2013 | New amount |
| --- | --- | --- |
| Commitments | Payments | Commitments | Payments | Commitments | Payments |
| 963 502 000 | 771 275 000 | | 63 312 858 | 963 502 000 | 834 587 858 |

Budget 2013

Draft amending budget No. 9/2013

New amount

Commitments

Payments

Commitments

Payments

Commitments

Payments

963 502 000

771 275 000

63 312 858

963 502 000

834 587 858

Remarks

Europe needs to become more attractive to researchers, in order to increase its capacity and performance in research and technological development, while consolidating and further developing the European Research Area. Against the background of growing competition at world level, the development of an open and competitive European labour market for researchers with diverse, attractive career prospects is needed.

The added value of the support provided by the specific ‘People’ programme (implemented through the Marie Curie Actions, the Researchers’ Night and the EURAXESS action) is the promotion of the international, interdisciplinary and intersectoral mobility of researchers as a key driver for European Innovation. Marie Curie Actions also foster stronger cooperation between education, research and businesses from different countries in the training and career development of researchers to broaden their skills and prepare them for the jobs of tomorrow. The Marie Curie Actions reinforce a closer partnership between education and businesses in order to increase knowledge exchange and enhance PhD training adapted to the needs of industry. By promoting employment conditions in line with the European researchers’ charter and code, they contribute to making a research career in Europe more attractive.

The contributions from the EFTA States pursuant to the Agreement on the European Economic Area, and in particular Article 82 thereof and Protocol 32 thereto, must be added to the appropriations entered in this article. By way of information, these amounts derive from contributions from the EFTA States entered against Article 6 3 0 of the statement of revenue, which constitute assigned revenue in accordance with Article 21(2)(e) to (g) of the Financial Regulation; they give rise to the provision of corresponding appropriations and to implementation under the ‘European Economic Area’ Annex to this part of the statement of expenditure in this section, which forms an integral part of the general budget.

This appropriation will also cover expenditure corresponding to revenue giving rise to the provision of additional appropriations from (non-European Economic Area) third parties or third countries participating in projects in the field of research and technological development.

Any revenue entered in Items 6 0 1 3, 6 0 1 5, 6 0 1 6, 6 0 3 1 and 6 0 3 3 of the statement of revenue may give rise to the provision of additional appropriations in accordance with Article 21 of the Financial Regulation.

Legal basis

Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).

Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) (OJ L 412, 30.12.2006, p. 1).

Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (OJ L 400, 30.12.2006, p. 269).

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/203 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/203

---

P7_TA(2013)0475

Mobilisation of the EU Solidarity Fund: drought in Romania in 2012 and flooding in Germany, Austria and the Czech Republic in 2013

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on mobilisation of the European Union Solidarity Fund, in accordance with point 26 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (drought and forest fires in Romania and floods in Germany, Austria and the Czech Republic) (COM(2013)0692 — C7-0343/2013 — 2013/2255(BUD))

(2016/C 436/30)

The European Parliament,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0692 — C7-0343/2013), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0692 — C7-0343/2013),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (1), and in particular point 26 thereof, |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (1), and in particular point 26 thereof,

| — | having regard to Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund (2), |
| --- | --- |

—

having regard to Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund (2),

| — | having regard to Joint Declaration of the European Parliament, the Council and the Commission, adopted during the conciliation meeting on 17 July 2008 on the Solidarity Fund, |
| --- | --- |

—

having regard to Joint Declaration of the European Parliament, the Council and the Commission, adopted during the conciliation meeting on 17 July 2008 on the Solidarity Fund,

| — | having regard to the letter of the Committee on Regional Development, |
| --- | --- |

—

having regard to the letter of the Committee on Regional Development,

| — | having regard to the report of the Committee on Budgets (A7-0369/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0369/2013),

| 1. | Approves the decision annexed to this resolution; |
| --- | --- |

1.

Approves the decision annexed to this resolution;

| 2. | Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

2.

Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

| 3. | Instructs its President to forward this resolution, including its annex, to the Council and the Commission. |
| --- | --- |

3.

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

---

(1)  OJ C 139, 14.6.2006, p. 1.

(2)  OJ L 311, 14.11.2002, p. 3.

---

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the EU Solidarity Fund

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2014/95/EU.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/204 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/204

---

P7_TA(2013)0476

Mobilisation of the Flexibility Instrument to complement the financing in the general budget of the EU for 2013 towards the financing of the European Social Fund to increase allocations to France, Italy and Spain

European Parliament resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument (COM(2013)0559 — C7-0235/2013 — 2013/2159(BUD))

(2016/C 436/31)

The European Parliament,

| — | having regard to the general budget of the European Union for the financial year 2013 as definitively adopted on 12 December 2012 (1), |
| --- | --- |

—

having regard to the general budget of the European Union for the financial year 2013 as definitively adopted on 12 December 2012 (1),

| — | having regard to Draft amending budget No 7/2013, which the Commission submitted on 25 July 2013 (COM(2013)0557), |
| --- | --- |

—

having regard to Draft amending budget No 7/2013, which the Commission submitted on 25 July 2013 (COM(2013)0557),

| — | having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (2), and in particular point 27 thereof, |
| --- | --- |

—

having regard to the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (2), and in particular point 27 thereof,

| — | having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0559 — C7-0235/2013), |
| --- | --- |

—

having regard to the Commission proposal to the European Parliament and the Council (COM(2013)0559 — C7-0235/2013),

| — | having regard to Council's position adopted on 7 October 2013, |
| --- | --- |

—

having regard to Council's position adopted on 7 October 2013,

| — | having regard to the report of the Committee on Budgets (A7-0370/2013), |
| --- | --- |

—

having regard to the report of the Committee on Budgets (A7-0370/2013),

| A. | whereas, after having examined all possibilities for reallocating commitment appropriations under heading 1b, it appears necessary to mobilise the Flexibility Instrument, |
| --- | --- |

A.

whereas, after having examined all possibilities for reallocating commitment appropriations under heading 1b, it appears necessary to mobilise the Flexibility Instrument,

| B. | whereas the Commission has proposed to mobilise the Flexibility Instrument to complement the financing in the general budget of the European Union for the financial year 2013, beyond the ceiling of heading 1b, of EUR 134 049 037 towards the financing of the European Social Fund (ESF) to increase the allocations to France, Italy and Spain for the year 2013 by a total amount of EUR 150 million, |
| --- | --- |

B.

whereas the Commission has proposed to mobilise the Flexibility Instrument to complement the financing in the general budget of the European Union for the financial year 2013, beyond the ceiling of heading 1b, of EUR 134 049 037 towards the financing of the European Social Fund (ESF) to increase the allocations to France, Italy and Spain for the year 2013 by a total amount of EUR 150 million,

| 1. | Takes note of Commission's proposal to exceed the 2013 ceiling for heading 1b by EUR 134 049 037, with a view to increasing ESF allocations to France, Italy and Spain for the year 2013 by a total amount of EUR 150 million, and to mobilise the Flexibility Instrument accordingly; |
| --- | --- |

1.

Takes note of Commission's proposal to exceed the 2013 ceiling for heading 1b by EUR 134 049 037, with a view to increasing ESF allocations to France, Italy and Spain for the year 2013 by a total amount of EUR 150 million, and to mobilise the Flexibility Instrument accordingly;

| 2. | Agrees with the mobilisation of the Flexibility Instrument in commitment appropriations, up to an amount of EUR 134 049 037, for the financing of those additional allocations under heading 1b; |
| --- | --- |

2.

Agrees with the mobilisation of the Flexibility Instrument in commitment appropriations, up to an amount of EUR 134 049 037, for the financing of those additional allocations under heading 1b;

| 3. | Approves the decision annexed to this resolution; |
| --- | --- |

3.

Approves the decision annexed to this resolution;

| 4. | Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union; |
| --- | --- |

4.

Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

| 5. | Instructs its President to forward this resolution, including its annex, to the Council and the Commission. |
| --- | --- |

5.

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

---

(1)  OJ L 66, 8.3.2013.

(2)  OJ C 139, 14.6.2006, p. 1.

---

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the Flexibility Instrument

(The text of this annex is not reproduced here since it corresponds to the final act, Decision 2014/94/EU.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/206 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/206

---

P7_TA(2013)0477

European satellite navigation systems ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the implementation and exploitation of European satellite navigation systems (COM(2011)0814 — C7-0464/2011 — 2011/0392(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/32)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0814), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0814),

| — | 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 (C7-0464/2011), |
| --- | --- |

—

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 (C7-0464/2011),

| — | 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 opinion of the European Economic and Social Committee of 28 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 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 11 September 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 September 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 Foreign Affairs, the Committee on Budgets and the Committee on Transport and Tourism (A7-0321/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, the Committee on Budgets and the Committee on Transport and Tourism (A7-0321/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution;

| 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.

---

(1)  OJ C 181, 21.6.2012, p. 179.

---

P7_TC1-COD(2011)0392

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council 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

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1285/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint declaration by the European Parliament, the Council and the European Commission

on

the GALILEO INTERINSTITUTIONAL PANEL (GIP)

| 1. | In view of the importance, uniqueness and complexity of the European GNSS programmes, the Union ownership of systems resulting from the programmes, the full financing of the Union budget of the programmes for the period 2014-2020, the European Parliament, the Council, and the European Commission recognise the need for close cooperation of the three institutions. |
| --- | --- |

1.

In view of the importance, uniqueness and complexity of the European GNSS programmes, the Union ownership of systems resulting from the programmes, the full financing of the Union budget of the programmes for the period 2014-2020, the European Parliament, the Council, and the European Commission recognise the need for close cooperation of the three institutions.

| 2. | A Galileo Interinstitutional Panel (GIP) will meet with the objective to facilitate each institution exercising its respective responsibility. To this end, the GIP will be set up in order to follow closely:






  (a) | the progress on the implementation of the European GNSS programmes, in particular with regard to the implementation of the procurement and the contract agreements, in particular with regard to the ESA; |
| --- | --- | --- |

2.

A Galileo Interinstitutional Panel (GIP) will meet with the objective to facilitate each institution exercising its respective responsibility. To this end, the GIP will be set up in order to follow closely:

(a)

the progress on the implementation of the European GNSS programmes, in particular with regard to the implementation of the procurement and the contract agreements, in particular with regard to the ESA;

| (b) | the International Agreements with third countries without prejudice to the provisions of Article 218 of the Treaty on the Functioning of the European Union; |
| --- | --- |

(b)

the International Agreements with third countries without prejudice to the provisions of Article 218 of the Treaty on the Functioning of the European Union;

| (c) | the preparation of satellite navigation markets; |
| --- | --- |

(c)

the preparation of satellite navigation markets;

| (d) | the effectiveness of the governance arrangements; and |
| --- | --- |

(d)

the effectiveness of the governance arrangements; and

| (e) | the annual review of the work programme. |
| --- | --- |

(e)

the annual review of the work programme.

| 3. | In accordance with existing rules, the GIP will respect the need for discretion in particular in view of the commercial-in-confidence and sensitive nature of certain data. |
| --- | --- |

3.

In accordance with existing rules, the GIP will respect the need for discretion in particular in view of the commercial-in-confidence and sensitive nature of certain data.

| 4. | The Commission will take account of the views expressed by the GIP. |
| --- | --- |

4.

The Commission will take account of the views expressed by the GIP.

| 5. | The GIP will be composed of seven representatives, of which:






  — | three from the Council, |
| --- | --- | --- |

5.

The GIP will be composed of seven representatives, of which:

—

three from the Council,

| — | three from the EP, |
| --- | --- |

—

three from the EP,

| — | one from the Commission,
  and will meet on a regular basis (in principle four times per year). |
| --- | --- |

—

one from the Commission,

and will meet on a regular basis (in principle four times per year).

| 6. | The GIP does not affect the established responsibilities or interinstitutional relationships. |
| --- | --- |

6.

The GIP does not affect the established responsibilities or interinstitutional relationships.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/208 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/208

---

P7_TA(2013)0478

Macro-financial assistance to Jordan ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a decision of the European Parliament and of the Council providing macro-financial assistance to the Hashemite Kingdom of Jordan (COM(2013)0242 — C7-0119/2013 — 2013/0128(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/33)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0242), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0242),

| — | having regard to Article 294(2) and Article 212 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0119/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 212 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0119/2013),

| — | 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 29 October 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 October 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 International Trade and the opinions of the Committee on Foreign Affairs and the Committee on Budgets (A7-0335/2013), |
| --- | --- |

—

having regard to the report of the Committee on International Trade and the opinions of the Committee on Foreign Affairs and the Committee on Budgets (A7-0335/2013),

| 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.

---

P7_TC1-COD(2013)0128

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on providing macro-financial assistance to the Hashemite Kingdom of Jordan

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Decision No 1351/2013/EU.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/209 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/209

---

P7_TA(2013)0479

EU-Russia agreement on drug precursors ***

European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion, on behalf of the European Union, of the Agreement between the European Union and the Russian Federation on drug precursors (12221/2013 — C7-0308/2013 — 2013/0005(NLE))

(Consent)

(2016/C 436/34)

The European Parliament,

| — | having regard to the draft Council decision (12221/2013), |
| --- | --- |

—

having regard to the draft Council decision (12221/2013),

| — | having regard to the draft agreement between the European Union and the Russian Federation on drug precursors (08178/2013), |
| --- | --- |

—

having regard to the draft agreement between the European Union and the Russian Federation on drug precursors (08178/2013),

| — | having regard to the request for consent submitted by the Council in accordance with Article 207(4) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0308/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Article 207(4) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0308/2013),

| — | 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 Legal Affairs (A7-0342/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on Legal Affairs (A7-0342/2013),

| 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 Russian Federation. |
| --- | --- |

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 Russian Federation.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/210 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/210

---

P7_TA(2013)0480

Third States and organisations with which Europol shall conclude agreements *

European Parliament legislative resolution of 20 November 2013 on the draft Council decision amending Decision 2009/935/JHA as regards the list of third States and organisations with which Europol shall conclude agreements (16229/2012 — C7-0011/2013 — 2013/0801(CNS))

(Consultation)

(2016/C 436/35)

The European Parliament,

| — | having regard to the draft Council decision (16229/2012), |
| --- | --- |

—

having regard to the draft Council decision (16229/2012),

| — | having regard to Council Decision 2009/371/JHA of 6 April 2009 establishing the European Police Office (Europol) (1), and in particular Article 26(1)(a) thereof, pursuant to which the Council consulted Parliament (C7-0011/2013), |
| --- | --- |

—

having regard to Council Decision 2009/371/JHA of 6 April 2009 establishing the European Police Office (Europol) (1), and in particular Article 26(1)(a) thereof, pursuant to which the Council consulted Parliament (C7-0011/2013),

| — | having regard to Council Decision 2009/934/JHA of 30 November 2009 adopting the implementing rules governing Europol’s relations with partners, including the exchange of personal data and classified information (2), |
| --- | --- |

—

having regard to Council Decision 2009/934/JHA of 30 November 2009 adopting the implementing rules governing Europol’s relations with partners, including the exchange of personal data and classified information (2),

| — | having regard to Council Decision 2009/935/JHA of 30 November 2009 determining the list of third States and organisations with which Europol shall conclude agreements (3), |
| --- | --- |

—

having regard to Council Decision 2009/935/JHA of 30 November 2009 determining the list of third States and organisations with which Europol shall conclude agreements (3),

| — | 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 (A7-0351/2013), |
| --- | --- |

—

having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A7-0351/2013),

| 1. | Rejects the draft Council decision; |
| --- | --- |

1.

Rejects the draft Council decision;

| 2. | Calls on the Council not to adopt the decision, as the Commission recently proposed a new regulation for Europol (Commission proposal of 27 March 2013 for a regulation 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)), under which the provisions and the procedure for concluding agreements with third States and organisations are to be modified; therefore there should not be any amendments to the measures implementing Decision 2009/371/JHA; |
| --- | --- |

2.

Calls on the Council not to adopt the decision, as the Commission recently proposed a new regulation for Europol (Commission proposal of 27 March 2013 for a regulation 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)), under which the provisions and the procedure for concluding agreements with third States and organisations are to be modified; therefore there should not be any amendments to the measures implementing Decision 2009/371/JHA;

| 3. | Calls on the Director and the Management Board of Europol to refrain, in the event of the draft Council decision being adopted, from starting any negotiations on operational agreements with any of the countries listed in it since the level of data protection is inadequate in some of the countries listed in the draft Council decision and the basic right to protection of personal data cannot be ensured; stresses that robust safeguards to protect privacy and fundamental rights must be guaranteed where any personal data are exchanged with third States or international organisations; |
| --- | --- |

3.

Calls on the Director and the Management Board of Europol to refrain, in the event of the draft Council decision being adopted, from starting any negotiations on operational agreements with any of the countries listed in it since the level of data protection is inadequate in some of the countries listed in the draft Council decision and the basic right to protection of personal data cannot be ensured; stresses that robust safeguards to protect privacy and fundamental rights must be guaranteed where any personal data are exchanged with third States or international organisations;

| 4. | Instructs its President to forward its position to the Council, the Commission and Europol. |
| --- | --- |

4.

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

---

(1)  OJ L 121, 15.5.2009, p. 37.

(2)  OJ L 325, 11.12.2009, p. 6.

(3)  OJ L 325, 11.12.2009, p. 12.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/211 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/211

---

P7_TA(2013)0481

Legal framework for a European Research Infrastructures Consortium *

European Parliament legislative resolution of 20 November 2013 on the proposal for a Council regulation amending Regulation (EC) No 723/2009 concerning the Community legal framework for a European Research Infrastructures Consortium (ERIC) (COM(2012)0682 — C7-0421/2012 — 2012/0321(NLE))

(Consultation)

(2016/C 436/36)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2012)0682), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2012)0682),

| — | having regard to Articles 187 and 188 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0421/2012), |
| --- | --- |

—

having regard to Articles 187 and 188 of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0421/2012),

| — | having regard to Rule 55 and Rule 46(1) of its Rules of Procedure, |
| --- | --- |

—

having regard to Rule 55 and Rule 46(1) of its Rules of Procedure,

| — | having regard to the report of the Committee on Industry, Research and Energy (A7-0331/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy (A7-0331/2013),

| 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 and the Commission. |
| --- | --- |

4.

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

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/212 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/212

---

P7_TA(2013)0482

Common provisions on European funds ***I

European Parliament legislative resolution of 20 November 2013 on the amended proposal 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 Council Regulation (EC) No 1083/2006 (COM(2013)0246 — C7-0107/2013 — 2011/0276(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/37)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0615) and the amended COM proposals (COM(2012)0496, COM(2013)0146 and COM(2013)0246), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0615) and the amended COM proposals (COM(2012)0496, COM(2013)0146 and COM(2013)0246),

| — | having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0107/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0107/2013),

| — | 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Italian Chamber of Deputies, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 Italian Chamber of Deputies, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinions of the European Economic and Social Committee of 25 April 2012, 12 December 2012 and 22 May 2013 (1), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 25 April 2012, 12 December 2012 and 22 May 2013 (1),

| — | having regard to the opinions of the Committee of the Regions of 3 May 2012 and of 29 November 2012 (2), |
| --- | --- |

—

having regard to the opinions of the Committee of the Regions of 3 May 2012 and of 29 November 2012 (2),

| — | having regard to the opinions of the Court of Auditors of 15 December 2011, of 13 December 2012 and of 18 July 2013 (3), |
| --- | --- |

—

having regard to the opinions of the Court of Auditors of 15 December 2011, of 13 December 2012 and of 18 July 2013 (3),

| — | having regard to the undertaking given by the Council representative by letter of 18 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 18 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 Regional Development and the opinions of the Committee on Employment and Social Affairs and of the Committee on Budgets, Committee on Budgetary Control, Committee on Economic and Monetary Affairs, Committee on 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, the Committee on Culture and Education and the Committee on Women's Rights and Gender Equality (A7-0274/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development and the opinions of the Committee on Employment and Social Affairs and of the Committee on Budgets, Committee on Budgetary Control, Committee on Economic and Monetary Affairs, Committee on 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, the Committee on Culture and Education and the Committee on Women's Rights and Gender Equality (A7-0274/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statements annexed to this resolution; |
| --- | --- |

2.

Approves the joint statements annexed to this resolution;

| 3. | Takes note of the Council and Commission statements annexed to this resolution; |
| --- | --- |

3.

Takes note of the Council and Commission statements 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.

---

(1)  OJ C 191, 29.6.2012, p. 30, OJ C 44, 15.2.2013, p. 76, and OJ C 271, 19.9.2013, p. 101.

(2)  OJ C 225, 27.7.2012, p. 58, and OJ C 17, 19.1.2013, p. 56.

(3)  OJ C 47, 17.2.2012, p. 1, OJ C 13, 16.1.2013, p. 1, and OJ C 267, 17.9.2013, p. 1.

---

P7_TC1-COD(2011)0276

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 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 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

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1303/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint Statement by the European Parliament, the Council and the Commission on the revision of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council linked with the reconstitution of appropriations

The European Parliament, the Council and the Commission agree to include in the revision of the Financial Regulation, aligning Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council to the Multiannual Financial Framework 2014-20, provisions necessary for the application of the arrangements for the allocation of the performance reserve and in relation to the implementation of financial instruments under Article 39 (SME initiative) under the Regulation laying down common provisions for the European Structural and Investment Funds concerning the reconstitution of:

| i. | appropriations which had been committed to programmes in relation to the performance reserve and which had to be decommitted as a result of priorities under these programmes not having attained their milestones and; |
| --- | --- |

i.

appropriations which had been committed to programmes in relation to the performance reserve and which had to be decommitted as a result of priorities under these programmes not having attained their milestones and;

| ii. | appropriations which had been committed in relation to dedicated programmes referred to under Article 39(4)(b) and which had to be de-committed because the participation of a Member State in the financial instrument had to be discontinued. |
| --- | --- |

ii.

appropriations which had been committed in relation to dedicated programmes referred to under Article 39(4)(b) and which had to be de-committed because the participation of a Member State in the financial instrument had to be discontinued.

Joint Statement by the European Parliament, the Council and the Commission on Article 1

If further justified derogations to the common rules are needed to take into account specificities of the EMFF and of the EAFRD, the European Parliament, the Council and the European Commission commit to allow for these derogations by proceeding with due diligence to the necessary modifications to the Regulation laying down common provisions for the European Structural and Investment Funds.

Joint Statement by the European Parliament and the Council on the exclusion of any retroactivity with regard to the application of Article 5(3)

The European Parliament and the Council agree that:

| — | concerning the application of Articles 14(2), 15(1)(c), and 26(2) of the Regulation laying down common provisions for the European Structural and Investment Funds, the actions taken by the Member States to involve the partners referred to in Article 5(1) in the preparation of the Partnership Agreement and the programmes referred to in Article 5 (2) include all actions taken on a practical level by the Member States irrespective of their timing as well as actions taken by them before the entry into force of that Regulation and before the day of the entry into force of the delegated act for a European code of conduct adopted in accordance with Article 5(3) of the same Regulation, during the preparatory phases of a Member State programming procedure, provided that the objectives of the partnership principle, laid down in that Regulation, are achieved. In this context, Member States, in accordance with their national and regional competences, will decide on the content of both, the proposed Partnership Agreement and proposed draft programmes, in accordance with the relevant provisions of that Regulation and the fund specific rules; |
| --- | --- |

—

concerning the application of Articles 14(2), 15(1)(c), and 26(2) of the Regulation laying down common provisions for the European Structural and Investment Funds, the actions taken by the Member States to involve the partners referred to in Article 5(1) in the preparation of the Partnership Agreement and the programmes referred to in Article 5 (2) include all actions taken on a practical level by the Member States irrespective of their timing as well as actions taken by them before the entry into force of that Regulation and before the day of the entry into force of the delegated act for a European code of conduct adopted in accordance with Article 5(3) of the same Regulation, during the preparatory phases of a Member State programming procedure, provided that the objectives of the partnership principle, laid down in that Regulation, are achieved. In this context, Member States, in accordance with their national and regional competences, will decide on the content of both, the proposed Partnership Agreement and proposed draft programmes, in accordance with the relevant provisions of that Regulation and the fund specific rules;

| — | the delegated act laying down a European code of conduct, adopted in accordance with Article 5(3), will under no circumstances and neither directly nor indirectly have any retroactive effect, especially concerning the approval procedure of the Partnership Agreement and the programmes, since it is not the intention of the EU legislature to confer any powers on the Commission to the effect that it could reject the approval of the Partnership Agreement and programmes solely and exclusively based on any kind of non-compliance with the European code of conduct, adopted in accordance with Article 5(3); |
| --- | --- |

—

the delegated act laying down a European code of conduct, adopted in accordance with Article 5(3), will under no circumstances and neither directly nor indirectly have any retroactive effect, especially concerning the approval procedure of the Partnership Agreement and the programmes, since it is not the intention of the EU legislature to confer any powers on the Commission to the effect that it could reject the approval of the Partnership Agreement and programmes solely and exclusively based on any kind of non-compliance with the European code of conduct, adopted in accordance with Article 5(3);

| — | the European Parliament and the Council invite the Commission to make available for them the draft text of the delegated act to be adopted under Article 5(3) as early as possible, but not later than the date when the political agreement on the Regulation laying down common provisions for the European Structural and Investment Funds is adopted by the Council or the date when the draft report on that regulation is voted at the plenary of the European Parliament, whichever date is the earliest. |
| --- | --- |

—

the European Parliament and the Council invite the Commission to make available for them the draft text of the delegated act to be adopted under Article 5(3) as early as possible, but not later than the date when the political agreement on the Regulation laying down common provisions for the European Structural and Investment Funds is adopted by the Council or the date when the draft report on that regulation is voted at the plenary of the European Parliament, whichever date is the earliest.

Joint Statement by the Council and the Commission on Article 145(7)

The Council and the Commission confirm that for the purpose of Article 145(7) the reference to the term ‘applicable law’ in relation to the assessment of serious deficiencies in the effective functioning of management and control systems includes interpretations of this law made by the Court of Justice of the European Union, by the General Court of the European Union or by the Commission (including Commission interpretative notes) applicable at the date when the relevant management declarations, annual control reports and audit opinions were submitted to the Commission.

Statement of the European Parliament on the application of Article 5

The European Parliament takes note of the information transmitted on 19 December 2012 by the Presidency following COREPER debates through which the Member States stated their intention to take into account in the preparatory stage of programming as far as possible the principles of the draft Regulation laying down common provisions for the European Structural and Investment Funds as the draft Regulation stood at the time of that transmission of information concerning the strategic programming bloc including the spirit and the content of the principle of partnership as laid down in Article 5.

Statement by the Commission on Article 22

| 1. | The Commission considers that the principal purpose of the performance framework is to stimulate effective delivery of programmes to attain the planned results and that the measures in paragraphs 6 and 7 should be applied with due regard for that purpose. |
| --- | --- |

1.

The Commission considers that the principal purpose of the performance framework is to stimulate effective delivery of programmes to attain the planned results and that the measures in paragraphs 6 and 7 should be applied with due regard for that purpose.

| 2. | Where the Commission has suspended all or part of interim payments for a priority under paragraph 6, the Member State may continue to submit requests for payment in relation to the priority in order to avoid decommitment for the programme under Article 86. |
| --- | --- |

2.

Where the Commission has suspended all or part of interim payments for a priority under paragraph 6, the Member State may continue to submit requests for payment in relation to the priority in order to avoid decommitment for the programme under Article 86.

| 3. | The Commission confirms that it will apply the provisions of Article 22(7) so that there will be no double loss of funds in relation to underachievement of targets linked to under-absorption of funds under a priority. Where part of commitments to a programme have been decommitted as a result of the application of Articles 86 to 88 with a consequent reduction in the amount of support for the priority, or where at the end of the programming period there is underspending of the amount allocated to the priority, the relevant targets set out in the performance framework shall be adjusted pro-rata for the purpose of the application of Article 22(7). |
| --- | --- |

3.

The Commission confirms that it will apply the provisions of Article 22(7) so that there will be no double loss of funds in relation to underachievement of targets linked to under-absorption of funds under a priority. Where part of commitments to a programme have been decommitted as a result of the application of Articles 86 to 88 with a consequent reduction in the amount of support for the priority, or where at the end of the programming period there is underspending of the amount allocated to the priority, the relevant targets set out in the performance framework shall be adjusted pro-rata for the purpose of the application of Article 22(7).

Statement of the Commission in relation to the compromise text on indicators

The Commission confirms that it will complete its guidance documents on the common indicators for ERDF, ESF, Cohesion Fund and European Territorial Cooperation in consultation with the respective evaluation networks comprising national evaluation experts within 3 months of the adoption of the Regulations. These guidance documents will include definitions of each common indicator and methodologies for gathering and reporting data on the common indicators.

Statement by the Commission on the amendment of Partnership agreements and programmes in the context of Article 23

The Commission considers that, notwithstanding the provisions of Article 23(4) and (5), it may when necessary make observations on proposals for the amendment of Partnership Agreements and programmes submitted by Member States pursuant to Article 23(4), in particular where these are not consistent with the prior response submitted by those Member States pursuant to Article 23(3), and in any event on the basis of Articles 16 and 30. It considers that the deadline of three months for the adoption of the decision approving the amendments to the Partnership Agreement and the relevant programmes set out in Article 23(5) runs from the submission of the proposals for amendments pursuant to paragraph 4 provided that these take adequately account of any observations made by the Commission.

Statement by the Commission on the impact of the agreement reached by the co-legislators on the performance reserve and pre-financing levels on the payment ceilings

The Commission considers that the additional payment appropriations, which may be required in 2014 -2020, as a result of the changes introduced for the performance reserve and pre financing, remain limited.

The consequences should be manageable respecting the draft MFF Regulation.

The annual fluctuations in the global level of payments, including those generated by the changes referred to, will be managed through the use of the global margin for payments and the special instruments agreed upon in the draft MFF Regulation.

The Commission will monitor the situation closely and present its evaluation as part of the mid-term review.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/216 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/216

---

P7_TA(2013)0483

European Social Fund ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the European Social Fund and repealing Regulation (EC) No 1081/2006 (COM(2011)0607/2 — C7-0327/2011 — 2011/0268(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/38)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0607/2), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0607/2),

| — | having regard to Article 294(2) and Article 164 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0327/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 164 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0327/2011),

| — | 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 opinions of the European Economic and Social Committee of 22 February 2012 (1) and 22 May 2013 (2), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 22 February 2012 (1) and 22 May 2013 (2),

| — | having regard to the opinion of the Committee of the Regions of 3 May 2012 (3), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 May 2012 (3),

| — | having regard to the undertaking given by the Council representative by letter of 14 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 14 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 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 Culture and Education and the Committee on Women’s Rights and Gender Equality (A7-0250/2012), |
| --- | --- |

—

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 Culture and Education and the Committee on Women’s Rights and Gender Equality (A7-0250/2012),

| 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 143, 22.5.2012, p. 82.

(2)  OJ C 271, 19.9.2013, p. 101.

(3)  OJ C 225, 27.7.2012, p. 127.

---

P7_TC1-COD(2011)0268

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Social Fund and repealing Council Regulation (EC) No 1081/2006

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1304/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/217 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/217

---

P7_TA(2013)0484

European Regional Development Fund and the ‘Investment for growth and jobs’ goal ***I

European Parliament legislative resolution of 20 November 2013 on the proposal 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 — C7-0328/2011 — 2011/0275(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/39)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0614), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0614),

| — | having regard to Article 294(2) and Articles 178 and 349 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0328/2011), |
| --- | --- |

—

having regard to Article 294(2) and Articles 178 and 349 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0328/2011),

| — | 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 opinion of the European Economic and Social Committee of 25 April 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 3 May 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 May 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 18 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 18 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 Regional Development and the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0268/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development and the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0268/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement of the European Parliament and of the Council annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement of the European Parliament and of the Council annexed to this resolution;

| 3. | Takes note of the statement of the Commission annexed to this resolution; |
| --- | --- |

3.

Takes note of the statement of 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.

---

(1)  OJ C 191, 29.6.2012, p. 44.

(2)  OJ C 225, 27.7.2012, p. 114.

---

P7_TC1-COD(2011)0275

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the European Regional Development Fund and on specific provisions concerning the Investment for growth and jobs goal and repealing Regulation (EC) No 1080/2006

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1301/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement of the European Parliament and of the Council concerning the application of Article 6 of the ERDF Regulation, Article 15 of the ETC Regulation and Article 4 of the Cohesion Fund Regulation

The European Parliament and the Council note the assurance provided by the Commission to the EU legislature that the common output indicators for the ERDF Regulation, the ETC Regulation and the Cohesion Fund Regulation to be included in an annex to, respectively, each regulation, are the outcome of a lengthy preparatory process involving the evaluation experts of both the Commission and the Member States and, in principle, are expected to remain stable.

Statement of the Commission

The Commission shares the objective expressed by the European Parliament of simplifying state aid procedures as regards operating aid granted to undertakings established in the outermost regions which are linked to the offsetting of the additional costs incurred in such regions as a result of their specific economic and social situation.

According to the proposal for the future General Block Exemption Regulation (GBER) as recently published by the Commission services (1), operating aid intended to compensate certain additional costs incurred by beneficiaries established in these regions (2) would be considered compatible with the internal market, under the conditions stipulated therein, and would thus be exempted from notification under Article 108(3) TFEU. The Commission considers that this will provide a sound basis for achieving the simplification which is sought, and will take full account of all observations received from Member States in the on-going consultation process in view of the adoption of the Regulation in 2014.

---

(1)  http://ec.europa.eu/competition/consultations/2013_gber/index_en.html

(2)  Transport costs of goods produced in the outermost regions, additional production and operating costs other than transport costs.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/219 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/219

---

P7_TA(2013)0485

European Regional Development Fund and the ‘European territorial cooperation’ goal ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal (COM(2011)0611 — C7-0326/2011 — 2011/0273(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/40)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0611), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0611),

| — | having regard to Article 294(2) and Article 178 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0326/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 178 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0326/2011),

| — | 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 opinion of the European Economic and Social Committee of 25 April 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 19 July 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 19 July 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 18 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 18 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 Regional Development and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Transport and Tourism (A7-0280/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development and the opinions of the Committee on Budgets, the Committee on Budgetary Control and the Committee on Transport and Tourism (A7-0280/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement of the European Parliament and of the Council annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement of the European Parliament and of the Council annexed to this resolution;

| 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.

---

(1)  OJ C 191, 29.6.2012, p. 49.

(2)  OJ C 277, 13.9.2012, p. 96.

---

P7_TC1-COD(2011)0273

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1299/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement of the European Parliament and of the Council concerning the application of Article 6 of the ERDF Regulation, Article 15 of the ETC Regulation and Article 4 of the Cohesion Fund Regulation

The European Parliament and the Council note the assurance provided by the Commission to the EU legislature that the common output indicators for the ERDF Regulation, the ETC Regulation and the Cohesion Fund Regulation to be included in an annex to, respectively, each regulation, are the outcome of a lengthy preparatory process involving the evaluation experts of both the Commission and the Member States and, in principle, are expected to remain stable.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/221 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/221

---

P7_TA(2013)0486

Cohesion Fund ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006 (COM(2011)0612 — C7-0325/2011 — 2011/0274(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/41)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0612), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0612),

| — | having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0325/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0325/2011),

| — | 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 opinion of the European Economic and Social Committee of 25 April 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 3 May 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 May 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 18 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 18 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 Regional Development and the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0270/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development and the opinions of the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Industry, Research and Energy and the Committee on Transport and Tourism (A7-0270/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement of the European Parliament and of the Council annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement of the European Parliament and of the Council annexed to this resolution;

| 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.

---

(1)  OJ C 191, 29.6.2012, p. 38.

(2)  OJ C 225, 27.7.2012, p. 143.

---

P7_TC1-COD(2011)0274

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the Cohesion Fund and repealing Council Regulation (EC) No 1084/2006

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1300/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement of the European Parliament and of the Council concerning the application of Article 6 of the ERDF Regulation, Article 15 of the ETC Regulation and Article 4 of the Cohesion Fund Regulation

The European Parliament and the Council note the assurance provided by the Commission to the EU legislature that the common output indicators for the ERDF Regulation, the ETC Regulation and the Cohesion Fund Regulation to be included in an annex to, respectively, each regulation, are the outcome of a lengthy preparatory process involving the evaluation experts of both the Commission and the Member States and, in principle, are expected to remain stable.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/223 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/223

---

P7_TA(2013)0487

European grouping of territorial cooperation ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and implementation of such groupings (COM(2011)0610/2 — C7-0324/2011 — 2011/0272(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/42)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0610/2), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0610/2),

| — | having regard to Article 294(2), Article 175(3), Article 209(1) and Article 212(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0324/2011), |
| --- | --- |

—

having regard to Article 294(2), Article 175(3), Article 209(1) and Article 212(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0324/2011),

| — | 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 Article 175(3) of the Treaty on the Functioning of the European Union, |
| --- | --- |

—

having regard to Article 294(3) and Article 175(3) of the Treaty on the Functioning of the European Union,

| — | having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 15 February 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 15 February 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 19 September 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 19 September 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 and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 37 of its Rules of Procedure,

| — | having regard to the report of the Committee on Regional Development (A7-0309/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development (A7-0309/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statements of the European Parliament, the Council and the Commission, annexed to this resolution; |
| --- | --- |

2.

Approves the joint statements of the European Parliament, the Council and the Commission, annexed to this resolution;

| 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.

---

(1)  OJ C 191, 29.6.2012, p. 53.

(2)  OJ C 113, 18.4.2012, p. 22.

---

P7_TC1-COD(2011)0272

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 1082/2006 on a European grouping of territorial cooperation (EGTC) as regards the clarification, simplification and improvement of the establishment and functioning of such groupings

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1302/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

Joint statement of the European Parliament, the Council and the Commission relating to awareness raising and Article 4 and 4a of the EGTC Regulation

The European Parliament, the Council and the Commission agree to undertake better coordinated efforts for awareness raising among and inside the institutions and Member States in order to improve the visibility of the possibilities to use EGTCs as an optional instrument available for territorial cooperation in all EU policy areas.

In this context, the European Parliament, the Council and the Commission invite Member States in particular to undertake appropriate actions of coordination and communication among national authorities and between authorities of different Member States in order to ensure clear, efficient and transparent procedures of authorisation of new EGTCs within the time limits fixed.

Joint statement of the European Parliament, the Council and the Commission relating to Article 1(9) of the EGTC regulation

The European Parliament, the Council and the Commission agree that when applying Article 9(2)(i) of Regulation (EU) No 1082/2006 as amended, the Member States will endeavour, when assessing the rules to be applicable to the EGTC staff members as proposed in the draft convention, to consider the different available employment regime options to be chosen by the EGTC, be it under private or public law.

Where employment contracts for EGTC staff members are governed by private law, Member States will also take into account relevant EU law, such as Regulation (EC) No 593/2008 of the EP and the Council of 17 June 2008 on the law applicable to contractual obligations (Rome I), as well as the related legal practice of the other Member States represented in the EGTC.

The European Parliament, the Council and the Commission further understand that where employment contracts for EGTC staff members are governed by public law, national public law rules will be those of the Member State where the respective EGTC organ is located. However, national public law rules of the Member State where the EGTC is registered may apply as regards EGTC staff members already subject to these rules prior to becoming an EGTC staff member.

Joint statement of the European Parliament, the Council and the Commission relating to the role of the Committee of the Regions in the framework of the EGTC platform

The European Parliament, the Council and the Commission take note of the valuable work carried out by the Committee of the Regions in the framework of the EGTC Platform overseen by it and encourage the Committee of the Regions to further track the activities of existing EGTCs and those in the process of being set up, organise an exchange of best practice and identify common issues.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/225 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/225

---

P7_TA(2013)0488

Gender balance among non-executive directors of companies listed on stock exchanges ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a directive of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures (COM(2012)0614 — C7-0382/2012 — 2012/0299(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/43)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0614), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0614),

| — | having regard to Article 294(2) and Article 157(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0382/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 157(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0382/2012),

| — | 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) 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 Czech Chamber of Deputies, the Netherlands Senate, the Netherlands House of Representatives, the Polish Sejm, the Polish Senate, the Swedish Parliament, the United Kingdom House of Commons 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 Czech Chamber of Deputies, the Netherlands Senate, the Netherlands House of Representatives, the Polish Sejm, the Polish Senate, the Swedish Parliament, the United Kingdom House of Commons 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, |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee,

| — | having regard to the opinion of the Committee of the Regions, |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions,

| — | having regard to Rules 55 and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 37 of its Rules of Procedure,

| — | having regard to the joint deliberations of the Committee on Legal Affairs 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 Legal Affairs 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 Legal Affairs and the Committee on Women's Rights and Gender Equality and the opinions of the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs and the Committee on the Internal Market and Consumer Protection (A7-0340/2013), |
| --- | --- |

—

having regard to the report of the Committee on Legal Affairs and the Committee on Women's Rights and Gender Equality and the opinions of the Committee on Economic and Monetary Affairs, the Committee on Employment and Social Affairs and the Committee on the Internal Market and Consumer Protection (A7-0340/2013),

| 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.

---

P7_TC1-COD(2012)0299

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council on improving the gender balance among non-executive directors of companies listed on stock exchanges and related measures

(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 157(3) 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) | Equality between women and men is one of the Union's founding values and core aims under Article 2 and Article 3(3) of the Treaty on European Union (TEU). Under the terms of Article 8 of the Treaty on the Functioning of the European Union (TFEU), the Union shall aim to eliminate inequalities, and to promote equality, between men and women in all its activities. Article 157(3) TFEU provides a legal basis for the adoption of Union measures to ensure the application of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation. |
| --- | --- |

(1)

Equality between women and men is one of the Union's founding values and core aims under Article 2 and Article 3(3) of the Treaty on European Union (TEU). Under the terms of Article 8 of the Treaty on the Functioning of the European Union (TFEU), the Union shall aim to eliminate inequalities, and to promote equality, between men and women in all its activities. Article 157(3) TFEU provides a legal basis for the adoption of Union measures to ensure the application of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation.

| (2) | The principle of positive action and its importance for achieving effective equality between women and men in practice are recognised in Article 157(4) TFEU and in Article 23 of the Charter of Fundamental Rights of the European Union (‘the Charter’), which provides that equality between women and men must be ensured in all areas and that the principle of equality shall not prevent the maintenance or adoption of measures providing for specific advantages in favour of the under-represented sex. |
| --- | --- |

(2)

The principle of positive action and its importance for achieving effective equality between women and men in practice are recognised in Article 157(4) TFEU and in Article 23 of the Charter of Fundamental Rights of the European Union (‘the Charter’), which provides that equality between women and men must be ensured in all areas and that the principle of equality shall not prevent the maintenance or adoption of measures providing for specific advantages in favour of the under-represented sex.

| (2a) | In order to achieve gender equality in the workplace, there must be a gender-balanced model of decision-making at all levels within the company concerned, whilst measures must also be taken to ensure the elimination of the gender pay gap, which contributes significantly to the feminisation of poverty. [Am. 1] |
| --- | --- |

(2a)

In order to achieve gender equality in the workplace, there must be a gender-balanced model of decision-making at all levels within the company concerned, whilst measures must also be taken to ensure the elimination of the gender pay gap, which contributes significantly to the feminisation of poverty. [Am. 1]

| (3) | Council Recommendation 84/635/EEC (3) recommended that Member States should take steps to ensure that positive action includes, as far as possible, actions having a bearing on active participation by women in decision-making bodies. Council Recommendation 96/694/EC (4) recommended that Member States should encourage the private sector to increase the presence of women at all levels of decision-making, notably by the adoption of, or within the framework of, equality plans and positive action programmes. |
| --- | --- |

(3)

Council Recommendation 84/635/EEC (3) recommended that Member States should take steps to ensure that positive action includes, as far as possible, actions having a bearing on active participation by women in decision-making bodies. Council Recommendation 96/694/EC (4) recommended that Member States should encourage the private sector to increase the presence of women at all levels of decision-making, notably by the adoption of, or within the framework of, equality plans and positive action programmes.

| (4) | In recent years the Commission has presented several reports taking stock of the situation concerning gender diversity in economic decision-making. (5) The Commission has encouraged publicly listed companies in the Union to increase the number of women

  members of the under-represented sex
  on their boards by self-regulatory measures and to make concrete voluntary commitments in that regard. (6) In its Women's Charter (7) of 5 March 2010, the Commission underlined that women still do not have full access to the sharing of power and decision-making in political and economic life and reaffirmed its commitment to use its powers to promote a fairer representation of women and men in positions of responsibility. Improving the gender balance in decision-making was defined by the Commission's strategy for equality between women and men 2010-2015 (8) as one of its priority tasks. [Am. 2] |
| --- | --- |

(4)

In recent years the Commission has presented several reports taking stock of the situation concerning gender diversity in economic decision-making. (5) The Commission has encouraged publicly listed companies in the Union to increase the number of women

  members of the under-represented sex
  on their boards by self-regulatory measures and to make concrete voluntary commitments in that regard. (6) In its Women's Charter (7) of 5 March 2010, the Commission underlined that women still do not have full access to the sharing of power and decision-making in political and economic life and reaffirmed its commitment to use its powers to promote a fairer representation of women and men in positions of responsibility. Improving the gender balance in decision-making was defined by the Commission's strategy for equality between women and men 2010-2015 (8) as one of its priority tasks. [Am. 2]

| (5) | In the European Pact for Gender Equality 2011-2020, which was adopted on 7 March 2011, the Council acknowledged that gender equality policies are vital to economic growth, prosperity and competitiveness, reaffirmed its commitment to close the gender gaps with a view to meeting the objectives of the Europe 2020 Strategy, especially in three areas of great relevance to gender equality, namely employment, education and social inclusion, and urged action to promote the equal participation of women and men in decision-making at all levels and in all fields, in order to make full use of all available talent
  , knowledge and ideas, thus enriching the diversity of human resources and improving business prospects
  . [Am. 3] |
| --- | --- |

(5)

In the European Pact for Gender Equality 2011-2020, which was adopted on 7 March 2011, the Council acknowledged that gender equality policies are vital to economic growth, prosperity and competitiveness, reaffirmed its commitment to close the gender gaps with a view to meeting the objectives of the Europe 2020 Strategy, especially in three areas of great relevance to gender equality, namely employment, education and social inclusion, and urged action to promote the equal participation of women and men in decision-making at all levels and in all fields, in order to make full use of all available talent
  , knowledge and ideas, thus enriching the diversity of human resources and improving business prospects
  . [Am. 3]

| (6) | The European Parliament, in its resolution on women and business leadership of 6 July 2011 (9), urged companies to attain the critical threshold of 30 % female membership of management bodies by 2015 and 40 % by 2020. It called on the Commission, if the steps taken by companies and the Member States were found to be inadequate, to propose legislation by 2012, including quotas
  , to be implemented on a temporary basis and to serve as catalysts for change and for rapid reforms designed to eliminate persisting gender inequalities and stereotypes in economic decision-making
  . The European Parliament reiterated that call for legislation in its resolution of 13 March 2012 on equality between women and men in the European Union — 2011 (10). [Am. 4] |
| --- | --- |

(6)

The European Parliament, in its resolution on women and business leadership of 6 July 2011 (9), urged companies to attain the critical threshold of 30 % female membership of management bodies by 2015 and 40 % by 2020. It called on the Commission, if the steps taken by companies and the Member States were found to be inadequate, to propose legislation by 2012, including quotas
  , to be implemented on a temporary basis and to serve as catalysts for change and for rapid reforms designed to eliminate persisting gender inequalities and stereotypes in economic decision-making
  . The European Parliament reiterated that call for legislation in its resolution of 13 March 2012 on equality between women and men in the European Union — 2011 (10). [Am. 4]

| (6a) | The Union institutions, bodies, offices and agencies, such asthe European Central Bank should lead by example as regards gender equality in decision-making, inter alia by setting objectives for a gender-balanced representation at all levels. Stringent rules on internal and external recruitment to all Union institutions, bodies, offices and agencies should be implemented and monitored without delay. Particular attention needs to be given to policies for the recruitment of senior management. The Union institutions, bodies, offices and agencies should each publish an annual report setting out their efforts to that end. [Am. 5] |
| --- | --- |

(6a)

The Union institutions, bodies, offices and agencies, such asthe European Central Bank should lead by example as regards gender equality in decision-making, inter alia by setting objectives for a gender-balanced representation at all levels. Stringent rules on internal and external recruitment to all Union institutions, bodies, offices and agencies should be implemented and monitored without delay. Particular attention needs to be given to policies for the recruitment of senior management. The Union institutions, bodies, offices and agencies should each publish an annual report setting out their efforts to that end. [Am. 5]

| (7) | The efficient use of human capital is the most important determinant of an economy's competitiveness
  , development and growth,
  and is key to addressing the Union's demographic challenges, to competing successfully in a globalised economy and to ensuring a comparative advantage vis-à-vis third countries. The pool of highly trained and qualified women is constantly growing as evidenced by the fact that 60 % of university graduates are female. A continued failure to draw on this pool in appointments to appointments to economic

  companies' management positions and
  decision-making positions would amount to a failure to fully exploit skilled human capital. [Am. 6] |
| --- | --- |

(7)

The efficient use of human capital is the most important determinant of an economy's competitiveness
  , development and growth,
  and is key to addressing the Union's demographic challenges, to competing successfully in a globalised economy and to ensuring a comparative advantage vis-à-vis third countries. The pool of highly trained and qualified women is constantly growing as evidenced by the fact that 60 % of university graduates are female. A continued failure to draw on this pool in appointments to appointments to economic

  companies' management positions and
  decision-making positions would amount to a failure to fully exploit skilled human capital. [Am. 6]

| (7a) | Companies and businesses should consider the creation of a pipeline of board- and management-ready women that encourages, supports and develops female talent at all levels and throughout their careers. [Am. 7] |
| --- | --- |

(7a)

Companies and businesses should consider the creation of a pipeline of board- and management-ready women that encourages, supports and develops female talent at all levels and throughout their careers. [Am. 7]

| (7b) | In order to ensure the promotion of gender equality, Member States should put in place provisions whereby men and women can combine work and family life, incorporating, in particular, flexible arrangements and support for those with care responsibilities. [Am. 8] |
| --- | --- |

(7b)

In order to ensure the promotion of gender equality, Member States should put in place provisions whereby men and women can combine work and family life, incorporating, in particular, flexible arrangements and support for those with care responsibilities. [Am. 8]

| (7c) | The attainment of gender equality in society as a whole entails the establishment of equal academic and professional rights for men and women, and of shared family, childcare and household responsibilities. The fact that women are typically responsible for the large majority of family and household chores may hinder their advancement to top professional positions. Active participation and involvement of men in family responsibilities is crucial for the attainment of a work-life balance and for the creation of equal career opportunities for both men and women. Attention should be paid to tackling gender stereotyping, inflexible and outdated employment policies and inadequate parental leave provisions. There should be measures in place enabling women and men to combine family and work life should they so wish. Member States should be encouraged to ensure the implementation of welfare elements such as fair parental leave allowances for both women and men, extensive provision for childcare and opportunities for shared parental leave. [Am. 9] |
| --- | --- |

(7c)

The attainment of gender equality in society as a whole entails the establishment of equal academic and professional rights for men and women, and of shared family, childcare and household responsibilities. The fact that women are typically responsible for the large majority of family and household chores may hinder their advancement to top professional positions. Active participation and involvement of men in family responsibilities is crucial for the attainment of a work-life balance and for the creation of equal career opportunities for both men and women. Attention should be paid to tackling gender stereotyping, inflexible and outdated employment policies and inadequate parental leave provisions. There should be measures in place enabling women and men to combine family and work life should they so wish. Member States should be encouraged to ensure the implementation of welfare elements such as fair parental leave allowances for both women and men, extensive provision for childcare and opportunities for shared parental leave. [Am. 9]

| (8) | At company level, it is widely acknowledged that the presence of women on boards improves corporate governance, because team performance and the quality of decision-making are enhanced due to a more diverse and collective mindset incorporating a wider range of perspectives
  as well as a more proactive business model, which
  therefore makes it possible to reach more balanced decisions
  , with a view to better reflecting societal and consumers' realities
  . Numerous studies have also shown that there is a positive relationship between gender diversity at top management level and a company's financial performance and profitability. Enhancing female representation on the boards of publicly listed companies in the Union
  , given the significant economic and social responsibility of such companies,
  can therefore have a positive impact on the
  economic
  performance of the companies concerned.
  Measures to encourage career progression for women at all levels of management should therefore be introduced and reinforced. [Am. 10] |
| --- | --- |

(8)

At company level, it is widely acknowledged that the presence of women on boards improves corporate governance, because team performance and the quality of decision-making are enhanced due to a more diverse and collective mindset incorporating a wider range of perspectives
  as well as a more proactive business model, which
  therefore makes it possible to reach more balanced decisions
  , with a view to better reflecting societal and consumers' realities
  . Numerous studies have also shown that there is a positive relationship between gender diversity at top management level and a company's financial performance and profitability. Enhancing female representation on the boards of publicly listed companies in the Union
  , given the significant economic and social responsibility of such companies,
  can therefore have a positive impact on the
  economic
  performance of the companies concerned.
  Measures to encourage career progression for women at all levels of management should therefore be introduced and reinforced. [Am. 10]

| (8a) | The appointment of women as board members is being hampered by a number of specific factors which can be overcome not only through sanctions but also through educational initiatives and incentives to promote good practices. First, it is essential to heighten awareness in business schools and universities of the benefits of gender equality in making companies more competitive. It is also necessary to encourage a regular turnover of board members and to introduce positive measures to promote and reward efforts by states and companies to adopt a more decisive approach to such changes in top economic decision-making bodies at Union level. Finally, taxation and public procurement both provide suitable channels for the promotion of greater gender balance on company boards. [Am. 11] |
| --- | --- |

(8a)

The appointment of women as board members is being hampered by a number of specific factors which can be overcome not only through sanctions but also through educational initiatives and incentives to promote good practices. First, it is essential to heighten awareness in business schools and universities of the benefits of gender equality in making companies more competitive. It is also necessary to encourage a regular turnover of board members and to introduce positive measures to promote and reward efforts by states and companies to adopt a more decisive approach to such changes in top economic decision-making bodies at Union level. Finally, taxation and public procurement both provide suitable channels for the promotion of greater gender balance on company boards. [Am. 11]

| (9) | Existing evidence also shows that labour market equality can improve economic growth substantially. Enhancing female presence in the boardrooms of listed companies in the Union not only affects the women appointed to boards, but also contributes to attracting female talent to the company and ensuring a greater presence of women at all levels of management and in the workforce. Therefore, a higher share of women on company boards has

  should have
  a positive impact on closing both the gender employment gap and the gender pay gap. Making full use of the existing female talent pool would constitute a marked improvement in terms of return on education for both individuals and the public sector. Female under-representation in the board rooms of publicly listed companies in the Union is a missed opportunity in terms of achieving long-term sustainable growth for Member States' economies at large. [Am. 12] |
| --- | --- |

(9)

Existing evidence also shows that labour market equality can improve economic growth substantially. Enhancing female presence in the boardrooms of listed companies in the Union not only affects the women appointed to boards, but also contributes to attracting female talent to the company and ensuring a greater presence of women at all levels of management and in the workforce. Therefore, a higher share of women on company boards has

  should have
  a positive impact on closing both the gender employment gap and the gender pay gap. Making full use of the existing female talent pool would constitute a marked improvement in terms of return on education for both individuals and the public sector. Female under-representation in the board rooms of publicly listed companies in the Union is a missed opportunity in terms of achieving long-term sustainable growth for Member States' economies at large. [Am. 12]

| (10) | Despite the existing Union legislation aimed at preventing and combating sex discrimination, the Council recommendations aimed specifically at increasing the presence of women in economic decision-making and Union-level actions encouraging self-regulation, women continue to be strongly outnumbered by men

  under-represented
  in the highest decision-making bodies of companies throughout the Union. In the private sector, and especially in listed companies, this gender imbalance is particularly significant and acute
  , while certain Union institutions, bodies, offices and agencies, such as the European Central Bank, also display a deeply problematic gender imbalance
  . The Commission's key indicator of gender representation on corporate boards shows that the proportion of women involved in top-level business decision-making remains very low. In January 2012, women occupied on average just 13,7 % of board seats in the largest publicly listed companies in Member States. Among non-executive directors only 15 % were women
  , which is a clear indication of a democratic deficit and of unfair and discriminatory representation of women, in violation of Union principles of equal opportunities and equal treatment of both sexes in the fields of employment and occupation
  . [Am. 13] |
| --- | --- |

(10)

Despite the existing Union legislation aimed at preventing and combating sex discrimination, the Council recommendations aimed specifically at increasing the presence of women in economic decision-making and Union-level actions encouraging self-regulation, women continue to be strongly outnumbered by men

  under-represented
  in the highest decision-making bodies of companies throughout the Union. In the private sector, and especially in listed companies, this gender imbalance is particularly significant and acute
  , while certain Union institutions, bodies, offices and agencies, such as the European Central Bank, also display a deeply problematic gender imbalance
  . The Commission's key indicator of gender representation on corporate boards shows that the proportion of women involved in top-level business decision-making remains very low. In January 2012, women occupied on average just 13,7 % of board seats in the largest publicly listed companies in Member States. Among non-executive directors only 15 % were women
  , which is a clear indication of a democratic deficit and of unfair and discriminatory representation of women, in violation of Union principles of equal opportunities and equal treatment of both sexes in the fields of employment and occupation
  . [Am. 13]

| (11) | The proportion of women on company boards is progressing very slowly, with an average annual increase of just 0,6 % during the past years. The rate of improvement has differed in individual Member States and has led to highly divergent results. Much more significant progress was noted in theMember States where

  such as France, which has set 2017 as its target date for fulfilment of the objectives contained in this Directive, meeting in less than two years the 20 % target set for 2014, or countries such as Norway, which met the 40 % target in three years. In both cases these results were achieved through
  binding measures have been introduced. Growing discrepancies between Member States are likely to increase given the very different approaches pursued by individual Member States to increase the representation of females on boards that are being pursued by individual Member States. [Am. 14] |
| --- | --- |

(11)

The proportion of women on company boards is progressing very slowly, with an average annual increase of just 0,6 % during the past years. The rate of improvement has differed in individual Member States and has led to highly divergent results. Much more significant progress was noted in theMember States where

  such as France, which has set 2017 as its target date for fulfilment of the objectives contained in this Directive, meeting in less than two years the 20 % target set for 2014, or countries such as Norway, which met the 40 % target in three years. In both cases these results were achieved through
  binding measures have been introduced. Growing discrepancies between Member States are likely to increase given the very different approaches pursued by individual Member States to increase the representation of females on boards that are being pursued by individual Member States. [Am. 14]

| (11a) | Member States should adopt strategies moving towards a socio-cultural shift in their approach to gender balance, by using versatile means to encourage women's participation in the management hierarchy and the taking-up of proactive approaches and actions by employers. Such means could include, inter alia, promoting flexible work schedules and encouraging family-friendly workplaces by providing access to day care. [Am. 15] |
| --- | --- |

(11a)

Member States should adopt strategies moving towards a socio-cultural shift in their approach to gender balance, by using versatile means to encourage women's participation in the management hierarchy and the taking-up of proactive approaches and actions by employers. Such means could include, inter alia, promoting flexible work schedules and encouraging family-friendly workplaces by providing access to day care. [Am. 15]

| (12) | The scattered and divergent regulation, or the absence of regulation, at national level as regards the gender balance on boards of listed companies does not only lead to discrepancies in the number of women among non-executive directors and different rates of improvement across Member States, but also poses barriers to the internal market by imposing divergent corporate governance requirements on listed companies within the Union. Those differences in legal and self-regulatory requirements for the composition of corporate boards can lead to practical complications for listed companies operating across borders, notably when establishing subsidiaries or in mergers and acquisitions, as well as for candidates for board positions.
  Nevertheless, this Directive should be enforced without regard to the different ways in which non-executive directors are selected to serve on the boards of Union companies. [Am. 16] |
| --- | --- |

(12)

The scattered and divergent regulation, or the absence of regulation, at national level as regards the gender balance on boards of listed companies does not only lead to discrepancies in the number of women among non-executive directors and different rates of improvement across Member States, but also poses barriers to the internal market by imposing divergent corporate governance requirements on listed companies within the Union. Those differences in legal and self-regulatory requirements for the composition of corporate boards can lead to practical complications for listed companies operating across borders, notably when establishing subsidiaries or in mergers and acquisitions, as well as for candidates for board positions.
  Nevertheless, this Directive should be enforced without regard to the different ways in which non-executive directors are selected to serve on the boards of Union companies. [Am. 16]

| (12a) | Gender imbalances within companies are greater at more senior levels. Furthermore, many of those women who are represented in senior management are to be found in fields such as human resources and communication, while men at a senior level are more likely to be employed in general management or ‘line management’ within the company. As the main pool for recruitment to board positions is comprised largely of candidates with senior management experience, it is vital that the number of women advancing to such management positions within companies be increased. [Am. 17] |
| --- | --- |

(12a)

Gender imbalances within companies are greater at more senior levels. Furthermore, many of those women who are represented in senior management are to be found in fields such as human resources and communication, while men at a senior level are more likely to be employed in general management or ‘line management’ within the company. As the main pool for recruitment to board positions is comprised largely of candidates with senior management experience, it is vital that the number of women advancing to such management positions within companies be increased. [Am. 17]

| (12b) | One of the main factors enabling this Directive to be correctly implemented is the effective application of criteria, to be set in advance and with full transparency, for the selection of non-executive directors, with candidates' competencies being considered on an equal basis, regardless of their gender. [Am. 18] |
| --- | --- |

(12b)

One of the main factors enabling this Directive to be correctly implemented is the effective application of criteria, to be set in advance and with full transparency, for the selection of non-executive directors, with candidates' competencies being considered on an equal basis, regardless of their gender. [Am. 18]

| (12c) | In the context of an ageing population and skills shortages, a failure to utilise the potential of half of the population of the Union for positions on the boards of companies might slow down the development opportunities of the Union's economy and the recovery of its financial structures. If one half of the talent pool is not even considered for leadership positions, the very process and quality of appointments may be compromised, leading to increased distrust of business power structures and possibly to a reduction in the efficient utilisation of available human capital. Systematically including suitable candidates from both sexes ensures that new board members are selected from amongst the very best candidates, both male and female, and that the make-up of society is faithfully reflected in corporate decision-making. [Am. 19] |
| --- | --- |

(12c)

In the context of an ageing population and skills shortages, a failure to utilise the potential of half of the population of the Union for positions on the boards of companies might slow down the development opportunities of the Union's economy and the recovery of its financial structures. If one half of the talent pool is not even considered for leadership positions, the very process and quality of appointments may be compromised, leading to increased distrust of business power structures and possibly to a reduction in the efficient utilisation of available human capital. Systematically including suitable candidates from both sexes ensures that new board members are selected from amongst the very best candidates, both male and female, and that the make-up of society is faithfully reflected in corporate decision-making. [Am. 19]

| (13) | The current lack of transparency of the selection procedures and qualification criteria for board positions in most Member States represents a significant barrier to more gender diversity among board members and negatively affects both the board candidates' careers and freedom of movement, as well as investor decisions. Such lack of transparency prevents potential candidates for board positions from applying to boards where their qualifications would be most required and from challenging gender-biased appointment decisions, thus restricting their freedom of movement within the internal market. On the other hand, investors have different investment strategies that require information linked also to the expertise and competence of the board members. More transparency in the qualification criteria and the selection procedure for board members enables investors to better assess the company's business strategy and to take informed decisions.
  It is therefore important that board appointment procedures be clear and transparent and that applicants be assessed objectively on their individual merits, irrespective of gender. [Am. 20] |
| --- | --- |

(13)

The current lack of transparency of the selection procedures and qualification criteria for board positions in most Member States represents a significant barrier to more gender diversity among board members and negatively affects both the board candidates' careers and freedom of movement, as well as investor decisions. Such lack of transparency prevents potential candidates for board positions from applying to boards where their qualifications would be most required and from challenging gender-biased appointment decisions, thus restricting their freedom of movement within the internal market. On the other hand, investors have different investment strategies that require information linked also to the expertise and competence of the board members. More transparency in the qualification criteria and the selection procedure for board members enables investors to better assess the company's business strategy and to take informed decisions.
  It is therefore important that board appointment procedures be clear and transparent and that applicants be assessed objectively on their individual merits, irrespective of gender. [Am. 20]

| (14) | While this Directive does not aim to harmonise national laws on the selection procedures and qualification criteria for board positions in detail, the introduction of certain minimum standards as regards the requirement for listed companies without balanced gender representation to take appointment decisions for non-executive directors on the basis of
  a transparent and clearly defined selection procedure and
  an objective comparative assessment of the qualifications of candidates in terms of suitability, competence and professional performance is necessary in order to attain gender balance among non-executives

  executive
  directors. Only a
  binding
  measure at Union level can effectively help to ensure a competitive level playing field throughout the Union and avoid practical complications in business life. [Am. 21] |
| --- | --- |

(14)

While this Directive does not aim to harmonise national laws on the selection procedures and qualification criteria for board positions in detail, the introduction of certain minimum standards as regards the requirement for listed companies without balanced gender representation to take appointment decisions for non-executive directors on the basis of
  a transparent and clearly defined selection procedure and
  an objective comparative assessment of the qualifications of candidates in terms of suitability, competence and professional performance is necessary in order to attain gender balance among non-executives

  executive
  directors. Only a
  binding
  measure at Union level can effectively help to ensure a competitive level playing field throughout the Union and avoid practical complications in business life. [Am. 21]

| (15) | The Europe 2020 Strategy for Smart, Sustainable and Inclusive Growth (11) ascertained that increased female labour force participation is a precondition for boosting growth and for tackling demographic challenges in Europe. The Strategy set a headline target of reaching an employment rate of 75 % for women and men aged 20-64 by 2020, which can only be reached if there is a clear commitment to gender equality
  , elimination of the persisting gender pay gap
  and a reinforced effort to tackle all barriers to women's participation in the labour market
  , including the existing ‘glass-ceiling’ phenomenon
  . The current economic crisis has magnified Europe's ever-growing need to rely on knowledge, competence and innovation and to make full use of the pool of available talent
  , of both men and women
  . Enhancing female participation in economic decision-making, on company boards in particular, is expected to have a positive spill-over effect on female employment in the companies concerned and throughout the whole economy. [Am. 22] |
| --- | --- |

(15)

The Europe 2020 Strategy for Smart, Sustainable and Inclusive Growth (11) ascertained that increased female labour force participation is a precondition for boosting growth and for tackling demographic challenges in Europe. The Strategy set a headline target of reaching an employment rate of 75 % for women and men aged 20-64 by 2020, which can only be reached if there is a clear commitment to gender equality
  , elimination of the persisting gender pay gap
  and a reinforced effort to tackle all barriers to women's participation in the labour market
  , including the existing ‘glass-ceiling’ phenomenon
  . The current economic crisis has magnified Europe's ever-growing need to rely on knowledge, competence and innovation and to make full use of the pool of available talent
  , of both men and women
  . Enhancing female participation in economic decision-making, on company boards in particular, is expected to have a positive spill-over effect on female employment in the companies concerned and throughout the whole economy. [Am. 22]

| (15a) | Achievement of these objectives is of vital importance in ensuring Europe’s economic competitiveness, encouraging innovation and enhancing professional standards on company boards. The Union has accordingly declared labour market equality and progressively greater gender equality on company boards to be European decade of equality objectives and will examine ways of heightening awareness of progress being achieved in this area. [Am. 23] |
| --- | --- |

(15a)

Achievement of these objectives is of vital importance in ensuring Europe’s economic competitiveness, encouraging innovation and enhancing professional standards on company boards. The Union has accordingly declared labour market equality and progressively greater gender equality on company boards to be European decade of equality objectives and will examine ways of heightening awareness of progress being achieved in this area. [Am. 23]

| (16) | The Union should therefore aim to increase the presence of women on company boards
  in all Member States
  , in order both to boost economic growth
  , encourage labour market mobility, strengthen
  the competitiveness of European companies and achieve effective gender equality on the labour market. This aim should be pursued through minimum requirements on positive action in the form of binding measures aimed at attaining a quantitative objective for the gender composition of boards of listed companies, in theview of the fact that Member States and other countries which have chosen this or a similar method have achieved the best results in reducing the under-representation of women in economic decision-making positions. [Am. 24] |
| --- | --- |

(16)

The Union should therefore aim to increase the presence of women on company boards
  in all Member States
  , in order both to boost economic growth
  , encourage labour market mobility, strengthen
  the competitiveness of European companies and achieve effective gender equality on the labour market. This aim should be pursued through minimum requirements on positive action in the form of binding measures aimed at attaining a quantitative objective for the gender composition of boards of listed companies, in theview of the fact that Member States and other countries which have chosen this or a similar method have achieved the best results in reducing the under-representation of women in economic decision-making positions. [Am. 24]

| (16a) | Listed companies should develop a gender policy in order to attain a more balanced gender representation throughout the company concerned. That policy may include a description of the relevant measures implemented in that company, such as nominating both a female and male candidate for key positions, mentoring schemes and career development guidance for women, and human resource strategies to encourage diverse recruitment. Furthermore, it may include offering flexible working conditions for all employees, for example assistance for parental leave, as well as providing assistance for housework and childcare. Each company may select the policies best suited to its activities and should take active measures to increase the proportion of the under-represented gender in the management of the company. [Am. 25] |
| --- | --- |

(16a)

Listed companies should develop a gender policy in order to attain a more balanced gender representation throughout the company concerned. That policy may include a description of the relevant measures implemented in that company, such as nominating both a female and male candidate for key positions, mentoring schemes and career development guidance for women, and human resource strategies to encourage diverse recruitment. Furthermore, it may include offering flexible working conditions for all employees, for example assistance for parental leave, as well as providing assistance for housework and childcare. Each company may select the policies best suited to its activities and should take active measures to increase the proportion of the under-represented gender in the management of the company. [Am. 25]

| (17) | Companies listed on stock exchanges enjoy a particular economic importance, visibility and impact on the market as a whole. The measures provided for in this Directive should therefore apply to listed companies, which are defined as companies incorporated

  whose seat is
  in a Member State
  and
  whose securities are admitted to trading on a regulated market within the meaning of Article 4(1) (14) of Directive 2004/39/EC of the European Parliament and of the Council , (12) in one or more Member States. These companies set standards for the economy in its entirety and their practices can be expected to be followed by other types of companies. The public nature of listed companies justifies that they be regulated to a greater extent in the public interest.
  [Am. 26] |
| --- | --- |

(17)

Companies listed on stock exchanges enjoy a particular economic importance, visibility and impact on the market as a whole. The measures provided for in this Directive should therefore apply to listed companies, which are defined as companies incorporated

  whose seat is
  in a Member State
  and
  whose securities are admitted to trading on a regulated market within the meaning of Article 4(1) (14) of Directive 2004/39/EC of the European Parliament and of the Council , (12) in one or more Member States. These companies set standards for the economy in its entirety and their practices can be expected to be followed by other types of companies. The public nature of listed companies justifies that they be regulated to a greater extent in the public interest.
  [Am. 26]

| (18) | This Directive should not apply to micro-, small and medium-sized enterprises (SMEs) as defined by Commission Recommendation 2003/361/EC , (13) even if they are listed companies.
  However, Member States should put in place policies to support and incentivise SMEs to improve significantly the gender balance at all levels of management and on company boards. [Am. 27] |
| --- | --- |

(18)

This Directive should not apply to micro-, small and medium-sized enterprises (SMEs) as defined by Commission Recommendation 2003/361/EC , (13) even if they are listed companies.
  However, Member States should put in place policies to support and incentivise SMEs to improve significantly the gender balance at all levels of management and on company boards. [Am. 27]

| (19) | There are various systems of board structures for listed companies in the Member States, the main distinction being between a dual (‘two-tier’) system with both a management board and a supervisory board and a unitary (‘one-tier’) system combining the management and supervisory function in a single board. There are also mixed systems, which feature aspects of both systems or give companies an option between different models. The measures provided for in this Directive should apply to all board systems in the Member States. |
| --- | --- |

(19)

There are various systems of board structures for listed companies in the Member States, the main distinction being between a dual (‘two-tier’) system with both a management board and a supervisory board and a unitary (‘one-tier’) system combining the management and supervisory function in a single board. There are also mixed systems, which feature aspects of both systems or give companies an option between different models. The measures provided for in this Directive should apply to all board systems in the Member States.

| (20) | All board systems distinguish between executive directors, who are involved in the daily management of the company, and non-executive directors, who are not involved in the daily management but do perform a supervisory function. The quantitative objectives provided for in this Directive should apply only to the non-executive directors in order to strike the right balance between the need to increase the gender diversity of boards and the need to minimise interference with the day-to-day management of a company. As the non-executive directors perform supervisory tasks, it is also easier to recruit qualified candidates from outside the company and to a large extent also from outside the specific sector in which a company operates — a consideration which is of importance for areas of the economy where members of a particular sex are especially under-represented in the workforce. |
| --- | --- |

(20)

All board systems distinguish between executive directors, who are involved in the daily management of the company, and non-executive directors, who are not involved in the daily management but do perform a supervisory function. The quantitative objectives provided for in this Directive should apply only to the non-executive directors in order to strike the right balance between the need to increase the gender diversity of boards and the need to minimise interference with the day-to-day management of a company. As the non-executive directors perform supervisory tasks, it is also easier to recruit qualified candidates from outside the company and to a large extent also from outside the specific sector in which a company operates — a consideration which is of importance for areas of the economy where members of a particular sex are especially under-represented in the workforce.

| (21) | In several Member States, a certain proportion of the non-executive directors can or must be appointed or elected by the company's workforce and/or organisations of workers pursuant to national law or practice. The quantitative objectives provided for in this Directive should apply to all non-executive directors including employee representatives. However, the practical procedures for ensuring that those objectives are attained, taking into account the fact that some non-executive Directors are employee representatives, should be defined by the Member States concerned.

  This Directive should take account of the diversity and national characteristics of selection procedures in the Member States. [Am. 28] |
| --- | --- |

(21)

In several Member States, a certain proportion of the non-executive directors can or must be appointed or elected by the company's workforce and/or organisations of workers pursuant to national law or practice. The quantitative objectives provided for in this Directive should apply to all non-executive directors including employee representatives. However, the practical procedures for ensuring that those objectives are attained, taking into account the fact that some non-executive Directors are employee representatives, should be defined by the Member States concerned.

  This Directive should take account of the diversity and national characteristics of selection procedures in the Member States. [Am. 28]

| (22) | Listed companies in the Union shouldbe imposed obligations of means providing for appropriate p rocedures with a view of meeting specific objectives regarding the gender composition of their boards.

  aim to attain the objective of having at least 40 % of non-executive directors of the under-represented sex by 1 January 2020. For the purpose of attaining that objective,
  those listed companies in whose boards members of the under-represented sex hold less than 40 per cent of non-executive director positions should make the

  be obliged to carry out the pre-selection or selection procedure for
  appointments to those positions on the basis of a comparative analysis of the qualifications of each candidate, by applying pre-established, clear, neutrally formulated and unambiguous criteria, in order to attain the said percentage at the latest by 1 January 2020. Therefore, the Directive establishes the objective of at least 40 per cent of non-executive directors of the under-represented sex by that date. This objective in principle only concerns the overall gender diversity among the non-executive directors and does not interfere with the concrete choice of individual directors from a wide pool of male and female candidates in each individual case. In particular, it does not exclude any particular candidates for director positions, nor does it impose any individual directors on companies or shareholders. The decision on the appropriate board members thus remains with the companies and shareholders. [Am. 29] |
| --- | --- |

(22)

Listed companies in the Union shouldbe imposed obligations of means providing for appropriate p rocedures with a view of meeting specific objectives regarding the gender composition of their boards.

  aim to attain the objective of having at least 40 % of non-executive directors of the under-represented sex by 1 January 2020. For the purpose of attaining that objective,
  those listed companies in whose boards members of the under-represented sex hold less than 40 per cent of non-executive director positions should make the

  be obliged to carry out the pre-selection or selection procedure for
  appointments to those positions on the basis of a comparative analysis of the qualifications of each candidate, by applying pre-established, clear, neutrally formulated and unambiguous criteria, in order to attain the said percentage at the latest by 1 January 2020. Therefore, the Directive establishes the objective of at least 40 per cent of non-executive directors of the under-represented sex by that date. This objective in principle only concerns the overall gender diversity among the non-executive directors and does not interfere with the concrete choice of individual directors from a wide pool of male and female candidates in each individual case. In particular, it does not exclude any particular candidates for director positions, nor does it impose any individual directors on companies or shareholders. The decision on the appropriate board members thus remains with the companies and shareholders. [Am. 29]

| (22a) | The objective of 40 % only concerns, in principle, the overall gender diversity among the non-executive directors and does not interfere with the concrete choice of individual directors from a wide pool of male and female candidates in each individual case. In particular, it does not exclude any particular candidates for director positions; nor does it impose any individual directors on companies or shareholders. The decision on whom to appoint as appropriate board members thus remains with the companies and shareholders. [Am. 30] |
| --- | --- |

(22a)

The objective of 40 % only concerns, in principle, the overall gender diversity among the non-executive directors and does not interfere with the concrete choice of individual directors from a wide pool of male and female candidates in each individual case. In particular, it does not exclude any particular candidates for director positions; nor does it impose any individual directors on companies or shareholders. The decision on whom to appoint as appropriate board members thus remains with the companies and shareholders. [Am. 30]

| (22b) | Listed companies should consider putting in place training programmes and mentoring programmes for the under-represented sex as a tool to achieve gender balance where there is a clear gender gap in the selection pool for recruitment to board positions. [Am. 31] |
| --- | --- |

(22b)

Listed companies should consider putting in place training programmes and mentoring programmes for the under-represented sex as a tool to achieve gender balance where there is a clear gender gap in the selection pool for recruitment to board positions. [Am. 31]

| (23) | Member States exercise a dominant influence over listed companies which are public undertakings within the meaning of point (b) of Article 2 of Commission Directive 2006/111/EC (14). Due to that dominant influence, they have the instruments at their disposal to bring about the necessary change more rapidly. Therefore, in such companies the objective of
  at
  least 40 % of non-executive directors of the under-represented sex should be set at an earlier date
  , in conformity with adequate mechanisms to be set up by Member States in line with this Directive
  . [Am. 32] |
| --- | --- |

(23)

Member States exercise a dominant influence over listed companies which are public undertakings within the meaning of point (b) of Article 2 of Commission Directive 2006/111/EC (14). Due to that dominant influence, they have the instruments at their disposal to bring about the necessary change more rapidly. Therefore, in such companies the objective of
  at
  least 40 % of non-executive directors of the under-represented sex should be set at an earlier date
  , in conformity with adequate mechanisms to be set up by Member States in line with this Directive
  . [Am. 32]

| (23a) | Due to their nature, public undertakings, whether listed or not, should serve as a model for the private sector. Therefore, the Commission should assess the situation in the Member States and evaluate whether public undertakings which would not fall within the definition of SME may be incorporated in the scope of this Directive at some point in the future. [Am. 33] |
| --- | --- |

(23a)

Due to their nature, public undertakings, whether listed or not, should serve as a model for the private sector. Therefore, the Commission should assess the situation in the Member States and evaluate whether public undertakings which would not fall within the definition of SME may be incorporated in the scope of this Directive at some point in the future. [Am. 33]

| (23b) | The Commission should collect and analyse facts and figures about the gender balance in non-listed large undertakings, which are also of great importance for the economy. An impact assessment should subsequently be carried out to gain an overview of the situation in such undertakings in the Member States and to evaluate whether measures at Union level are needed in order to bring such undertakings within the scope of this Directive at some point in the future. At the same time, the Commission should explain the available options to that end, since special schemes may be necessary for such undertakings owing to specific national circumstances. [Am. 34] |
| --- | --- |

(23b)

The Commission should collect and analyse facts and figures about the gender balance in non-listed large undertakings, which are also of great importance for the economy. An impact assessment should subsequently be carried out to gain an overview of the situation in such undertakings in the Member States and to evaluate whether measures at Union level are needed in order to bring such undertakings within the scope of this Directive at some point in the future. At the same time, the Commission should explain the available options to that end, since special schemes may be necessary for such undertakings owing to specific national circumstances. [Am. 34]

| (24) | Determining the number of non-executive director positions necessary to meet the objective requires further specification since for most board sizes it is mathematically possible only to go beyond or remain below the exact share of 40 per cent. Therefore, the number of board positions necessary to meet the objective should be the number closest to 40 per cent. At the same time, in order to avoid discrimination of the initially over-represented sex, listed companies should not be obliged to appoint members of the under-represented sex to half or more of the non-executive board positions. Thus, for example,

  Where a non-executive board consists of only three members, it is mathematically impossible to go beyond a share of 40 % for both genders. Therefore, in such cases,
  members of the under-represented sex should hold at least one position on boards with three or fournon-executive directors, at least two positions on boards with five or six non-executive directors, and at least three positions on boards with seven or eight non-executive directors. [Am. 35] |
| --- | --- |

(24)

Determining the number of non-executive director positions necessary to meet the objective requires further specification since for most board sizes it is mathematically possible only to go beyond or remain below the exact share of 40 per cent. Therefore, the number of board positions necessary to meet the objective should be the number closest to 40 per cent. At the same time, in order to avoid discrimination of the initially over-represented sex, listed companies should not be obliged to appoint members of the under-represented sex to half or more of the non-executive board positions. Thus, for example,

  Where a non-executive board consists of only three members, it is mathematically impossible to go beyond a share of 40 % for both genders. Therefore, in such cases,
  members of the under-represented sex should hold at least one position on boards with three or fournon-executive directors, at least two positions on boards with five or six non-executive directors, and at least three positions on boards with seven or eight non-executive directors. [Am. 35]

| (25) | In its case-law (15) on positive action and the compatibility thereof with the principle of non-discrimination on ground of sex (now also laid down in Article 21 of the Charter), the Court of Justice of the European Union accepted that priority may in certain cases be given to the under-represented sex in selection for employment or promotion, provided that the candidate of the under-represented sex is equally qualified as the competitor of the other sex in terms of suitability, competence and professional performance, that the priority is not automatic and unconditional but may be overridden if reasons specific to an individual candidate of the other sex tilt the balance in that candidate's favour, and that the application of each candidate is subject of an objective assessment which takes account of all criteria specific to the individual candidates. |
| --- | --- |

(25)

In its case-law (15) on positive action and the compatibility thereof with the principle of non-discrimination on ground of sex (now also laid down in Article 21 of the Charter), the Court of Justice of the European Union accepted that priority may in certain cases be given to the under-represented sex in selection for employment or promotion, provided that the candidate of the under-represented sex is equally qualified as the competitor of the other sex in terms of suitability, competence and professional performance, that the priority is not automatic and unconditional but may be overridden if reasons specific to an individual candidate of the other sex tilt the balance in that candidate's favour, and that the application of each candidate is subject of an objective assessment which takes account of all criteria specific to the individual candidates.

| (26) | In line with that case-law, Member States should ensure that the selection of the best qualified candidates for non-executive directors is based on a comparative analysis of the qualifications of each candidate on the basis of pre-established, clear, neutrally formulated and unambiguous criteria. Examples of types of selection criteria that companies could apply include professional experience in managerial and/or supervisory tasks,
  international experience, multidisciplinarity,
  knowledge in specific relevant areas such as finance, controlling or human resources management, leadership and communication skills and networking abilities. Priority should be given to the candidate of the under-represented sex if that candidate is equally qualified as the candidate of the other sex in terms of suitability, competence and professional performance, and if an objective assessment, taking account of all criteria specific to the individual candidates, does not tilt the balance in favour of a candidate of the other sex. [Am. 36] |
| --- | --- |

(26)

In line with that case-law, Member States should ensure that the selection of the best qualified candidates for non-executive directors is based on a comparative analysis of the qualifications of each candidate on the basis of pre-established, clear, neutrally formulated and unambiguous criteria. Examples of types of selection criteria that companies could apply include professional experience in managerial and/or supervisory tasks,
  international experience, multidisciplinarity,
  knowledge in specific relevant areas such as finance, controlling or human resources management, leadership and communication skills and networking abilities. Priority should be given to the candidate of the under-represented sex if that candidate is equally qualified as the candidate of the other sex in terms of suitability, competence and professional performance, and if an objective assessment, taking account of all criteria specific to the individual candidates, does not tilt the balance in favour of a candidate of the other sex. [Am. 36]

| (27) | The methods of recruiting
  , selecting
  and appointing directors differ from one Member State to another and from one company to another. They may involve the pre-selection of candidates to be presented to the shareholders' assembly, for example by a nomination committee, the direct appointment of directors by individual shareholders or a vote in the shareholders' assembly on individual candidates or lists of candidates.
  This Directive respects the diversity of selection procedures, which should be based on transparency and merit, while insisting that the aim of increasing the participation of the under-represented sex on boards be attained.
  The requirements concerning the selection of candidates should be met at the appropriate stage of the selection process in accordance with national law and the articles of association of the listed companies concerned. In this respect, this Directive only establishes a minimum harmonisation

  allows for diversity
  of selection procedures, making it possible to apply the conditions provided for by the case-law of the Court of Justice with a view to attaining the objective of a more balanced gender representation in the boards of listed companies.
  The provisions of this Directive do not unduly interfere with day-to-day management, since companies maintain the freedom to select candidates on the basis of qualifications or other objective relevant considerations. [Am. 37] |
| --- | --- |

(27)

The methods of recruiting
  , selecting
  and appointing directors differ from one Member State to another and from one company to another. They may involve the pre-selection of candidates to be presented to the shareholders' assembly, for example by a nomination committee, the direct appointment of directors by individual shareholders or a vote in the shareholders' assembly on individual candidates or lists of candidates.
  This Directive respects the diversity of selection procedures, which should be based on transparency and merit, while insisting that the aim of increasing the participation of the under-represented sex on boards be attained.
  The requirements concerning the selection of candidates should be met at the appropriate stage of the selection process in accordance with national law and the articles of association of the listed companies concerned. In this respect, this Directive only establishes a minimum harmonisation

  allows for diversity
  of selection procedures, making it possible to apply the conditions provided for by the case-law of the Court of Justice with a view to attaining the objective of a more balanced gender representation in the boards of listed companies.
  The provisions of this Directive do not unduly interfere with day-to-day management, since companies maintain the freedom to select candidates on the basis of qualifications or other objective relevant considerations. [Am. 37]

| (27a) | Where pre-selection of candidates is based on election or voting procedures, for example by workers or their representatives, the procedures throughout the entire process should be adjusted in order to contribute to the attainment of the objective of increased gender balance on the board of directors as a whole, while ensuring that the sex of the director elected in such a procedure is not in any way predetermined. [Am. 38] |
| --- | --- |

(27a)

Where pre-selection of candidates is based on election or voting procedures, for example by workers or their representatives, the procedures throughout the entire process should be adjusted in order to contribute to the attainment of the objective of increased gender balance on the board of directors as a whole, while ensuring that the sex of the director elected in such a procedure is not in any way predetermined. [Am. 38]

| (28) | This Directive aims to improve the gender balance among directors of companies listed on stock exchanges and thus to contribute to the realisation of the principle of equal treatment between men and women, recognised as a fundamental right of the Union. Listed companies should therefore be required to disclose, upon the request of an unsuccessful candidate, not only the qualification criteria upon which the selection was based but also the objective comparative assessment of those criteria and, where relevant, the considerations tilting the balance in favour of a candidate who is not of the under-represented sex. These limitations to the right to respect for private life with regard to the processing of personal data, recognised by the Articles 7 and 8 of the Charter, and the obligation for listed companies to supply that information upon request to the unsuccessful candidate, are necessary and, in conformity with the principle of proportionality, genuinely meet recognised objectives of general interest. They are therefore in line with the requirements for such limitations laid down in Article 52(1) of the Charter and with the relevant case-law of the Court of Justice. |
| --- | --- |

(28)

This Directive aims to improve the gender balance among directors of companies listed on stock exchanges and thus to contribute to the realisation of the principle of equal treatment between men and women, recognised as a fundamental right of the Union. Listed companies should therefore be required to disclose, upon the request of an unsuccessful candidate, not only the qualification criteria upon which the selection was based but also the objective comparative assessment of those criteria and, where relevant, the considerations tilting the balance in favour of a candidate who is not of the under-represented sex. These limitations to the right to respect for private life with regard to the processing of personal data, recognised by the Articles 7 and 8 of the Charter, and the obligation for listed companies to supply that information upon request to the unsuccessful candidate, are necessary and, in conformity with the principle of proportionality, genuinely meet recognised objectives of general interest. They are therefore in line with the requirements for such limitations laid down in Article 52(1) of the Charter and with the relevant case-law of the Court of Justice.

| (29) | Where an unsuccessful candidate of the under-represented sex establishes the presumption they were equally qualified as the appointed candidate of the other sex, the listed company should be required to demonstrate the correctness of the choice. |
| --- | --- |

(29)

Where an unsuccessful candidate of the under-represented sex establishes the presumption they were equally qualified as the appointed candidate of the other sex, the listed company should be required to demonstrate the correctness of the choice.

| (30) | Member States should provide for effective, proportionate and dissuasive sanctions for breaches of
  the requirements for an open and transparent procedure set out in
  this Directive, which could include, inter alia, administrative fines
  , exclusion from public calls for tenders, partial exclusion from the award of funding from the Union's Structural Funds,
  and nullity or annulment declared by a judicial body of the appointment or of the election of non-executive directors made contrary to the national provisions adopted pursuant to Article 4(1).
  It should be possible for Member States to go beyond the non-exhaustive list of sanctions provided for in this Directive and to add, inter alia, the forced dissolution of the company concerned, ordered by a competent judicial body in full respect of proper procedural safeguards, in cases of serious and repeated infringements by that company. [Am. 39] |
| --- | --- |

(30)

Member States should provide for effective, proportionate and dissuasive sanctions for breaches of
  the requirements for an open and transparent procedure set out in
  this Directive, which could include, inter alia, administrative fines
  , exclusion from public calls for tenders, partial exclusion from the award of funding from the Union's Structural Funds,
  and nullity or annulment declared by a judicial body of the appointment or of the election of non-executive directors made contrary to the national provisions adopted pursuant to Article 4(1).
  It should be possible for Member States to go beyond the non-exhaustive list of sanctions provided for in this Directive and to add, inter alia, the forced dissolution of the company concerned, ordered by a competent judicial body in full respect of proper procedural safeguards, in cases of serious and repeated infringements by that company. [Am. 39]

| (31) | Since the gender composition of the workforce has a direct impact on the availability of candidates of the under-represented sex, Member States may provide that where the members of the under-represented sex make up less than 10 per cent of the workforce the company concerned should not be required to meet the objective laid down in this Directive.
  [Am. 40] |
| --- | --- |

(31)

Since the gender composition of the workforce has a direct impact on the availability of candidates of the under-represented sex, Member States may provide that where the members of the under-represented sex make up less than 10 per cent of the workforce the company concerned should not be required to meet the objective laid down in this Directive.
  [Am. 40]

| (32) | Since listed companies should aim to increase the proportion of the under-represented sex in all decision-making positions, Member States may provide that the objective laid down in this Directive should be considered to be met where listed companies can show that members of the under-represented sex hold at least one third of all director positions, irrespective of whether they are executive or non-executive.
  Such companies should, however, be required to continue to set out in their annual reports and on their websites the gender balance among executive and non-executive directors, and their policies in this area, in accordance with Article 5 of this Directive. [Am. 41] |
| --- | --- |

(32)

Since listed companies should aim to increase the proportion of the under-represented sex in all decision-making positions, Member States may provide that the objective laid down in this Directive should be considered to be met where listed companies can show that members of the under-represented sex hold at least one third of all director positions, irrespective of whether they are executive or non-executive.
  Such companies should, however, be required to continue to set out in their annual reports and on their websites the gender balance among executive and non-executive directors, and their policies in this area, in accordance with Article 5 of this Directive. [Am. 41]

| (33) | In addition to the measures relating to non-executive directors, and with a view also to improving the gender balance among directors involved in daily management tasks, listed companies should be required to make individual commitments regarding the representation of both sexes among executive directors, to be achieved at the latest by 1 January 2020. These commitments should aim to achieve tangible progress from the individual company's current position towards better gender balance. |
| --- | --- |

(33)

In addition to the measures relating to non-executive directors, and with a view also to improving the gender balance among directors involved in daily management tasks, listed companies should be required to make individual commitments regarding the representation of both sexes among executive directors, to be achieved at the latest by 1 January 2020. These commitments should aim to achieve tangible progress from the individual company's current position towards better gender balance.

| (34) | Member States should require listed companies to provide information on the gender composition of their boards as well as information on how they managed to meet the objectives laid down in this Directive, on a yearly basis to the competent national authorities in order to enable them to assess the progress of each listed company towards gender balance among directors. Such information should be
  included in the company's annual report and
  published
  in an appropriate and easily accessible manner on its website
  and, where the company in question has not met the objective, itshould include a
  comprehensive
  description of the
  concrete
  measures that it has taken so far and intends to take in the future in order to meet the objective.
  Furthermore, companies that have failed to attain the objective or to fulfil the commitments given by them should provide a statement of the reasons for their failure to do so, as well as a description of the concrete measures which they have taken so far, and which they intend to take in the future, in order to meet that objective and fulfil those commitments. [Am. 42] |
| --- | --- |

(34)

Member States should require listed companies to provide information on the gender composition of their boards as well as information on how they managed to meet the objectives laid down in this Directive, on a yearly basis to the competent national authorities in order to enable them to assess the progress of each listed company towards gender balance among directors. Such information should be
  included in the company's annual report and
  published
  in an appropriate and easily accessible manner on its website
  and, where the company in question has not met the objective, itshould include a
  comprehensive
  description of the
  concrete
  measures that it has taken so far and intends to take in the future in order to meet the objective.
  Furthermore, companies that have failed to attain the objective or to fulfil the commitments given by them should provide a statement of the reasons for their failure to do so, as well as a description of the concrete measures which they have taken so far, and which they intend to take in the future, in order to meet that objective and fulfil those commitments. [Am. 42]

| (35) | Member States may have already taken measures providing for means to ensure a more balanced representation of women and men in company boards before the entry into force of this Directive. Such Member States should have an opportunity to apply those measures in place of the procedural requirements relating to appointments where they can demonstrate that the measures taken are of equivalent efficacy in order to attain the objective of a presence of the under-represented sex of at least 40 per cent among non-executive directors of listed companies at the latest by 1 January 2020 or at the latest by 1 January 2018 in case of listed companies which are public undertakings. |
| --- | --- |

(35)

Member States may have already taken measures providing for means to ensure a more balanced representation of women and men in company boards before the entry into force of this Directive. Such Member States should have an opportunity to apply those measures in place of the procedural requirements relating to appointments where they can demonstrate that the measures taken are of equivalent efficacy in order to attain the objective of a presence of the under-represented sex of at least 40 per cent among non-executive directors of listed companies at the latest by 1 January 2020 or at the latest by 1 January 2018 in case of listed companies which are public undertakings.

| (36) | This Directive respects fundamental rights and observes the principles recognised by the Charter. In particular, it contributes to the fulfilment of the right to equality between women and men (Article 23 of the Charter), the freedom to choose an occupation and the right to engage in work (Article 15 of the Charter). This Directive seeks to ensure full respect for the right to an effective remedy and a fair hearing (Article 47 of the Charter). The limitations on the exercise of the freedom to conduct business (Article 16 of the Charter) and of the right to property (Article 17(1) of the Charter) respect the essence of those rights and freedoms and are necessary and proportionate. They genuinely meet objectives of general interest recognised by the Union and the need to protect the rights and freedoms of others. |
| --- | --- |

(36)

This Directive respects fundamental rights and observes the principles recognised by the Charter. In particular, it contributes to the fulfilment of the right to equality between women and men (Article 23 of the Charter), the freedom to choose an occupation and the right to engage in work (Article 15 of the Charter). This Directive seeks to ensure full respect for the right to an effective remedy and a fair hearing (Article 47 of the Charter). The limitations on the exercise of the freedom to conduct business (Article 16 of the Charter) and of the right to property (Article 17(1) of the Charter) respect the essence of those rights and freedoms and are necessary and proportionate. They genuinely meet objectives of general interest recognised by the Union and the need to protect the rights and freedoms of others.

| (37) | While some Member States have taken regulatory action or encouraged self-regulation with mixed results, the majority of Member States have not taken action or indicated their willingness to act in a way that would bring about sufficient improvement. Projections based on a comprehensive analysis of all available information on past and current trends as well as intentions show that a balanced gender representation among non-executive board members across the Union in line with the objectives set out in this Directive will not be achieved by Member States acting individually at any point in the foreseeable future. In the light of those circumstances, and given the growing discrepancies between Member States in terms of the representation of women and men on company boards, the gender balance on corporate boards across the Union can only be improved through a common approach, and the potential for gender equality,
  closing the existing gender pay gap and improvement of
  competitiveness and growth can be better achieved through coordinated action at Union level rather than through national initiatives of varying scope, ambition and effectiveness. Since the objectives of this Directive cannot be sufficiently achieved by the Member States and can, therefore, by reason of the scale and effect of action, 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. [Am. 43] |
| --- | --- |

(37)

While some Member States have taken regulatory action or encouraged self-regulation with mixed results, the majority of Member States have not taken action or indicated their willingness to act in a way that would bring about sufficient improvement. Projections based on a comprehensive analysis of all available information on past and current trends as well as intentions show that a balanced gender representation among non-executive board members across the Union in line with the objectives set out in this Directive will not be achieved by Member States acting individually at any point in the foreseeable future. In the light of those circumstances, and given the growing discrepancies between Member States in terms of the representation of women and men on company boards, the gender balance on corporate boards across the Union can only be improved through a common approach, and the potential for gender equality,
  closing the existing gender pay gap and improvement of
  competitiveness and growth can be better achieved through coordinated action at Union level rather than through national initiatives of varying scope, ambition and effectiveness. Since the objectives of this Directive cannot be sufficiently achieved by the Member States and can, therefore, by reason of the scale and effect of action, 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. [Am. 43]

| (38) | In accordance with the principle of proportionality, as set out in that same Article, this Directive is limited to setting common objectives and principles and does not go beyond what is necessary in order to achieve those objectives. Member States are given sufficient freedom to determine how the objectives laid down in this Directive should best be achieved taking national circumstances into account, in particular rules and practices concerning recruitment for board positions. This Directive does not interfere with the possibility for companies to appoint the most qualified board members, and it establishes a
  flexible framework and grants a
  sufficiently long period of adaptation for all listed companies. [Am. 44] |
| --- | --- |

(38)

In accordance with the principle of proportionality, as set out in that same Article, this Directive is limited to setting common objectives and principles and does not go beyond what is necessary in order to achieve those objectives. Member States are given sufficient freedom to determine how the objectives laid down in this Directive should best be achieved taking national circumstances into account, in particular rules and practices concerning recruitment for board positions. This Directive does not interfere with the possibility for companies to appoint the most qualified board members, and it establishes a
  flexible framework and grants a
  sufficiently long period of adaptation for all listed companies. [Am. 44]

| (39) | In accordance with the principle of proportionality, the objective to be met by listed companies should be limited in time and
  should
  remain in force only until sustainable progress has been achieved in the gender composition of boards. For that reason, the Commission should regularly review the application of this Directive and report to the European Parliament and the Council. The

  This
  Directive is due to expire on 31 December 2028. The Commission should assess, in its review, if

  whether
  there is a need to extend the duration of the Directive beyond that period.
  Member States should cooperate with social partners and civil society in order to efficiently inform them about the significance, transposition and implementation of this Directive. Information campaigns would significantly contribute to the raising of awareness of the issue among non-listed companies and encourage them to achieve gender balance proactively. Member States should be encouraged to exchange experiences and good practices regarding the transposition and implementation of this Directive. [Am. 45] |
| --- | --- |

(39)

In accordance with the principle of proportionality, the objective to be met by listed companies should be limited in time and
  should
  remain in force only until sustainable progress has been achieved in the gender composition of boards. For that reason, the Commission should regularly review the application of this Directive and report to the European Parliament and the Council. The

  This
  Directive is due to expire on 31 December 2028. The Commission should assess, in its review, if

  whether
  there is a need to extend the duration of the Directive beyond that period.
  Member States should cooperate with social partners and civil society in order to efficiently inform them about the significance, transposition and implementation of this Directive. Information campaigns would significantly contribute to the raising of awareness of the issue among non-listed companies and encourage them to achieve gender balance proactively. Member States should be encouraged to exchange experiences and good practices regarding the transposition and implementation of this Directive. [Am. 45]

| (40) | In accordance with the Joint Political Declaration of Member States and the Commission of 28 September 2011 on explanatory documents (16), Member States have undertaken, in justified cases, 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. 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 of 28 September 2011 on explanatory documents (16), Member States have undertaken, in justified cases, 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. With regard to this Directive, the legislator considers the transmission of such documents to be justified,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Subject-matter

This Directive lays down measures to ensure a more balanced representation of men and women among the non-executive directors of listed companies by establishing
  effective
  measures aimed at accelerated progress towards gender balance while allowing companies sufficient time to make the necessary arrangements. [Am. 46]

Article 2

Definitions

For the purposes of this Directive:

| (1) | ‘listed company’ means a company incorporated

  which has its seat
  in a Member State
  and the
  securities of which are admitted to trading on a regulated market within the meaning of Article 4(1) (14) of Directive 2004/39/EC, in one or more Member States; [Am. 47] |
| --- | --- |

(1)

‘listed company’ means a company incorporated

  which has its seat
  in a Member State
  and the
  securities of which are admitted to trading on a regulated market within the meaning of Article 4(1) (14) of Directive 2004/39/EC, in one or more Member States; [Am. 47]

| (2) | ‘board’ means any administrative, managerial or supervisory body of a company; |
| --- | --- |

(2)

‘board’ means any administrative, managerial or supervisory body of a company;

| (3) | ‘director’ means any member of a board, including an employees' representative; |
| --- | --- |

(3)

‘director’ means any member of a board, including an employees' representative;

| (4) | ‘executive director’ means any member of a unitary board who is engaged in the daily management of the company and any member of a managerial board in a dual-board system; |
| --- | --- |

(4)

‘executive director’ means any member of a unitary board who is engaged in the daily management of the company and any member of a managerial board in a dual-board system;

| (5) | ‘non-executive director’ means any member of a unitary board other than an executive director and any member of a supervisory board in a dual-board system; |
| --- | --- |

(5)

‘non-executive director’ means any member of a unitary board other than an executive director and any member of a supervisory board in a dual-board system;

| (6) | ‘unitary board’ means a single board that combines the management and the supervisory functions of a company; |
| --- | --- |

(6)

‘unitary board’ means a single board that combines the management and the supervisory functions of a company;

| (7) | ‘dual-board system’ means a system in which the management and supervisory functions of a company are carried out by separate boards; |
| --- | --- |

(7)

‘dual-board system’ means a system in which the management and supervisory functions of a company are carried out by separate boards;

| (8) | ‘small and medium-sized enterprise’ or ‘SME’ means a company which employs less than 250 persons and 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 is incorporated in a Member State whose currency is not the euro, the equivalent amounts in the currency of that Member State; |
| --- | --- |

(8)

‘small and medium-sized enterprise’ or ‘SME’ means a company which employs less than 250 persons and 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 is incorporated in a Member State whose currency is not the euro, the equivalent amounts in the currency of that Member State;

| (9) | ‘public undertaking’ means an undertaking over which the public authorities may exercise, directly or indirectly a dominant influence by virtue of their ownership thereof, their financial participation therein, or the rules which govern it. A dominant influence on the part of the public authorities shall be presumed when these authorities, directly or indirectly in relation to an undertaking:






  — | hold the major part of the undertaking’s subscribed capital; or |
| --- | --- | --- |

(9)

‘public undertaking’ means an undertaking over which the public authorities may exercise, directly or indirectly a dominant influence by virtue of their ownership thereof, their financial participation therein, or the rules which govern it. A dominant influence on the part of the public authorities shall be presumed when these authorities, directly or indirectly in relation to an undertaking:

—

hold the major part of the undertaking’s subscribed capital; or

| — | control the majority of the votes attaching to shares issued by the undertakings; or |
| --- | --- |

—

control the majority of the votes attaching to shares issued by the undertakings; or

| — | can appoint more than half of the members of the undertaking's administrative, managerial or supervisory body. |
| --- | --- |

—

can appoint more than half of the members of the undertaking's administrative, managerial or supervisory body.

Article 3

Exclusion of small and medium-sized enterprises

This Directive shall not apply to small and medium-sized enterprises (‘SMEs’).

Article 4

Objectives with regard to non-executive directors

1.   Member States shall ensure that listed companies on the boards of which members of the under-represented sex hold less than 40 % of the non-executive director positions make the appointments to those positions on the basis of a comparative analysis of the qualifications of each candidate, by applying pre-established, clear, neutrally formulated and unambiguous criteria, in order to attain

  adjust their recruitment procedures, including those in respect of vacancy notices calling for applications, pre-selection, selection and appointments, in such a way that those procedures effectively contribute to the attainment of
  the said percentage by 1 January 2020 or, in the case of public undertakings, by 1 January 2018 listed companies which are.
  In particular, Member States shall ensure that companies select the most qualified candidates for a board position from a gender-balanced selection pool and on the basis of a comparative analysis of the candidates' qualifications by applying pre-established, clear, neutrally formulated, non-discriminatory and unambiguous criteria. In the case of an election procedure, Members States shall ensure that companies guarantee gender diversity in the composition of the shortlist of candidates while ensuring that the sex of the non-executive director elected in such a procedure is not in any way predetermined.

In order to attain the objective of 40 %, and in accordance with Article 23(2) of the Charter, Member States shall ensure that, at every stage in the procedure for the recruitment, selection or appointment of non-executive directors, priority is given to the candidate of the under-represented sex if that candidate is equally qualified as a candidate of the other sex in terms of suitability, competence and professional performance, unless an objective assessment, taking account of all criteria specific to the individual candidates, tilts the balance in favour of the candidate of the other sex. [Am. 48]

2.   The number of non-executive director positions necessary to meet the objective laid down in paragraph 1 shall be that constituting the number closest to the proportion of

  at least
  40 %, but not exceeding 49 per cent.
  If the non-executive board consists of only three board members, the proportion one to two shall suffice. [Am. 49]

3.   In order to attain the objective laid down in paragraph 1, Member States shall ensure that, in the selection of non-executive directors, priority shall be given to the candidate of the under-represented sex if that candidate is equally qualified as a candidate of the other sex in terms of suitability, competence and professional performance, unless an objective assessment taking account of all criteria specific to the individual candidates tilts the balance in favour of the candidate of the other sex.
  [Am. 50]

4.   Member States shall ensure that listed companies are obliged to disclose, on the request of an unsuccessful candidate

  to an unsuccessful candidate, while respecting candidates' anonymity in accordance with the Union rules on data protection
  ,
  at least the number and gender of the candidates in the selection pool
  , the qualification criteria upon which the selection
  or appointment
  was based, the objective comparative assessment of those criteria and, where relevant, the considerations tilting the balance in favour of a candidate of the other sex. [Am. 51]

5.   Member States shall take the necessary measures, in accordance with their national judicial systems, to ensure that, where an unsuccessful candidate of the under-represented sex
  who considers himself or herself wronged because the provisions of paragraph 1 have not been applied to him or her
  establishes
  , before a court or other competent body,
  facts from which it may be presumed that that candidate was equally qualified as the appointed candidate of the other sex, it shall be for the listed company to prove that there has been no breach of the rule laid down in paragraph 3

  1
  .

This paragraph shall not prevent Member States from introducing rules of evidence which are more favourable to plaintiffs. [Am. 52]

6.   Member States may provide that listed companies where the members of the under-represented sex represent less than 10 per cent of the workforce are not subject to the objective laid down in paragraph 1.
  [Am. 53]

6a.
     
  Where the selection referred to in paragraph 1 is made through a vote of shareholders or employees, companies shall ensure that voters are properly informed regarding the measures provided for in this Directive, including sanctions for non-compliance by the company. [Am. 54]

7.   Member States may provide that the objective laid down in paragraph 1 is met where listed companies can show that members of the under-represented sex hold at least one third of all director positions, irrespective of whether they are executive or non-executive directors.

Article 5

Additional measures by companies and reporting

1.   Member States shall ensure that listed companies undertake individual commitments regarding gender-balanced representation of both sexes among executive directors to be achieved at the latest by 1 January 2020, or, in case of listed companies which are public undertakings, by 1 January 2018.

2.   Member States shall require listed companies to provide information to the competent national authorities, once a year as from [two years after adoption], about the gender representation on their boards, distinguishing between non-executive and executive directors, and about the measures taken in view of the objectives laid down in Article 4(1) and in paragraph 1 of this Article, and to publish that information in an appropriate and
  easily
  accessible manner on their website
  and in their annual report
  . [Am. 55]

3.   Where a listed company does not meet the objectives laid down in Article 4(1) or its own individual commitments taken pursuant to paragraph 1 of this Article, the information referred to in paragraph 2 of this Article

  it
  shall include

  provide a statement of
  the reasons for not reaching the

  its failure to attain those
  objectives or
  to fulfil those
  commitments and a
  comprehensive
  description of the measures which the company has adopted, or
  which it
  intends to adopt, in order to meet the objectives or commitments.
  That statement of reasons shall form part of the information referred to in paragraph 2. [Am. 56]

4.   Member States shall take the necessary measures to ensure that the body or bodies designated in accordance with Article 20 of Directive 2006/54/EC of the European Parliament and of the Council (17) are also competent for the promotion, analysis, monitoring and support of gender balance on the boards of listed companies.
  To that end, Member States shall collaborate efficiently with social partners and civil society. [Am. 57]

Article 6

Sanctions

1.   Member States shall lay down rules on sanctions applicable to infringements of the national provisions adopted pursuant to this Directive

  requirements for an open and transparent procedure as set out in Article 4(1)
  and shall take all necessary measures to ensure that they are applied. [Am. 58]

2.   The sanctions must be effective, proportionate and dissuasive and may

  shall
  include
  at least
  the following measures: [Am. 59]

| (a) | administrative fines; |
| --- | --- |

(a)

administrative fines;

| (aa) | exclusion from public calls for tenders; [Am. 60] |
| --- | --- |

(aa)

exclusion from public calls for tenders; [Am. 60]

| (ab) | partial exclusion from the award of funding from the Union's Structural Funds; [Am. 61] |
| --- | --- |

(ab)

partial exclusion from the award of funding from the Union's Structural Funds; [Am. 61]

| (b) | a declaration by a judicial body of nullity or annulment of the appointment or election of non-executive directors made in contravention of the national provisions adopted pursuant to Article 4(1). |
| --- | --- |

(b)

a declaration by a judicial body of nullity or annulment of the appointment or election of non-executive directors made in contravention of the national provisions adopted pursuant to Article 4(1).

Article 7

Minimum requirements

Member States may introduce or maintain provisions which are more favourable than those laid down in this Directive to ensure a more balanced representation of men and women in respect of companies incorporated in their national territory, provided those provisions do not give rise to unjustified
  gender discrimination or any other form of
  discrimination, nor

  or
  hinder the proper functioning of the internal market. [Am. 62]

Article 8

Implementation

1.   Member States shall adopt and publish, by [two years after adoption] at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. They shall immediately inform the Commission thereof.

2.   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.

3.   Without prejudice to Article 4(6) and (7), Member States which before the entry into force of this Directive have already taken measures to ensure a more balanced representation of women and men among the non-executive directors of listed companies may suspend the application of the procedural requirements relating to appointments contained in Article 4(1), (3), (4) and (5), provided that it can be shown that those measures enable members of the under-represented sex to hold at least 40 % of the non-executive director positions of listed companies by 1 January 2020, or, in the case of listed companies which are public undertakings, by 1 January 2018.

The Member State in question shall notify this information to the Commission.
  The Commission shall inform the European Parliament and the Council of such notification. The suspension shall be automatically lifted if insufficient progress is made towards attainment of the objective of this Directive, which shall be deemed to be the case if the percentage of the under-represented sex is lower than 30 % by 2017 or, in the case of public undertakings, by 2015. [Am. 63]

4.   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 9

Review

1.   Member States shall communicate to the Commission by 1 January 2017 and every two years thereafter a report on the implementation of this Directive. Such reports shall include, inter alia, comprehensive information about the measures taken with a view to attaining the objectives laid down in Article 4(1), information provided in accordance with Article 5(2) and information about individual commitments entered into by listed companies pursuant to Article 5(1).

1a.
     
  The Commission shall submit by 1 July 2017 an evaluation report on the implementation of the requirements for listed companies referred to in Articles 4(1) and 5(1) and (2), on the basis of the reports submitted by the Member States pursuant to paragraph 1. In addition, the Commission's report shall include an account of the gender balance situation at board level and at management level in respect of non-listed companies that are above the SME threshold as defined in Article 2. [Am. 64]

1b.
     
  The Commission shall submit a report to the European Parliament and the Council on the way in which the principles of this Directive are applied by all Union institutions, bodies, offices and agencies and incorporated into the rules governing their internal staffing procedures. To that end, all Union institutions, bodies, offices and agencies shall report to the Commission by 31 December 2018, and thereafter annually, on their gender statistics and on the progress made. The Commission shall forthwith make such reports public on its website. Where appropriate, the Commission's report shall be accompanied by a legislative proposal extending the scope of this Directive to cover all Union institutions, bodies, offices and agencies. [Am. 65]

2.   Member States which, pursuant to Article 8(3), have suspended the application of the procedural requirements relating to appointments contained in Article 4(1), (3), (4) and (5) shall include in the reports mentioned in paragraph 1 information demonstrating the concrete results obtained by the national measures referred to in Article 8(3). The Commission shall then issue a specific report ascertaining whether those measures will effectively enable members of the under-represented sex to hold at least 40 % of the non-executive director positions by 1 January 2018 in the case of listed companies which are public undertakings, and by 1 January 2020 in the case of listed companies which are not public undertakings. The first such report shall be issued by the Commission by 1 July 2017, and subsequent reports shall be issued within six months after notification of the respective national reports under paragraph 1.

The Member States in question shall ensure that listed companies, which by applying the national measures referred to in Article 8(3) have not appointed or elected members of the under-represented sex to at least 40 % of the non-executive director positions on their boards by 1 January 2018, where they are public undertakings, or by 1 January 2020, where they are not public undertakings, apply the procedural requirements relating to appointments contained in Article 4(1), (3), (4) and (5) with effect respectively from those dates.

3.   The Commission shall review the application of this Directive and report to the European Parliament and the Council by 31 December 2021 and every two years thereafter. The Commission shall evaluate in particular whether the objectives of this Directive have been achieved.

4.   In its report, the Commission shall assess whether, in the light of developments in the representation of men and women in the boards of listed companies and at different levels of decision-making throughout the economy and taking into account whether the progress made is sufficiently sustainable, there is a need to extend the duration of this Directive beyond the date specified in Article 10(2) or to amend it.
  It shall also examine whether the scope of this Directive should be extended to cover non-listed public undertakings which do not fall within the definition of SME, non-listed large undertakings and executive directors of listed companies. [Am. 66]

Article 10

Entry into force and expiry

1.   This Directive shall enter into force on the [twentieth] day following that of its publication in the Official Journal of the European Union.

2.   It shall expire on 31 December 2028.

Article 11

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 133, 9.5.2013, p. 68.

1

(2)  Position of the European Parliament of 20 November 2013.

2

(3)  Council Recommendation 84/635/EEC of 13 December 1984 on the promotion of positive action for women (OJ L 331, 19.12.1984, p. 34).

3

(4)  Council Recommendation 96/694/EC of 2 December 1996 on the balanced participation of women and men in the decision-making process (OJ L 319, 10.12.1996, p. 11).

4

(5)  Commission report entitled ‘More women in senior positions’ (2010); Commission Staff Working Paper dated 1 March 2011 entitled ‘The Gender Balance in Business Leadership’ (SEC(2011) 246 final); Progress Report dated 5 March 2012 entitled ‘Women in economic decision-making in the EU’; Commission Staff Working Document dated 16 April 2012 entitled ‘Progress on equality between women and men in 2011’ (SWD(2012) 85 final).

5

(6)  ‘Women on the Board Pledge for Europe’, IP/11/242.

6

(7)  COM(2010)0078 final.

7

(8)  COM(2010)0491 final.

8

(9)  OJ C 33 E, 5.2.2013, p. 134.

9

(10)  OJ C 251 E, 31.8.2013, p. 1.

10

(11)  COM(2010) 2020 final.

11

(12)  Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1).

12

(13)  Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises, even if they are listed companies (OJ L 124, 20.5.2003, p. 36).

13

, even if they are listed companies

(14)  Commission Directive 2006/111/EC of 16 November 2006 on the transparency of financial relations between Member States and public undertakings, as well as on financial transparency within certain undertakings (OJ L 318, 17.11.2006, p. 17).

14

(15)  Case C-450/93 Kalanke [1995] ECR I-3051; Case C-409/95 Marschall [1997] ECR I-6363; Case C-158/97 Badeck [2000] ECR I-1875; Case C-407/98 Abrahamsson [2000] ECR I-5539.

15

Kalanke

Marschall

Badeck

Abrahamsson

(16)  OJ C 369, 17.12.2011, p. 14.

16

(17)  Directive 2006/54/EC of the European Parliament and of the Council of 5 July 2006 on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation (OJ L 204, 26.7.2006, p. 23).

17

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/241 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/241

---

P7_TA(2013)0489

Key information documents for investment products ***I

Amendments adopted by the European Parliament on 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on key information documents for investment products (COM(2012)0352 — C7-0179/2012 — 2012/0169(COD)) (1)

(Ordinary legislative procedure: first reading)

(2016/C 436/44)

[Amendment No 1]

AMENDMENTS BY THE EUROPEAN PARLIAMENT (*1)

to the Commission proposal

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on key information documents for investment products

(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 from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Central Bank (2),

Having regard to the opinion of the European Economic and Social Committee (3),

Acting in accordance with the ordinary legislative procedure,

Whereas:

| (1) | Retail investors are increasingly offered a wide variety of different types of investment products when they consider making an investment. These products
  may
  provide specific investment solutions tailored to the needs of retail investors, but are frequently complex and difficult to understand. Existing disclosures to investors for such investment products are uncoordinated and often fail to aid retail investors compare between the different products,
  to understand
  their features
  , or to improve such investors' financial education
  . As a consequence, retail investors have often made investments with risks and costs that were not fully understood by those investors, and have thereby on occasion suffered unforeseen losses. |
| --- | --- |

(1)

Retail investors are increasingly offered a wide variety of different types of investment products when they consider making an investment. These products
  may
  provide specific investment solutions tailored to the needs of retail investors, but are frequently complex and difficult to understand. Existing disclosures to investors for such investment products are uncoordinated and often fail to aid retail investors compare between the different products,
  to understand
  their features
  , or to improve such investors' financial education
  . As a consequence, retail investors have often made investments with risks and costs that were not fully understood by those investors, and have thereby on occasion suffered unforeseen losses.

| (2) | Improving provisions on transparency of investment products offered to retail investors is an important investor protection measure and a precondition for rebuilding confidence of retail investors in the financial market
  , in particular in the aftermath of the financial crisis
  . First steps in this direction have been already been taken at Union level through the development of the key investor information regime established in 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). |
| --- | --- |

(2)

Improving provisions on transparency of investment products offered to retail investors is an important investor protection measure and a precondition for rebuilding confidence of retail investors in the financial market
  , in particular in the aftermath of the financial crisis
  . First steps in this direction have been already been taken at Union level through the development of the key investor information regime established in 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).

| (3) | Different rules that vary according to the industry that offers the investment products and national regulation in this area create an un-level playing field between different products and distribution channels, erecting additional barriers to a Single Market in financial services and products. Member States have already taken divergent and uncoordinated action to address shortcomings in investor protection measures and it is likely that this development would continue. Divergent approaches to investment product disclosures impede the development of a level playing field between different investment product manufacturers and those selling these products and thus distort competition. It would also create an uneven level of investor protection with the Union. Such divergences represent an obstacle to the establishment and smooth functioning of the Single Market. Consequently, the appropriate legal basis is Article 114 TFEU, as interpreted in accordance with the consistent case law of the Court of Justice of the European Union. |
| --- | --- |

(3)

Different rules that vary according to the industry that offers the investment products and national regulation in this area create an un-level playing field between different products and distribution channels, erecting additional barriers to a Single Market in financial services and products. Member States have already taken divergent and uncoordinated action to address shortcomings in investor protection measures and it is likely that this development would continue. Divergent approaches to investment product disclosures impede the development of a level playing field between different investment product manufacturers and those selling these products and thus distort competition. It would also create an uneven level of investor protection with the Union. Such divergences represent an obstacle to the establishment and smooth functioning of the Single Market. Consequently, the appropriate legal basis is Article 114 TFEU, as interpreted in accordance with the consistent case law of the Court of Justice of the European Union.

| (4) | It is necessary to establish uniform rules at the level of the Union applying across all participants of the investment product market on transparency so as to prevent divergences
  and reduce costs and uncertainty for product providers and distributors
  . A Regulation is necessary to ensure that a common standard for key information documents is established in such a uniform fashion so as to be able to harmonise the format and the content of these documents. The directly applicable rules of a Regulation should ensure that all participants in the investment product market are subject to the same requirements. This should also ensure uniform disclosures by preventing divergent national requirements as a result of the transposition of a Directive. The use of a Regulation is also appropriate to ensure that all those selling investment products are subject to uniform requirements in relation to the provision of the key information document to retail investors. |
| --- | --- |

(4)

It is necessary to establish uniform rules at the level of the Union applying across all participants of the investment product market on transparency so as to prevent divergences
  and reduce costs and uncertainty for product providers and distributors
  . A Regulation is necessary to ensure that a common standard for key information documents is established in such a uniform fashion so as to be able to harmonise the format and the content of these documents. The directly applicable rules of a Regulation should ensure that all participants in the investment product market are subject to the same requirements. This should also ensure uniform disclosures by preventing divergent national requirements as a result of the transposition of a Directive. The use of a Regulation is also appropriate to ensure that all those selling investment products are subject to uniform requirements in relation to the provision of the key information document to retail investors.

| (5) | Whilst improving investment product disclosures is essential in rebuilding the trust of retail investors in the financial markets, effectively regulated sales processes for these products are equally important. This Regulation is complementary to measures on distribution
  (including investment advice, investor protection measures and other sales services)
  in Directive 2004/39/EC of the European Parliament and the Council (4). It is also complementary to measures taken on the distribution of insurance product in Directive 2002/92/EC of the European Parliament and of the Council (5). |
| --- | --- |

(5)

Whilst improving investment product disclosures is essential in rebuilding the trust of retail investors in the financial markets, effectively regulated sales processes for these products are equally important. This Regulation is complementary to measures on distribution
  (including investment advice, investor protection measures and other sales services)
  in Directive 2004/39/EC of the European Parliament and the Council (4). It is also complementary to measures taken on the distribution of insurance product in Directive 2002/92/EC of the European Parliament and of the Council (5).

| (6) | This Regulation should apply to all products
  and underlying investments
  regardless of their form or construction that are manufactured by the financial services industry to provide investment opportunities to retail investors, where the return offered to the investor is exposed to the performance of one or more assets or reference values ▌. This should include investment products such as investment funds
  and
  life insurance policies
  and the investments underlying those investment funds and life insurance policies
  , and retail ▌products
  including
  assets
  that are held directly, such as sovereign bonds or shares that are offered to the public or admitted to trading on a regulated market situated or operating within a Member State. Retail packaged structured
  products intercede between the investor and the markets through a process of ‘packaging’, wrapping or bundling together assets so as to create different exposures, provide different product features, or achieve different cost structures as compared with a direct holding. Such ‘packaging’ can allow retail investors to engage in investment strategies that would otherwise be inaccessible or impractical, but can also require additional information to be made available, in particular to enable comparisons between different ways of packaging investments
  and to ensure that retail investors are able to understand the key features and risks of retail investment products
  . |
| --- | --- |

(6)

This Regulation should apply to all products
  and underlying investments
  regardless of their form or construction that are manufactured by the financial services industry to provide investment opportunities to retail investors, where the return offered to the investor is exposed to the performance of one or more assets or reference values ▌. This should include investment products such as investment funds
  and
  life insurance policies
  and the investments underlying those investment funds and life insurance policies
  , and retail ▌products
  including
  assets
  that are held directly, such as sovereign bonds or shares that are offered to the public or admitted to trading on a regulated market situated or operating within a Member State. Retail packaged structured
  products intercede between the investor and the markets through a process of ‘packaging’, wrapping or bundling together assets so as to create different exposures, provide different product features, or achieve different cost structures as compared with a direct holding. Such ‘packaging’ can allow retail investors to engage in investment strategies that would otherwise be inaccessible or impractical, but can also require additional information to be made available, in particular to enable comparisons between different ways of packaging investments
  and to ensure that retail investors are able to understand the key features and risks of retail investment products
  .

| (6a) | This Regulation should also apply to shares or units of special purpose vehicles and holding companies which an investment product manufacturer may devise with a view to circumventing this Regulation. |
| --- | --- |

(6a)

This Regulation should also apply to shares or units of special purpose vehicles and holding companies which an investment product manufacturer may devise with a view to circumventing this Regulation.

| (6b) | Packaged investment products should provide clear benefits for retail investors, such as spreading investment risks to many different economic sectors or many underlying assets. However, packaging techniques can also be used to create features of investment products, which aim at misleading consumers, when they make their investment decision. Certain products with ‘teaser rates’ play on behavioural biases of retail investors, in this case on their preference for immediate attractive returns. The use of product names implying greater safety than is possible plays on the behavioural biases of consumers in a comparable way, addressing their aversion to risk. Consequently, such packaging techniques create a risk that the investor will focus strongly on immediate financial benefits without fully realising the related future risks. This Regulation should aim at avoiding packaging features which exploit biases in the decision making of investors, in order to promote transparency and a better understanding of risks linked to packaged retail investment products. |
| --- | --- |

(6b)

Packaged investment products should provide clear benefits for retail investors, such as spreading investment risks to many different economic sectors or many underlying assets. However, packaging techniques can also be used to create features of investment products, which aim at misleading consumers, when they make their investment decision. Certain products with ‘teaser rates’ play on behavioural biases of retail investors, in this case on their preference for immediate attractive returns. The use of product names implying greater safety than is possible plays on the behavioural biases of consumers in a comparable way, addressing their aversion to risk. Consequently, such packaging techniques create a risk that the investor will focus strongly on immediate financial benefits without fully realising the related future risks. This Regulation should aim at avoiding packaging features which exploit biases in the decision making of investors, in order to promote transparency and a better understanding of risks linked to packaged retail investment products.

| (7) | Insurance products that do not offer investment opportunities ▌ should ▌be excluded from the scope of the Regulation. ▌Since the focus of this Regulation is on improving the comparability and comprehensibility of information about investment products being marketed to retail investors, ▌occupational pension products
  and individual pension products
  should be excluded from the scope of this Regulation, provided that a financial contribution from the employer is required by national law and provided that
  the employer or
  the employee has no choice as to the pension product provider. Investment funds dedicated to institutional investors are not within the scope of this Regulation either since they are not for sale to retail investors. However, investment products with the purpose of accumulating savings for individual pensions should remain in scope because they often compete with the other products under this Regulation and are distributed in a similar way to the retail investor. |
| --- | --- |

(7)

Insurance products that do not offer investment opportunities ▌ should ▌be excluded from the scope of the Regulation. ▌Since the focus of this Regulation is on improving the comparability and comprehensibility of information about investment products being marketed to retail investors, ▌occupational pension products
  and individual pension products
  should be excluded from the scope of this Regulation, provided that a financial contribution from the employer is required by national law and provided that
  the employer or
  the employee has no choice as to the pension product provider. Investment funds dedicated to institutional investors are not within the scope of this Regulation either since they are not for sale to retail investors. However, investment products with the purpose of accumulating savings for individual pensions should remain in scope because they often compete with the other products under this Regulation and are distributed in a similar way to the retail investor.

| (8) | In order to provide clarity on the relationship between the obligations established by this Regulation and obligations established by Directive 2003/71/EC of the European Parliament and the Council (6) and by Directive 2009/138/EC of the European Parliament and of the Council (7), it is necessary to establish that those Directives
  are complementary
  to this Regulation.
  In particular, the key information document should incorporate the summary that provides key information as referred to in Article 5(2) in Directive 2003/71/EC following a review of this Regulation. |
| --- | --- |

(8)

In order to provide clarity on the relationship between the obligations established by this Regulation and obligations established by Directive 2003/71/EC of the European Parliament and the Council (6) and by Directive 2009/138/EC of the European Parliament and of the Council (7), it is necessary to establish that those Directives
  are complementary
  to this Regulation.
  In particular, the key information document should incorporate the summary that provides key information as referred to in Article 5(2) in Directive 2003/71/EC following a review of this Regulation.

| (8a) | Investment product manufacturers should ensure that the investment product they structure is compatible with the profile of the targeted retail investors. They should therefore set up a prior product approval


  process to ensure that their investment products do not expose retail investors to underlying assets the risk and reward profile of which is not easily understandable. |
| --- | --- |

(8a)

Investment product manufacturers should ensure that the investment product they structure is compatible with the profile of the targeted retail investors. They should therefore set up a prior product approval


  process to ensure that their investment products do not expose retail investors to underlying assets the risk and reward profile of which is not easily understandable.

| (8b) | The competent authorities and the European supervisory authorities (ESAs) should be provided, upon request, with all necessary information to verify the contents of the key information documents, to assess compliance with this Regulation and to ensure the protection of clients and investors in financial markets. The powers of the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority (EIOPA) should be aligned in a consistent manner with those of the European Securities and Markets Authority (ESMA) under Directive of the European Parliament and of the Council on markets in financial instruments repealing Directive 2004/39/EC of the European Parliament and the Council [MIFIR]. |
| --- | --- |

(8b)

The competent authorities and the European supervisory authorities (ESAs) should be provided, upon request, with all necessary information to verify the contents of the key information documents, to assess compliance with this Regulation and to ensure the protection of clients and investors in financial markets. The powers of the European Banking Authority (EBA) and the European Insurance and Occupational Pensions Authority (EIOPA) should be aligned in a consistent manner with those of the European Securities and Markets Authority (ESMA) under Directive of the European Parliament and of the Council on markets in financial instruments repealing Directive 2004/39/EC of the European Parliament and the Council [MIFIR].

| (9) | Investment product manufacturers — such as fund managers, insurance undertakings, issuers of securities, credit institutions or investment firms — should draw up the key information document for the investment products they manufacture, as they are in the best position to know the product and are responsible for it.
  Investment product manufacturers should make the key information document available to the persons selling the investment product.
  The
  key information
  document should be drawn up by the investment product manufacturer
  , and the annex (including fees), by the person selling the investment product
  before the products can be sold to retail investors. However, where a product is not sold to retail investors, there is no necessity to draw up a key information document, and where it is impractical for the investment product manufacturer to draw up the key information document, this may be delegated to others.
  Where the drawing up of the key information document is delegated wholly or partially to third parties, the investment product manufacturer should retain general responsibility for its drawing up and content.
  In order to ensure widespread dissemination and availability of key information documents, this Regulation should allow for publication by the investment product manufacturer by means of a website of their choice. |
| --- | --- |

(9)

Investment product manufacturers — such as fund managers, insurance undertakings, issuers of securities, credit institutions or investment firms — should draw up the key information document for the investment products they manufacture, as they are in the best position to know the product and are responsible for it.
  Investment product manufacturers should make the key information document available to the persons selling the investment product.
  The
  key information
  document should be drawn up by the investment product manufacturer
  , and the annex (including fees), by the person selling the investment product
  before the products can be sold to retail investors. However, where a product is not sold to retail investors, there is no necessity to draw up a key information document, and where it is impractical for the investment product manufacturer to draw up the key information document, this may be delegated to others.
  Where the drawing up of the key information document is delegated wholly or partially to third parties, the investment product manufacturer should retain general responsibility for its drawing up and content.
  In order to ensure widespread dissemination and availability of key information documents, this Regulation should allow for publication by the investment product manufacturer by means of a website of their choice.

| (10) | To meet the needs of retail investors, it is necessary to ensure that information on investment products is accurate, fair, clear and not misleading for those investors. This Regulation should therefore lay down common standards for the drafting of the key information document, in order to ensure that it is
  understandable by
  retail investors. Given the difficulties many retail investors have in understanding specialist financial terminology, particular attention should be paid to the vocabulary and style of writing used in the document. Rules should also be laid down on the language in which it should be drawn up.
  The calculations of the costs that may arise should also be explained in an understandable manner.
  Furthermore, retail investors should be able to understand the key information document on its own without referring to other information.
  However, this should not preclude the use of cross-references within the key information document to other documents where additional information can be found that might be of interest to some retail investors. |
| --- | --- |

(10)

To meet the needs of retail investors, it is necessary to ensure that information on investment products is accurate, fair, clear and not misleading for those investors. This Regulation should therefore lay down common standards for the drafting of the key information document, in order to ensure that it is
  understandable by
  retail investors. Given the difficulties many retail investors have in understanding specialist financial terminology, particular attention should be paid to the vocabulary and style of writing used in the document. Rules should also be laid down on the language in which it should be drawn up.
  The calculations of the costs that may arise should also be explained in an understandable manner.
  Furthermore, retail investors should be able to understand the key information document on its own without referring to other information.
  However, this should not preclude the use of cross-references within the key information document to other documents where additional information can be found that might be of interest to some retail investors.

| (11) | Retail investors should be provided with the information necessary for them to take an informed investment decision and compare different investment products, but unless the information is short and concise there is a risk they will not use it. The key information document should therefore ▌ contain
  only
  key information, notably as regards the nature and features of the product, including whether it is possible to lose capital, the costs, ▌
  and the risk reward
  profile,
  in the form of a summary indicator, of the product, and its underlying investment,
  as well as relevant performance information, and certain other specific information which may be necessary for understanding the features of individual types of products, including those intended to be used for retirement planning.
  The Commission should consider the opportunity for the European public credit rating agency referred to in the Position of the European Parliament adopted at first reading on 16 January 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 1060/2009 on credit rating agencies

   (8)

  to provide key information on the risk profile related to sovereign bonds issued by Member States. |
| --- | --- |

(11)

Retail investors should be provided with the information necessary for them to take an informed investment decision and compare different investment products, but unless the information is short and concise there is a risk they will not use it. The key information document should therefore ▌ contain
  only
  key information, notably as regards the nature and features of the product, including whether it is possible to lose capital, the costs, ▌
  and the risk reward
  profile,
  in the form of a summary indicator, of the product, and its underlying investment,
  as well as relevant performance information, and certain other specific information which may be necessary for understanding the features of individual types of products, including those intended to be used for retirement planning.
  The Commission should consider the opportunity for the European public credit rating agency referred to in the Position of the European Parliament adopted at first reading on 16 January 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 1060/2009 on credit rating agencies

   (8)

  to provide key information on the risk profile related to sovereign bonds issued by Member States.

| (11a) | Investors should be provided with a clear idea of what costs and fees will be incurred in their investment, not only at the point of transaction, but over a period of investment. Fees should be fully disclosed in compound, cumulative terms, as well as in monetary terms. Charges for advice should be calculated in a simpler way to make it easier for the investor to understand what it will cost them. |
| --- | --- |

(11a)

Investors should be provided with a clear idea of what costs and fees will be incurred in their investment, not only at the point of transaction, but over a period of investment. Fees should be fully disclosed in compound, cumulative terms, as well as in monetary terms. Charges for advice should be calculated in a simpler way to make it easier for the investor to understand what it will cost them.

| (11b) | EBA, EIOPA and ESMA should develop an online fund analyser which would allow investors to calculate the end value of their investment after fees and costs have been taken into account. |
| --- | --- |

(11b)

EBA, EIOPA and ESMA should develop an online fund analyser which would allow investors to calculate the end value of their investment after fees and costs have been taken into account.

| (12) | The key information document should be drawn up in a format which allows retail investors to compare different investment products, since consumer behaviours and capabilities are such that the format, presentation and content of information must be carefully
  designed and drafted
  to maximise
  engagement with the key information document and so to enhance financial education,
  understanding and
  the
  use of information. The same order of items and headings for these items should be followed for each document. In addition, the details of the information to be included in the key information document for different products and the presentation of this information should be further harmonised through delegated acts that take into account existing and on-going research on consumer behaviour, including results from testing the effectiveness of different ways of presenting information with consumers. In addition, some investment products give the retail investor a choice between multiple underlying investments
  and may have costs and charges that depend upon the customer's personal characteristics, such as their age or on their chosen investment amount
  . Those products should be taken into account when drawing up the format. |
| --- | --- |

(12)

The key information document should be drawn up in a format which allows retail investors to compare different investment products, since consumer behaviours and capabilities are such that the format, presentation and content of information must be carefully
  designed and drafted
  to maximise
  engagement with the key information document and so to enhance financial education,
  understanding and
  the
  use of information. The same order of items and headings for these items should be followed for each document. In addition, the details of the information to be included in the key information document for different products and the presentation of this information should be further harmonised through delegated acts that take into account existing and on-going research on consumer behaviour, including results from testing the effectiveness of different ways of presenting information with consumers. In addition, some investment products give the retail investor a choice between multiple underlying investments
  and may have costs and charges that depend upon the customer's personal characteristics, such as their age or on their chosen investment amount
  . Those products should be taken into account when drawing up the format.

| (12a) | A complexity label for complex products which appear to be unsuitable for retail investors should appear at the top of the key information document. This extra layer of transparency will help consumers make an informed decision about the level of risk they are taking and help avoid the mis-selling of products. |
| --- | --- |

(12a)

A complexity label for complex products which appear to be unsuitable for retail investors should appear at the top of the key information document. This extra layer of transparency will help consumers make an informed decision about the level of risk they are taking and help avoid the mis-selling of products.

| (13) | Increasingly retail investors are not only seeking financial returns with their investment decisions. Often they also pursue other purposes such as social or environmental goals. In addition, information about non-financial aspects of investments can be important for those seeking to make sustainable, long-term investments. However, information on social, environmental or governance outcomes being sought by the investment product manufacturer can be difficult to compare or may be absent. Therefore, it is desirable to further harmonise the details of the information on whether environmental, social or governance issues have been taken into account, and if so in what ways. |
| --- | --- |

(13)

Increasingly retail investors are not only seeking financial returns with their investment decisions. Often they also pursue other purposes such as social or environmental goals. In addition, information about non-financial aspects of investments can be important for those seeking to make sustainable, long-term investments. However, information on social, environmental or governance outcomes being sought by the investment product manufacturer can be difficult to compare or may be absent. Therefore, it is desirable to further harmonise the details of the information on whether environmental, social or governance issues have been taken into account, and if so in what ways.

| (14) | The key information document should be clearly distinguishable
  and separated
  from any marketing communications. Its significance should not be diminished by those other documents.
  The retail investor should confirm receipt. |
| --- | --- |

(14)

The key information document should be clearly distinguishable
  and separated
  from any marketing communications. Its significance should not be diminished by those other documents.
  The retail investor should confirm receipt.

| (15) | In order to ensure that the key information document contains reliable information, this Regulation should require investment product manufacturers
  and persons selling investment products
  to keep the key information document up to date.
  The entity providing or selling the key information document should also keep the information provided to the retail investment up to date.
  To this end, it is necessary that detailed rules relating to the conditions and frequency of the review of the information and the revision of the key information document
  and its annex
  are laid down in a delegated act to be adopted by the Commission.
  The key information document and all its updates should be communicated to the competent authority. |
| --- | --- |

(15)

In order to ensure that the key information document contains reliable information, this Regulation should require investment product manufacturers
  and persons selling investment products
  to keep the key information document up to date.
  The entity providing or selling the key information document should also keep the information provided to the retail investment up to date.
  To this end, it is necessary that detailed rules relating to the conditions and frequency of the review of the information and the revision of the key information document
  and its annex
  are laid down in a delegated act to be adopted by the Commission.
  The key information document and all its updates should be communicated to the competent authority.

| (16) | Key information documents are the foundation for investment decisions by retail investors. For this reason, investment product manufacturers
  and persons selling investment products
  have an important responsibility towards retail investors in ensuring that they comply with the rules of this Regulation. It is therefore important to ensure that retail investors who relied on a key investor document for their investment decision have an effective right of redress. It should also be ensured that all retail investors across the Union have the same right to seek compensation for damages they may suffer due to failures on the part of investment product manufacturers in complying with the requirements set out in this Regulation. Therefore, rules regarding the liability of the investment product manufacturers should be harmonised.
  Also, a harmonised approach to penalties should be introduced in order to ensure consistency.
  This Regulation should establish that the retail investor should be able to hold the product manufacturer liable for an infringement of this Regulation in case a loss is caused through the use of the key information document
  that was misleading, inaccurate or inconsistent with the prospectus or, where no prospectus is prepared, the terms and conditions of the product
  . |
| --- | --- |

(16)

Key information documents are the foundation for investment decisions by retail investors. For this reason, investment product manufacturers
  and persons selling investment products
  have an important responsibility towards retail investors in ensuring that they comply with the rules of this Regulation. It is therefore important to ensure that retail investors who relied on a key investor document for their investment decision have an effective right of redress. It should also be ensured that all retail investors across the Union have the same right to seek compensation for damages they may suffer due to failures on the part of investment product manufacturers in complying with the requirements set out in this Regulation. Therefore, rules regarding the liability of the investment product manufacturers should be harmonised.
  Also, a harmonised approach to penalties should be introduced in order to ensure consistency.
  This Regulation should establish that the retail investor should be able to hold the product manufacturer liable for an infringement of this Regulation in case a loss is caused through the use of the key information document
  that was misleading, inaccurate or inconsistent with the prospectus or, where no prospectus is prepared, the terms and conditions of the product
  .

| (17) | As retail investors in general do not have close insight as to the internal procedures of investment product manufacturers, ▌
  the retail investor should not bear
  the burden of proof
  . The retail investor should indicate in what respect he considers
  that the key information document
  does not comply with the requirements of
  this Regulation.
  It should then be incumbent upon the product manufacturer to respond to the claim. |
| --- | --- |

(17)

As retail investors in general do not have close insight as to the internal procedures of investment product manufacturers, ▌
  the retail investor should not bear
  the burden of proof
  . The retail investor should indicate in what respect he considers
  that the key information document
  does not comply with the requirements of
  this Regulation.
  It should then be incumbent upon the product manufacturer to respond to the claim.

| (18) | The
  civil liability of
  an
  investment product manufacturer
  which is not covered by this Regulation
  should be governed by the applicable national law determined by the relevant rules of International Private Law. The competent court to decide on a claim for civil liability brought by a retail investor should be determined by the relevant rules on International Jurisdiction. |
| --- | --- |

(18)

The
  civil liability of
  an
  investment product manufacturer
  which is not covered by this Regulation
  should be governed by the applicable national law determined by the relevant rules of International Private Law. The competent court to decide on a claim for civil liability brought by a retail investor should be determined by the relevant rules on International Jurisdiction.

| (19) | So that the retail investor is able to take an informed investment decision, persons selling investment products should be required to provide the key information document in good time before any transaction is concluded.
  The investor should provide a signature, in writing or electronically, to demonstrate that they have received the key information document.
  This requirement should ▌apply irrespective of where or how the transaction takes place. Persons
  advising on or
  selling include both distributors and the investment product manufacturer themselves where they choose to
  advise on or selling
  the product directly to retail investors.
  This Regulation is without prejudice to the Directive 2002/65/EC of the European Parliament and the Council

   (9)

  . Where possible, investors should be provided with a ‘cooling-off period’ during which they may decide to cancel the transaction. |
| --- | --- |

(19)

So that the retail investor is able to take an informed investment decision, persons selling investment products should be required to provide the key information document in good time before any transaction is concluded.
  The investor should provide a signature, in writing or electronically, to demonstrate that they have received the key information document.
  This requirement should ▌apply irrespective of where or how the transaction takes place. Persons
  advising on or
  selling include both distributors and the investment product manufacturer themselves where they choose to
  advise on or selling
  the product directly to retail investors.
  This Regulation is without prejudice to the Directive 2002/65/EC of the European Parliament and the Council

   (9)

  . Where possible, investors should be provided with a ‘cooling-off period’ during which they may decide to cancel the transaction.

| (20) | Uniform rules should be laid down in order to give the person selling the investment product a certain choice with regard to the medium in which the key information document is provided to retail investors allowing for use of electronic communications where it is appropriate having regard to the circumstances of the transaction. However, the retail investor should be given the option to receive it on paper. In the interest of consumer access to information, the key information document should always be provided free of charge. |
| --- | --- |

(20)

Uniform rules should be laid down in order to give the person selling the investment product a certain choice with regard to the medium in which the key information document is provided to retail investors allowing for use of electronic communications where it is appropriate having regard to the circumstances of the transaction. However, the retail investor should be given the option to receive it on paper. In the interest of consumer access to information, the key information document should always be provided free of charge.

| (21) | To ensure the trust of retail investors in investment products
  and in financial markets as a whole
  , requirements should be established for appropriate internal procedures which ensure that retail investors receive a substantive response from the investment product manufacturer to complaints. |
| --- | --- |

(21)

To ensure the trust of retail investors in investment products
  and in financial markets as a whole
  , requirements should be established for appropriate internal procedures which ensure that retail investors receive a substantive response from the investment product manufacturer to complaints.

| (21a) | Although improving investment product disclosures is essential to rebuilding the trust of retail investors in the financial markets, product design rules are equally important to ensure effective retail investor protection. Imperfect advice from financial advisors, bias in decision-making and evidence that financial behaviour depends primarily on psychological attributes give rise to issues that need to be addressed through curbing complexity in the packaging of investment products. |
| --- | --- |

(21a)

Although improving investment product disclosures is essential to rebuilding the trust of retail investors in the financial markets, product design rules are equally important to ensure effective retail investor protection. Imperfect advice from financial advisors, bias in decision-making and evidence that financial behaviour depends primarily on psychological attributes give rise to issues that need to be addressed through curbing complexity in the packaging of investment products.

| (22) | Procedures for alternative dispute resolution allow for a quicker and less expensive settlement of disputes than the courts and lighten the burden on the court system. For that purpose investment product manufacturers and the persons selling investment products should be under an obligation to participate in those procedures initiated by retailed investors concerning the rights and obligations established by this Regulation, subject to certain safeguards in conformity with the principle of effective judicial protection. In particular, the procedures for alternative dispute resolution should not infringe the rights which the parties to such procedures have to bring legal proceedings before the courts.
  Directive 2013/11/EU of the European Parliament and of the Council

   (10)

  should apply to disputes under this Regulation. |
| --- | --- |

(22)

Procedures for alternative dispute resolution allow for a quicker and less expensive settlement of disputes than the courts and lighten the burden on the court system. For that purpose investment product manufacturers and the persons selling investment products should be under an obligation to participate in those procedures initiated by retailed investors concerning the rights and obligations established by this Regulation, subject to certain safeguards in conformity with the principle of effective judicial protection. In particular, the procedures for alternative dispute resolution should not infringe the rights which the parties to such procedures have to bring legal proceedings before the courts.
  Directive 2013/11/EU of the European Parliament and of the Council

   (10)

  should apply to disputes under this Regulation.

| (23) | As the key information document should be produced for investment products by entities operating in the banking, insurance, securities and fund sectors of the financial markets, it is of utmost importance to ensure a smooth co-operation between the various authorities supervising investment product manufacturers so that they have a common approach to the application of this Regulation. |
| --- | --- |

(23)

As the key information document should be produced for investment products by entities operating in the banking, insurance, securities and fund sectors of the financial markets, it is of utmost importance to ensure a smooth co-operation between the various authorities supervising investment product manufacturers so that they have a common approach to the application of this Regulation.

| (23a) | The increase of powers and competences allocated to the Union and national supervisory authorities should be facilitated through sufficient staff resources and appropriate financial means. |
| --- | --- |

(23a)

The increase of powers and competences allocated to the Union and national supervisory authorities should be facilitated through sufficient staff resources and appropriate financial means.

| (24) | In line with the Commission Communication of December 2010 on reinforcing sanctioning regimes in the financial sector and in order to ensure that the requirements set out in this Regulation are fulfilled, it is important that Member States take necessary steps to ensure that breaches of this Regulation are subject to appropriate administrative sanctions and measures. In order to ensure that sanctions have a dissuasive effect and to strengthen investors' protection by warning them about investment products marketed in breach of this Regulation, sanctions and measures should ▌be published ▌. |
| --- | --- |

(24)

In line with the Commission Communication of December 2010 on reinforcing sanctioning regimes in the financial sector and in order to ensure that the requirements set out in this Regulation are fulfilled, it is important that Member States take necessary steps to ensure that breaches of this Regulation are subject to appropriate administrative sanctions and measures. In order to ensure that sanctions have a dissuasive effect and to strengthen investors' protection by warning them about investment products marketed in breach of this Regulation, sanctions and measures should ▌be published ▌.

| (25) | In order to fulfil the objectives of this Regulation, 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 specifying details with regard to the presentation and the format of the key information document, on the content of the information to be included in the key information document, detailed requirements with regard to the timing for provision of the key information document as well as in relation to its revision and review. It is of particular importance that the Commission carry out appropriate consultations
  and consumer testing
  during its preparatory work. 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)

In order to fulfil the objectives of this Regulation, 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 specifying details with regard to the presentation and the format of the key information document, on the content of the information to be included in the key information document, detailed requirements with regard to the timing for provision of the key information document as well as in relation to its revision and review. It is of particular importance that the Commission carry out appropriate consultations
  and consumer testing
  during its preparatory work. 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) | The Commission should adopt draft regulatory technical standards developed by ESMA, EBA and EIOPA according to Article 8 regarding the methodology underpinning the presentation of risk and reward and the calculation of costs
  and environmental social or governance criteria
  by the means of delegated acts pursuant to Article 290 of the Treaty on the Functioning of the European Union and in accordance with the respective Articles 10 to 14 of the Regulations (EU) No 1093/2010, 1094/2010 and 1095/2010 of the European Parliament and of the Council (11). |
| --- | --- |

(26)

The Commission should adopt draft regulatory technical standards developed by ESMA, EBA and EIOPA according to Article 8 regarding the methodology underpinning the presentation of risk and reward and the calculation of costs
  and environmental social or governance criteria
  by the means of delegated acts pursuant to Article 290 of the Treaty on the Functioning of the European Union and in accordance with the respective Articles 10 to 14 of the Regulations (EU) No 1093/2010, 1094/2010 and 1095/2010 of the European Parliament and of the Council (11).

| (27) | 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 governs the processing of personal data carried out in the Member States in the context of this Regulation and under the supervision of the competent authorities. 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, governs the processing of personal data carried out by the
  ESAs
  pursuant to this Regulation and under the supervision of the European Data Protection Supervisor. Any processing of personal data carried out within the framework of this Regulation, such as the exchange or transmission of personal data by the competent authorities should be in accordance with Directive 95/46/EC and any exchange or transmission of information by the
  ESAs
  should be in accordance with Regulation (EC) No 45/2001. |
| --- | --- |

(27)

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 governs the processing of personal data carried out in the Member States in the context of this Regulation and under the supervision of the competent authorities. 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, governs the processing of personal data carried out by the
  ESAs
  pursuant to this Regulation and under the supervision of the European Data Protection Supervisor. Any processing of personal data carried out within the framework of this Regulation, such as the exchange or transmission of personal data by the competent authorities should be in accordance with Directive 95/46/EC and any exchange or transmission of information by the
  ESAs
  should be in accordance with Regulation (EC) No 45/2001.

| (28) | While UCITS are investment products within the meaning of this Regulation, the recent establishment of the key investor information requirements under Directive 2009/65/EC means that it would be proportionate to provide to such UCITS a transitional period of 5 years after the entry into force of this Regulation during which time they would not be subject to this Regulation. Following this period they would become subject to this Regulation in the absence of any extension of this transitional period.
  The same exemption should also apply to non-UCITS funds when these are already required under national laws to establish a key investor information document according to the format and content defined in Articles 78 to 81 of Directive 2009/65/EC. |
| --- | --- |

(28)

While UCITS are investment products within the meaning of this Regulation, the recent establishment of the key investor information requirements under Directive 2009/65/EC means that it would be proportionate to provide to such UCITS a transitional period of 5 years after the entry into force of this Regulation during which time they would not be subject to this Regulation. Following this period they would become subject to this Regulation in the absence of any extension of this transitional period.
  The same exemption should also apply to non-UCITS funds when these are already required under national laws to establish a key investor information document according to the format and content defined in Articles 78 to 81 of Directive 2009/65/EC.

| (29) | A review of this Regulation should be carried out four years after the entry into force of this Regulation in order to take account of market developments, such as the emergence of new types of investment products, as well as developments in other areas of Union law and the experiences of Member States. The review should assess whether the measures introduced have improved the average retail investors'
  protection and
  understanding of investment products
  , their financial education
  and the comparability of the products. It should also consider whether the transitional period applying to UCITS should be extended, or whether other options for the treatment of UCITS might be considered. On the basis of the review, the Commission should submit a report to the European Parliament and the Council accompanied, if appropriate, by legislative proposals. |
| --- | --- |

(29)

A review of this Regulation should be carried out four years after the entry into force of this Regulation in order to take account of market developments, such as the emergence of new types of investment products, as well as developments in other areas of Union law and the experiences of Member States. The review should assess whether the measures introduced have improved the average retail investors'
  protection and
  understanding of investment products
  , their financial education
  and the comparability of the products. It should also consider whether the transitional period applying to UCITS should be extended, or whether other options for the treatment of UCITS might be considered. On the basis of the review, the Commission should submit a report to the European Parliament and the Council accompanied, if appropriate, by legislative proposals.

| (30) | In order to give investment product manufacturers and persons selling investment products sufficient time to prepare for the practical application of the requirements of this Regulation, the requirements of this Regulation should not become applicable until two years after the entry into force of this Regulation.
  This Regulation should not apply to transactions which have taken place in the past. |
| --- | --- |

(30)

In order to give investment product manufacturers and persons selling investment products sufficient time to prepare for the practical application of the requirements of this Regulation, the requirements of this Regulation should not become applicable until two years after the entry into force of this Regulation.
  This Regulation should not apply to transactions which have taken place in the past.

| (31) | This Regulation respects fundamental rights and observes the principles recognised in particular by the Charter of the Fundamental Rights of the European Union. |
| --- | --- |

(31)

This Regulation respects fundamental rights and observes the principles recognised in particular by the Charter of the Fundamental Rights of the European Union.

| (32) | Since the objective of this Regulation, namely to enhance retail investors' protection and improve their confidence in investment products
  and to address identified weaknesses
  , including where
  those
  products are sold cross-border, cannot be sufficiently achieved by the Member States acting independently of one another, ▌but can rather, by reason of its effects, be better achieved at Union level, the Union may adopt measures, in accordance with principle of subsidiarity as set out in Article 5 of the Treaty of 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
  , |
| --- | --- |

(32)

Since the objective of this Regulation, namely to enhance retail investors' protection and improve their confidence in investment products
  and to address identified weaknesses
  , including where
  those
  products are sold cross-border, cannot be sufficiently achieved by the Member States acting independently of one another, ▌but can rather, by reason of its effects, be better achieved at Union level, the Union may adopt measures, in accordance with principle of subsidiarity as set out in Article 5 of the Treaty of 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
  ,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT MATTER, SCOPE AND DEFINITIONS

Article 1

This Regulation lays down uniform rules on the format and content of the key information document to be drawn up
  exclusively
  by
  the
  investment product manufacturers
  , on the annex to the key information document, which shall be drawn up, where necessary, by the persons selling investment products, on the information to be provided to retail investors by the persons selling investment products in accordance with [MiFID] and Directive of the European Parliament and of the council on insurance mediation [IMD]
  and
  on
  uniform rules on the provision of
  those documents
  to retail investors.
  It aims to enable retail investors to understand and compare the key features and risks of investment product and allocates responsibility to the product manufacturer for the key information document and to the persons selling investment products for the annex.

Article 2

This Regulation shall apply to the manufacturing and selling of investment products.

However, it shall not apply to the following products:

| (a) | insurance products which do not offer a surrender value ▌; |
| --- | --- |

(a)

insurance products which do not offer a surrender value ▌;

| (b) | deposits
  other than structured deposits as defined in Article 4 of [MiFID]
  ; |
| --- | --- |

(b)

deposits
  other than structured deposits as defined in Article 4 of [MiFID]
  ;

| (c) | securities referred to in points (b) to (g), (i) and (j) of Article 1(2) of Directive 2003/71/EC; |
| --- | --- |

(c)

securities referred to in points (b) to (g), (i) and (j) of Article 1(2) of Directive 2003/71/EC;

| (d) | other securities which do not embed a derivative
  , with the exception of corporate bonds and instruments issued by special purpose vehicles
  (
  SPVs
  ); |
| --- | --- |

(d)

other securities which do not embed a derivative
  , with the exception of corporate bonds and instruments issued by special purpose vehicles
  (
  SPVs
  );

| (e) | officially recognised
  occupational pension schemes ▌and
  individual pension products for which a financial contribution from the employer is required by national law and where the employee has no choice as to the provider; |
| --- | --- |

(e)

officially recognised
  occupational pension schemes ▌and
  individual pension products for which a financial contribution from the employer is required by national law and where the employee has no choice as to the provider;

| (f) | officially recognised social security schemes subject to national or Union law. |
| --- | --- |

(f)

officially recognised social security schemes subject to national or Union law.

Article 3

1.   Where investment product manufacturers subject to this Regulation are also subject to Directive 2003/71/EC, this Regulation and Directive 2003/71/EC
  with the exception of its Article 4(2)(h)(v) thereof,
  shall both apply.

2.   Where investment product manufacturers subject to this Regulation are also subject to Directive 2009/138/EC, this Regulation and Directive 2009/138/EC shall both apply.

Article 4

For the purposes of this Regulation, the following definitions shall apply:

| (a) | ‘investment product’ means
  a product through which a person can make a financial
  investment
  , regardless of the legal form and regardless whether the amount repayable is fixed or variable, including where an investment product is obtained through the direct holding of financial instruments, vehicles or holdings
  ; |
| --- | --- |

(a)

‘investment product’ means
  a product through which a person can make a financial
  investment
  , regardless of the legal form and regardless whether the amount repayable is fixed or variable, including where an investment product is obtained through the direct holding of financial instruments, vehicles or holdings
  ;

| (b) | ‘investment product manufacturer’ means:






  (i) | any natural or legal person who
  originally
  manufactures an investment product; |
| --- | --- | --- |

(b)

‘investment product manufacturer’ means:

(i)

any natural or legal person who
  originally
  manufactures an investment product;

| (ii) | any natural or legal person who makes changes to an existing investment product by altering its risk and reward profile or the costs associated with an investment in the investment product; |
| --- | --- |

(ii)

any natural or legal person who makes changes to an existing investment product by altering its risk and reward profile or the costs associated with an investment in the investment product;

| (iia) | the issuer of transferable securities offered to the public or admitted to trading on a regulated market pursuant to the provisions of Directive 2003/71/EC and directly held by the retail investors. |
| --- | --- |

(iia)

the issuer of transferable securities offered to the public or admitted to trading on a regulated market pursuant to the provisions of Directive 2003/71/EC and directly held by the retail investors.

| (ba) | ‘person selling investment products’ means a person advising, marketing, distributing or selling investment products to a retail investor, a distributor or a person acting as an intermediary for an investment by a retail investor; |
| --- | --- |

(ba)

‘person selling investment products’ means a person advising, marketing, distributing or selling investment products to a retail investor, a distributor or a person acting as an intermediary for an investment by a retail investor;

| (c) | ‘retail investors’ means:






  (i) | retail clients as defined in ▌ [reference to MIFID/MIFIR]; |
| --- | --- | --- |

(c)

‘retail investors’ means:

(i)

retail clients as defined in ▌ [reference to MIFID/MIFIR];

| ii) | customers
  who are not professional customers as defined in [Annex I of IMD] [...]
  ; |
| --- | --- |

ii)

customers
  who are not professional customers as defined in [Annex I of IMD] [...]
  ;

| (d) | ‘pension products’ means products which under national law are recognised as having the primary purpose of providing the
  retail
  investor an income in retirement, and which entitles the
  retail
  investor to certain benefits; |
| --- | --- |

(d)

‘pension products’ means products which under national law are recognised as having the primary purpose of providing the
  retail
  investor an income in retirement, and which entitles the
  retail
  investor to certain benefits;

| (e) | ‘durable medium’ means a durable medium as defined in Article 2(m) of Directive 2009/65/EC; |
| --- | --- |

(e)

‘durable medium’ means a durable medium as defined in Article 2(m) of Directive 2009/65/EC;

| (f) | ‘competent authorities’ means the national authorities of Member States, legally empowered to supervise the investment product manufacturer or a person selling an investment product to a retail investor. |
| --- | --- |

(f)

‘competent authorities’ means the national authorities of Member States, legally empowered to supervise the investment product manufacturer or a person selling an investment product to a retail investor.

CHAPTER II

KEY INFORMATION DOCUMENT

SECTION 1

DRAWING UP THE KEY INFORMATION DOCUMENT

Article 5

The investment product manufacturer shall draw up a key information document in accordance with the requirements laid down in this Regulation
  and
  for each investment product it produces and shall publish the
  key information document, together with the prospectus, where relevant, on its website and on a single website to be created by the relevant ESA and the relevant national supervisory authority
  before the investment product can be
  distributed in the market and
  sold to retail investors.

The key information document shall be completed by an annex, where appropriate. The person selling the investment product shall complete the key information document by drawing up and annex thereto. The document and its annex shall also be available in paper form.

The investment product manufacturer shall be responsible for the contents of the key information document, the person selling the product shall be responsible for the annex and for passing the document on to the retail investor, and the person selling the product shall be responsible for the annex and for passing the document on to the retail investor.

Article 5a

Product approval process

1.
     
  An investment product manufacturer shall ensure that appropriate procedures and policies provide for a balanced consideration of the interests of retail investors, clients and the beneficiaries of such investment product during the development of the investment product, and that the investment product is demonstrably the result of such a balanced consideration.

2.
     
  Before drawing up a key information document in accordance with Article 5 the product manufacturer shall assess the compatibility of the investment product with the interests of retail investors by establishing a documented product approval process.

3.
     
  The product approval process shall ensure that each investment product meets the needs of an identified consumer group and that the product manufacturer has undertaken an assessment of all likely risks relevant for the needs of the identified consumer group
  .
  Such an assessment shall include stress testing of the investment product.

4.
     
  The product approval process shall ensure that investment products that are already available on the market are regularly reviewed in order to ensure that the product continues to be compatible with the interests of the identified consumer group.

5.
     
  The product approval process shall be reviewed annually. The investment product manufacturer shall at all times be able to provide the relevant competent authority with an up-to-date and detailed description of the nature and the details of the product approval process.

SECTION II

FORM AND CONTENT OF THE KEY INFORMATION DOCUMENT

Article 6

1.   The key information document shall be accurate, fair, clear and not misleading.
  The key information document shall not contain any product advertisements, marketing material, personal endorsements or recommendation to invest.

2.   The key information document shall be a stand-alone document, clearly separate from
  , but not inferior to,
  marketing materials.
  It may contain cross-references to other documents such as a prospectus, where the cross-reference is to information that is additional to the information required to be included in the key information document by this Regulation. It shall not contain cross-references to marketing material.

2a.
     
  Where an investment product provides a retail investor with options in relation to the investment term, choice of benefits or payment amounts or offers a range of underlying investments they can choose from, or where elements of the information in the key information document can vary and depend upon factors specific to an individual retail client, the information required by Article 8(2) may be presented in generic terms and as representative examples. Where this situation arises, the key information document shall clearly indicate in which documents more specific information will be provided.

2b.
     
  The key information document shall clearly specify where and how to obtain additional information about the proposed investment, including where and how a prospectus can be obtained. A prospectus shall be made available on request and free of charge at any time, and in the language in which such information is available to retail investors.

3.   The key information document shall be drawn up as a short document
  written in a concise manner of a maximum of two double-sided A4 pages and an annex
  which
  promotes comparability and
  is:

| (a) | presented and laid out in a way that is easy to read, using characters of readable size; |
| --- | --- |

(a)

presented and laid out in a way that is easy to read, using characters of readable size;

| (aa) | focused on the key information that retail investors need; |
| --- | --- |

(aa)

focused on the key information that retail investors need;

| (b) | clearly expressed and written in language
  and a style
  that
  communicate
  in a way that facilitates
  the understanding of the information by
  the retail
  investors at whom it is targeted
  , in particular
  , in
  language
  that
  is clear, succinct and comprehensible.
  ▌ |
| --- | --- |

(b)

clearly expressed and written in language
  and a style
  that
  communicate
  in a way that facilitates
  the understanding of the information by
  the retail
  investors at whom it is targeted
  , in particular
  , in
  language
  that
  is clear, succinct and comprehensible.

▌

4.   Where colours are used in the key information document, they shall not diminish the comprehensibility of the information
  if
  the key information document is printed or photocopied in black and white.

5.   Where the corporate branding or logo of the investment product manufacturer or the group to which it belongs is used in the key information document, it shall not distract the retail investor from the information contained in the document or obscure the text.

Article 7

The key information document shall be written in the official
  languages
  , or
  in
  one of the official languages
  used in the part
  of the Member State where the investment product is
  distributed
  , or in
  another
  language accepted by the competent authorities of that Member State, or where it has been written in a different language, it shall be translated into one of these languages.

Article 7a

Where the key information document concerns an insurance contract, the insurance undertaking has obligations under this Regulation only towards the policyholder and not towards the beneficiary or insured.

Article 8

1.   The title ‘Key Information Document’ shall appear prominently at the top of the first page of the key information document.
  The key information document other than the annex thereto shall be produced by one party. The key information document shall carry the name of the product manufacturer responsible for drawing up the key information document and shall clearly state that the product manufacturer is liable for its contents. The annex shall similarly be produced by the person selling and shall state the name of the person or entity and clearly declare that it is liable for the contents of the annex.

The key information document shall be presented in the sequence set out in the following paragraphs.

An explanatory statement shall appear directly underneath the title. It shall read:

‘
  You are preparing to buy an investment product
  .

This document provides you with key information
  to help you understand the features, risks, costs, potential gains and losses associated to it and in its annex the fee paid to the person selling.

This document
  is required by law
  , is not marketing material and is in a standard format to allow comparison
  .’

2.   The key information document shall contain the following information:

| (a) | ▌the name of the investment product and identity of the investment product manufacturer,
  and holder of legal liability for the document (name and address)
  ; |
| --- | --- |

(a)

▌the name of the investment product and identity of the investment product manufacturer,
  and holder of legal liability for the document (name and address)
  ;

and holder of legal liability for the document (name and address)

| (b) | under a section titled ‘What is this investment?’, the nature and main features of the investment product, including






  (i) | the type of the investment product; |
| --- | --- | --- |

(b)

under a section titled ‘What is this investment?’, the nature and main features of the investment product, including

(i)

the type of the investment product;

| (ii) | its objectives and the means for achieving them; |
| --- | --- |

(ii)

its objectives and the means for achieving them;

| (iia) | information about the intended consumer group of the product including a description in simple terms of the types of investors for whom the investment product is intended, in terms of risk appetite, investment horizon and financial knowledge which is based on the product approval process which the product manufacturer has carried out when structuring the investment product; |
| --- | --- |

(iia)

(iia)

information about the intended consumer group of the product including a description in simple terms of the types of investors for whom the investment product is intended, in terms of risk appetite, investment horizon and financial knowledge which is based on the product approval process which the product manufacturer has carried out when structuring the investment product;

information about the intended consumer group of the product including a description in simple terms of the types of investors for whom the investment product is intended, in terms of risk appetite, investment horizon and financial knowledge which is based on the product approval process which the product manufacturer has carried out when structuring the investment product;

| (iii) | a notification
  whether
  or not
  the investment product ▌targets specific environmental, social or governance outcomes,
  including but not limited to reducing the carbon footprint,
  how these are
  measured and whether or not the product is an investment linked to the production of goods and services, as opposed to solely operations on the financial markets or a synthetic index
  ; |
| --- | --- |

(iii)

a notification
  whether
  or not
  the investment product ▌targets specific environmental, social or governance outcomes,
  including but not limited to reducing the carbon footprint,
  how these are
  measured and whether or not the product is an investment linked to the production of goods and services, as opposed to solely operations on the financial markets or a synthetic index
  ;

a notification

or not

including but not limited to reducing the carbon footprint,

measured and whether or not the product is an investment linked to the production of goods and services, as opposed to solely operations on the financial markets or a synthetic index

| (iiia) | the breakdown of the underlying asset portfolio by economic sector directly or indirectly financed; |
| --- | --- |

(iiia)

(iiia)

the breakdown of the underlying asset portfolio by economic sector directly or indirectly financed;

the breakdown of the underlying asset portfolio by economic sector directly or indirectly financed;

▌

| (c) | under a section titled
  ‘What decisions do I have to make?’, information about the various decisions a retail investor must make, e.g. fund choice, term, size of premium, including what other benefits or benefit triggers are available;


  ▌ |
| --- | --- |

(c)

under a section titled
  ‘What decisions do I have to make?’, information about the various decisions a retail investor must make, e.g. fund choice, term, size of premium, including what other benefits or benefit triggers are available;

‘What decisions do I have to make?’, information about the various decisions a retail investor must make, e.g. fund choice, term, size of premium, including what other benefits or benefit triggers are available;

▌

| (d) | under a section titled ▌‘What are the risks and what might I get back
  in return
  ?’ having regard to the ▌ market evolution it targets:








  (i) | the risk and reward profile of the investment product, including a summary indicator consisting of a clear and easily understandable visualisation of the risk and reward profile of the investment product; |
| --- | --- | --- |

(d)

under a section titled ▌‘What are the risks and what might I get back
  in return
  ?’ having regard to the ▌ market evolution it targets:

in return

(i)

(i)

the risk and reward profile of the investment product, including a summary indicator consisting of a clear and easily understandable visualisation of the risk and reward profile of the investment product;

the risk and reward profile of the investment product, including a summary indicator consisting of a clear and easily understandable visualisation of the risk and reward profile of the investment product;

| (ii) | indicative future net performance scenarios, accompanied by a narrative explanation of the key risks of the product to put the profile into context; the description of the risks should be clear and easy to understand; |
| --- | --- |

(ii)

(ii)

indicative future net performance scenarios, accompanied by a narrative explanation of the key risks of the product to put the profile into context; the description of the risks should be clear and easy to understand;

indicative future net performance scenarios, accompanied by a narrative explanation of the key risks of the product to put the profile into context; the description of the risks should be clear and easy to understand;

| (iii) | for pension products, under a sub-section titled ‘What might I get when I retire?’, projections of possible future outcomes explicitly subdivided into various development scenarios, including the worst-case scenario. |
| --- | --- |

(iii)

(iii)

for pension products, under a sub-section titled ‘What might I get when I retire?’, projections of possible future outcomes explicitly subdivided into various development scenarios, including the worst-case scenario.

for pension products, under a sub-section titled ‘What might I get when I retire?’, projections of possible future outcomes explicitly subdivided into various development scenarios, including the worst-case scenario.

The relevant European Supervisory Authority (ESA) shall develop draft regulatory technical standards laying down the precise definition of a limited range of risk categories and the standards for the visualisation of the summary indicator.

It shall submit those draft regulatory technical standards to the Commission by ...

Power is delegated to the Commission to adopt the regulatory technical standards referred to in the second subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1095/2010.

| (e) | under a section titled
  ‘What can happen with my investment? Are there backstops and what do they cost?’ a clear indication of
  whether
  loss of capital is possible










  (i) | any guarantees and/or capital protection provided, as well as any limitation to these, the aggregated amount including the identity of the possessor of such liability; |
| --- | --- | --- |

(e)

under a section titled
  ‘What can happen with my investment? Are there backstops and what do they cost?’ a clear indication of
  whether
  loss of capital is possible

‘What can happen with my investment? Are there backstops and what do they cost?’ a clear indication of

loss of capital is possible

(i)

(i)

any guarantees and/or capital protection provided, as well as any limitation to these, the aggregated amount including the identity of the possessor of such liability;

any guarantees and/or capital protection provided, as well as any limitation to these, the aggregated amount including the identity of the possessor of such liability;

| (ii) | whether the investment product is covered by a compensation or guarantee scheme, and if so, which scheme, the name of the guarantor and which risks are covered by the scheme and which are not; |
| --- | --- |

(ii)

(ii)

whether the investment product is covered by a compensation or guarantee scheme, and if so, which scheme, the name of the guarantor and which risks are covered by the scheme and which are not;

whether the investment product is covered by a compensation or guarantee scheme, and if so, which scheme, the name of the guarantor and which risks are covered by the scheme and which are not;

| (iii) | under a sub-section ‘Am I protected by insurance?’, a clear notification as to whether or not the investment product comprises insurance and if so information about such insurance cover; |
| --- | --- |

(iii)

(iii)

under a sub-section ‘Am I protected by insurance?’, a clear notification as to whether or not the investment product comprises insurance and if so information about such insurance cover;

under a sub-section ‘Am I protected by insurance?’, a clear notification as to whether or not the investment product comprises insurance and if so information about such insurance cover;

| (iv) | if relevant, other protective measures such as fund depositary, including the identity and function of the parties involved; |
| --- | --- |

(iv)

(iv)

if relevant, other protective measures such as fund depositary, including the identity and function of the parties involved;

if relevant, other protective measures such as fund depositary, including the identity and function of the parties involved;

| (ea) | under a sub-section entitled: ‘What happens if the investment product manufacturer or seller default?’, a brief description of the maximum loss for the retail investor and reference to whether the loss can be recovered by a retail investor compensation or guarantee scheme; |
| --- | --- |

(ea)

(ea)

under a sub-section entitled: ‘What happens if the investment product manufacturer or seller default?’, a brief description of the maximum loss for the retail investor and reference to whether the loss can be recovered by a retail investor compensation or guarantee scheme;

under a sub-section entitled: ‘What happens if the investment product manufacturer or seller default?’, a brief description of the maximum loss for the retail investor and reference to whether the loss can be recovered by a retail investor compensation or guarantee scheme;

| (eb) | under a section titled ‘What happens if/when I die?’, information about what happens to the money held by the product/funds and any additional death benefit; |
| --- | --- |

(eb)

(eb)

under a section titled ‘What happens if/when I die?’, information about what happens to the money held by the product/funds and any additional death benefit;

under a section titled ‘What happens if/when I die?’, information about what happens to the money held by the product/funds and any additional death benefit;

| (f) | under a section titled ‘What are the costs?’, the
  total
  costs associated with an investment in the investment product, comprising
  all
  direct and indirect costs to be borne by the investor, including summary indicators of these costs
  , including:










  (i) | entry, on-going and exit costs to be borne by the retail investor, as well as premium payment terms and flexibility, making a clear distinction between matters that are the responsibility of the product manufacturer and those that are the responsibility of the persons selling investment products, including summary indicators of those costs; |
| --- | --- | --- |

(f)

under a section titled ‘What are the costs?’, the
  total
  costs associated with an investment in the investment product, comprising
  all
  direct and indirect costs to be borne by the investor, including summary indicators of these costs
  , including:

total

all

, including:

(i)

(i)

entry, on-going and exit costs to be borne by the retail investor, as well as premium payment terms and flexibility, making a clear distinction between matters that are the responsibility of the product manufacturer and those that are the responsibility of the persons selling investment products, including summary indicators of those costs;

entry, on-going and exit costs to be borne by the retail investor, as well as premium payment terms and flexibility, making a clear distinction between matters that are the responsibility of the product manufacturer and those that are the responsibility of the persons selling investment products, including summary indicators of those costs;

| (ii) | all annual charges and other payments taken from the product over a defined period, including any variable charges (such as transaction costs, stock exchange taxes), which cannot be included in the calculations of costs. |
| --- | --- |

(ii)

(ii)

all annual charges and other payments taken from the product over a defined period, including any variable charges (such as transaction costs, stock exchange taxes), which cannot be included in the calculations of costs.

all annual charges and other payments taken from the product over a defined period, including any variable charges (such as transaction costs, stock exchange taxes), which cannot be included in the calculations of costs.

The costs and deductions shall be indicated in a way that shows their compound cumulative effect on the investment over representative periods of investment; and, for comparability reasons, total costs expressed in monetary examples and percentage terms, to show the effects of the total costs on the investment.

If the investment product has a margin cap for possible returns which reduces the net return to the retail investor by giving the manufacturer all profit above the cap, this should be clearly disclosed.

Information shall be provided on how to access the independent online fund calculator operated by the relevant ESA
  ;

Information shall be provided on how to access the independent online fund calculator operated by the relevant ESA

▌

| (h) | under a section ‘Can I take money out?’:










  (i) | the possibility of a cooling off for the investment product. |
| --- | --- | --- |

(h)

under a section ‘Can I take money out?’:

under a section ‘Can I take money out?’:

(i)

(i)

the possibility of a cooling off for the investment product.

the possibility of a cooling off for the investment product

| (ii) | an indication of the recommended or required minimum holding period, |
| --- | --- |

(ii)

(ii)

an indication of the recommended or required minimum holding period,

an indication of the recommended or required minimum holding period,

| (iii) | the possibility and conditions for any disinvestments before maturity, having regard to the risk and reward profile of the investment product and the market evolution it targets; |
| --- | --- |

(iii)

(iii)

the possibility and conditions for any disinvestments before maturity, having regard to the risk and reward profile of the investment product and the market evolution it targets;

the possibility and conditions for any disinvestments before maturity, having regard to the risk and reward profile of the investment product and the market evolution it targets;

| (iv) | information about the potential consequences of cashing in before the end of the term or recommended holding period; |
| --- | --- |

(iv)

(iv)

information about the potential consequences of cashing in before the end of the term or recommended holding period;

information about the potential consequences of cashing in before the end of the term or recommended holding period;

| (v) | an indication of the average investment horizon of the underlying asset portfolio, based on the average turnover of securities held for trading and the average maturity of debt securities held to maturity. |
| --- | --- |

(v)

(v)

an indication of the average investment horizon of the underlying asset portfolio, based on the average turnover of securities held for trading and the average maturity of debt securities held to maturity.

an indication of the average investment horizon of the underlying asset portfolio, based on the average turnover of securities held for trading and the average maturity of debt securities held to maturity.

| (ha) | under a section titled ‘How will I know how my product is doing?’, a statement that the manufacturer will transparently inform the customer through a yearly document about the achievement of the investment product. This document shall contain an ex-post disclosure of the investment product's return in the past year. Furthermore, this ex-post return shall be compared to a different investment product with a comparable risk profile. If the customer owns several investment products of a certain manufacturer and covered by this regulation, the aforementioned disclosure and comparison shall by applied to the whole portfolio. Any cost affecting the yield of the investment product shall also be disclosed. |
| --- | --- |

(ha)

(ha)

under a section titled ‘How will I know how my product is doing?’, a statement that the manufacturer will transparently inform the customer through a yearly document about the achievement of the investment product. This document shall contain an ex-post disclosure of the investment product's return in the past year. Furthermore, this ex-post return shall be compared to a different investment product with a comparable risk profile. If the customer owns several investment products of a certain manufacturer and covered by this regulation, the aforementioned disclosure and comparison shall by applied to the whole portfolio. Any cost affecting the yield of the investment product shall also be disclosed.

under a section titled ‘How will I know how my product is doing?’, a statement that the manufacturer will transparently inform the customer through a yearly document about the achievement of the investment product. This document shall contain an ex-post disclosure of the investment product's return in the past year. Furthermore, this ex-post return shall be compared to a different investment product with a comparable risk profile. If the customer owns several investment products of a certain manufacturer and covered by this regulation, the aforementioned disclosure and comparison shall by applied to the whole portfolio. Any cost affecting the yield of the investment product shall also be disclosed.

| (hb) | under a section titled ‘How can I complain?’, information about how and to whom a client can make a complaint about the product and its administration; |
| --- | --- |

(hb)

(hb)

under a section titled ‘How can I complain?’, information about how and to whom a client can make a complaint about the product and its administration;

under a section titled ‘How can I complain?’, information about how and to whom a client can make a complaint about the product and its administration;

| (hc) | under a section titled ‘What are the other legal documents related to this product’, a brief description of documentation (including a prospectus, where relevant) and excluding any marketing material; |
| --- | --- |

(hc)

(hc)

under a section titled ‘What are the other legal documents related to this product’, a brief description of documentation (including a prospectus, where relevant) and excluding any marketing material;

under a section titled ‘What are the other legal documents related to this product’, a brief description of documentation (including a prospectus, where relevant) and excluding any marketing material;

| (hd) | at a section near the end of the document, a new heading entitled ‘Information about the product’, which states, where applicable, the product's:










  (i) | international securities identification number (ISIN); |
| --- | --- | --- |

(hd)

(hd)

at a section near the end of the document, a new heading entitled ‘Information about the product’, which states, where applicable, the product's:

at a section near the end of the document, a new heading entitled ‘Information about the product’, which states, where applicable, the product's:

(i)

(i)

international securities identification number (ISIN);

international securities identification number (ISIN);

| (ii) | international standards on auditing (ISA) number; |
| --- | --- |

(ii)

(ii)

international standards on auditing (ISA) number;

international standards on auditing (ISA) number;

| (iii) | interest rate; |
| --- | --- |

(iii)

(iii)

interest rate;

interest rate;

| (iv) | stock exchange linked to the product; |
| --- | --- |

(iv)

(iv)

stock exchange linked to the product;

stock exchange linked to the product;

| (v) | currency; and |
| --- | --- |

(v)

(v)

currency; and

currency; and

| (vi) | issue date. |
| --- | --- |

(vi)

(vi)

issue date.

issue date.

| (he) | name and contact details of the competent authority which regulates the product; |
| --- | --- |

(he)

(he)

name and contact details of the competent authority which regulates the product;

name and contact details of the competent authority which regulates the product;

| (hf) | under a section titled ‘Insurance benefits’, an indication if the investment product offers insurance benefits and if so, details of these insurance benefits, in accordance with Directive 2009/138/EC, save for Article 8(2) thereof. Where the contract gives a choice between several unit linked life insurances, it shall also include a summary table classifying these units in three categories, according to their riskiness.



  Having regard to Directive 2009/138/EC and in accordance with Article 8 of this Regulation, EIOPA shall be empowered to determine:









  (i) | the main features of the insurance contract; |
| --- | --- | --- |

(hf)

(hf)

under a section titled ‘Insurance benefits’, an indication if the investment product offers insurance benefits and if so, details of these insurance benefits, in accordance with Directive 2009/138/EC, save for Article 8(2) thereof. Where the contract gives a choice between several unit linked life insurances, it shall also include a summary table classifying these units in three categories, according to their riskiness.

under a section titled ‘Insurance benefits’, an indication if the investment product offers insurance benefits and if so, details of these insurance benefits, in accordance with Directive 2009/138/EC, save for Article 8(2) thereof. Where the contract gives a choice between several unit linked life insurances, it shall also include a summary table classifying these units in three categories, according to their riskiness.

Having regard to Directive 2009/138/EC and in accordance with Article 8 of this Regulation, EIOPA shall be empowered to determine:

(i)

(i)

the main features of the insurance contract;

the main features of the insurance contract;

| (ii) | the exact form of the specific insurance document; |
| --- | --- |

(ii)

(ii)

the exact form of the specific insurance document;

the exact form of the specific insurance document;

| (iii) | the content of the specific insurance document, including the asset allocation options offered to the retail investor; |
| --- | --- |

(iii)

(iii)

the content of the specific insurance document, including the asset allocation options offered to the retail investor;

the content of the specific insurance document, including the asset allocation options offered to the retail investor;

| (iv) | the rules to classify the units in three categories. |
| --- | --- |

(iv)

(iv)

the rules to classify the units in three categories.

the rules to classify the units in three categories.

The investment product manufacturer shall distribute a key information document for each underlying investment of insurance contracts eligible to this Regulation. The underlying investments include the units of account and/or the currency-denominated funds if relevant and the category of riskiness attached to each of them.

3.   
  The annex to the key information document shall disclose the identity of the person selling investment products and also, where applicable, shall specify:

The annex to the key information document shall disclose the identity of the person selling investment products and also, where applicable, shall specify:

| (a) | an indication that national tax legislation of the investor's home Member State may have a significant impact on the expected and actual return of investment; |
| --- | --- |

(a)

(a)

an indication that national tax legislation of the investor's home Member State may have a significant impact on the expected and actual return of investment;

an indication that national tax legislation of the investor's home Member State may have a significant impact on the expected and actual return of investment;

| (b) | the costs related to the investment product when he is the intermediary, including the commissions, retrocessions or other benefits related to the transaction paid by the manufacturer or a third party, as provided for in Directive 2004/39/EC and in Directive 2002/39/EC

   (12). |
| --- | --- |

(b)

(b)

the costs related to the investment product when he is the intermediary, including the commissions, retrocessions or other benefits related to the transaction paid by the manufacturer or a third party, as provided for in Directive 2004/39/EC and in Directive 2002/39/EC

   (12).

the costs related to the investment product when he is the intermediary, including the commissions, retrocessions or other benefits related to the transaction paid by the manufacturer or a third party, as provided for in Directive 2004/39/EC and in Directive 2002/39/EC

12

3a.
     
  The relevant ESA shall develop an independent online fund calculator which will be included on its website. The fund calculator shall allow investors to compute the reward of a proposed retail investment product by entering information on the expected duration of the investment, the amount of the investment, and the assumed underlying investment return in percentage terms in order to determine the end value of the investment after costs.

3a.

The relevant ESA shall develop an independent online fund calculator which will be included on its website. The fund calculator shall allow investors to compute the reward of a proposed retail investment product by entering information on the expected duration of the investment, the amount of the investment, and the assumed underlying investment return in percentage terms in order to determine the end value of the investment after costs.

The fund calculator shall include in its calculation the costs and fees charged by the various investment product manufacturers for any fund sold to the public, together with any further costs or fees charged by intermediaries or other parts of the investment chain, not already included by the product manufacturers.

The fund calculator shall include in its calculation the costs and fees charged by the various investment product manufacturers for any fund sold to the public, together with any further costs or fees charged by intermediaries or other parts of the investment chain, not already included by the product manufacturers.

Investment product manufacturers and persons recommending or selling investment products shall be required to submit relevant data to the relevant ESA on a quarterly basis, with a maximum delay of 60 days for that purpose.

Investment product manufacturers and persons recommending or selling investment products shall be required to submit relevant data to the relevant ESA on a quarterly basis, with a maximum delay of 60 days for that purpose.

The relevant ESA shall be provided with the resources with which to carry out this work. It shall work closely with the other ESAs where necessary.

The relevant ESA shall be provided with the resources with which to carry out this work. It shall work closely with the other ESAs where necessary.

4.   The information referred to in paragraph 2 shall be presented in a common format including the common headings and following the standardised order set out in paragraph 2, so as to allow for comparison with the key information document for any other investment product
  and
  prominently display a common symbol to distinguish the document from other documents.

and

5.   The Commission shall be empowered to adopt delegated acts in accordance with Article 23 specifying the details of the presentation and the content of each of the elements of information referred to in paragraph 2,
  including the effect of introducing risk indicators, and in paragraph 3(a),
  the presentation and details of the other information the product manufacturer
  and the person selling investment products
  may include within the key information document as referred to in paragraph 3, and the details of the common format and the common symbol referred to in paragraph 4. The Commission shall take into account the differences between investment products and the capabilities of retail investors as well as the features of investment products that allow the retail investor to select between different underlying investments or other options provided for by the product, including where this selection can be undertaken at different points in time, or changed in the future.

including the effect of introducing risk indicators, and in paragraph 3(a),

and the person selling investment products

The Commission shall also be empowered to adopt delegated acts laying down guidelines for the development of Union criteria for social and environmental investment products. Those criteria should support long-term financing economy and promote sustainable environmental and social development in financial investments and promote the establishment of a Union-wide label for sustainable investment. The Commission shall also be empowered to adopt delegated acts laying to define the standards for those environmental notifications on the possible environmental risks.

The Commission shall also be empowered to adopt delegated acts laying down guidelines for the development of Union criteria for social and environmental investment products. Those criteria should support long-term financing economy and promote sustainable environmental and social development in financial investments and promote the establishment of a Union-wide label for sustainable investment. The Commission shall also be empowered to adopt delegated acts laying to define the standards for those environmental notifications on the possible environmental risks.

Before adopting the delegated acts set out in this paragraph, the Commission shall conduct consumer testing in order to select the most appropriate measures for retail investors. The Commission in close cooperation with the ESAs shall also draw up sample key information documents that take into account the differences between investment products.

Before adopting the delegated acts set out in this paragraph, the Commission shall conduct consumer testing in order to select the most appropriate measures for retail investors. The Commission in close cooperation with the ESAs shall also draw up sample key information documents that take into account the differences between investment products.

6.   ▌ EBA), ▌EIOPA and the ▌ESMA shall develop draft regulatory standards to determine:

| (a) | the methodology underpinning the presentation of risk and reward
  profiles
  as referred to in point (e) of paragraph 2 of this Article; |
| --- | --- |

(a)

the methodology underpinning the presentation of risk and reward
  profiles
  as referred to in point (e) of paragraph 2 of this Article;

profiles

| (b) | the calculation of costs
  , including the specification of summary indicators,
  as referred to in point (f) of paragraph 2 of this Article; |
| --- | --- |

(b)

the calculation of costs
  , including the specification of summary indicators,
  as referred to in point (f) of paragraph 2 of this Article;

, including the specification of summary indicators,

| (ba) | the principles to be used for environmental, social or governance outcomes as referred to in paragraph 2(b)(iii); |
| --- | --- |

(ba)

(ba)

the principles to be used for environmental, social or governance outcomes as referred to in paragraph 2(b)(iii);

the principles to be used for environmental, social or governance outcomes as referred to in paragraph 2(b)(iii);

| (bb) | in relation to each of the questions referred to in this Article, the list of products to which they apply. |
| --- | --- |

(bb)

(bb)

in relation to each of the questions referred to in this Article, the list of products to which they apply.

in relation to each of the questions referred to in this Article, the list of products to which they apply.

The draft regulatory technical standards shall take into account the different types of investment products
  and the work already performed under [MiFID], [IMD], Directive 2003/71/EC, Directive 2009/138/EC and Directive 2009/65/EC introducing a key investor information document for UCITS
  .

and the work already performed under [MiFID], [IMD], Directive 2003/71/EC, Directive 2009/138/EC and Directive 2009/65/EC introducing a key investor information document for UCITS

The
  ESA
  s shall submit those draft regulatory technical standards to the Commission by [...].

ESA

Power is conferred on the Commission to adopt the regulatory technical standards
  referred to in the first subparagraph
  in accordance with the procedure set out in Articles 10 to 14 of Regulation (EU) No 1093/2010, Articles 10 to 14 of Regulation (EU) No 1094/2010 and Articles 10 to 14 of Regulation (EU) No 1095/2010.

referred to in the first subparagraph

Article 8a

Article 8a

Complexity label

Complexity label

1.
     
  Investment products exposed to one or more of the risks described in paragraph 2 shall disclose at the top of the first page of the key information document in clearly visible print the following statement:

1.

Investment products exposed to one or more of the risks described in paragraph 2 shall disclose at the top of the first page of the key information document in clearly visible print the following statement:

‘Complexity label: This product is considered to be very complex, and may not be appropriate for all retail investors.’

2.
     
  Investment products shall be considered not to be aimed at retail investors if one or more of the following conditions are met:

2.

Investment products shall be considered not to be aimed at retail investors if one or more of the following conditions are met:

| (a) | the risk-reward profile or the costs are presented in an overly complicated manner; |
| --- | --- |

(a)

(a)

the risk-reward profile or the costs are presented in an overly complicated manner;

the risk-reward profile or the costs are presented in an overly complicated manner;

| (b) | the product invests in underlying assets not commonly invested in by non-professional investors; |
| --- | --- |

(b)

(b)

the product invests in underlying assets not commonly invested in by non-professional investors;

the product invests in underlying assets not commonly invested in by non-professional investors;

| (c) | the risk-reward profile is conditional upon the simultaneous occurrence of two or more events linked to at least two different asset classes; |
| --- | --- |

(c)

(c)

the risk-reward profile is conditional upon the simultaneous occurrence of two or more events linked to at least two different asset classes;

the risk-reward profile is conditional upon the simultaneous occurrence of two or more events linked to at least two different asset classes;

| (d) | a number of different mechanisms are used to calculate the final return on the investment, creating a greater risk of misunderstanding on the part of the retail investor; |
| --- | --- |

(d)

(d)

a number of different mechanisms are used to calculate the final return on the investment, creating a greater risk of misunderstanding on the part of the retail investor;

a number of different mechanisms are used to calculate the final return on the investment, creating a greater risk of misunderstanding on the part of the retail investor;

| (e) | the investment return includes packaging features which take advantage of retail investors' behavioural biases, such as by offering a ‘teaser’ fixed rate followed by a much higher floating conditional rate, or an iterative formula; |
| --- | --- |

(e)

(e)

the investment return includes packaging features which take advantage of retail investors' behavioural biases, such as by offering a ‘teaser’ fixed rate followed by a much higher floating conditional rate, or an iterative formula;

the investment return includes packaging features which take advantage of retail investors' behavioural biases, such as by offering a ‘teaser’ fixed rate followed by a much higher floating conditional rate, or an iterative formula;

| (f) | the global exposure of the financial product, measured by its monthly value-at-risk calculated within a 99 % confidence interval at the time of trade, is above 20 %. |
| --- | --- |

(f)

(f)

the global exposure of the financial product, measured by its monthly value-at-risk calculated within a 99 % confidence interval at the time of trade, is above 20 %.

the global exposure of the financial product, measured by its monthly value-at-risk calculated within a 99 % confidence interval at the time of trade, is above 20 %.

3.
     
  The ESAs shall develop guidelines on the conditions referred to in paragraph 2.

3.

The ESAs shall develop guidelines on the conditions referred to in paragraph 2.

The ESAs shall submit those draft regulatory technical standards to the Commission by ... [6 months after the publication of this Regulation].

The ESAs shall submit those draft regulatory technical standards to the Commission by ... [6 months after the publication of this Regulation].

Power is conferred on the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 and of Regulation (EU) No 1095/2010.

Power is conferred on the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 and of Regulation (EU) No 1095/2010.

Article 9

Article 9

Marketing communications ▌relating to the investment product shall not include any statement that contradicts the information contained in ▌ or diminishes the significance of the key information document. Marketing communications shall
  inform
  that a key information document is
  published on an official website of the competent authority with the direct link. A paper copy may be forwarded upon request to the manufacturer or to the persons selling investment products free of charge
  .

inform

published on an official website of the competent authority with the direct link. A paper copy may be forwarded upon request to the manufacturer or to the persons selling investment products free of charge

Article 10

Article 10

1.   The investment product manufacturer shall review the information contained in the key information document regularly and
  shall
  revise the document where the review indicates that
  material
  changes need to be made
  in accordance with Article 8
  ,
  in particular if materially significant
  changes
  have been made to the product and in particular with regard to the appreciation of risks or the creation of value in the investment management and relevant risk in the investment management, and make available promptly the revised version. Such a revision shall include the utilisation of the standards defined in the investment product key information documents which indicate that changes need to be made. This shall be expressed clearly, concisely and comprehensibly in the descriptive part of the annual report and shall include a true and fair summary of the performance of the investment assets, the total aggregated, the costs, the investment management strategies, the creation of value in the investment management and the development of relevant risk in the investment management, including the standards laid down in the investment product key information documents.

shall

material

in accordance with Article 8

in particular if materially significant

have been made to the product and in particular with regard to the appreciation of risks or the creation of value in the investment management and relevant risk in the investment management, and make available promptly the revised version. Such a revision shall include the utilisation of the standards defined in the investment product key information documents which indicate that changes need to be made. This shall be expressed clearly, concisely and comprehensibly in the descriptive part of the annual report and shall include a true and fair summary of the performance of the investment assets, the total aggregated, the costs, the investment management strategies, the creation of value in the investment management and the development of relevant risk in the investment management, including the standards laid down in the investment product key information documents.

2.   The Commission shall be empowered to adopt delegated acts in accordance with Article 23 laying down detailed rules for the review of the information contained in the key information document and the revision of the key information document
  , having regard to the nature of the investment product
  , as regards:

, having regard to the nature of the investment product

| (a) | the conditions and the frequency for reviewing the information contained in the key information document; |
| --- | --- |

(a)

the conditions and the frequency for reviewing the information contained in the key information document;

| (b) | the conditions under which information contained in the key information document must be revised, and under which it is obligatory or optional to republish
  and redistribute
  the revised key information document; |
| --- | --- |

(b)

the conditions under which information contained in the key information document must be revised, and under which it is obligatory or optional to republish
  and redistribute
  the revised key information document;

and redistribute

| (c) | the specific conditions under which information contained in the key information document must be reviewed or the key information document revised where an investment product is made available to retail investors in a non-continuous manner; |
| --- | --- |

(c)

the specific conditions under which information contained in the key information document must be reviewed or the key information document revised where an investment product is made available to retail investors in a non-continuous manner;

| (d) | the circumstances
  referring to the product itself or the market conditions
  in which retail investors are to be informed about a revised key information document for an investment product purchased by them. |
| --- | --- |

(d)

the circumstances
  referring to the product itself or the market conditions
  in which retail investors are to be informed about a revised key information document for an investment product purchased by them.

referring to the product itself or the market conditions

Article 11

Article 11

1.   
  Key investor information is pre-contractual information. It shall therefore be fair, clear and not misleading
  .
  It shall provide key information and shall be consistent with any binding contractual documents, with the relevant parts of the offer documents and with the terms and conditions of the investment product.
  Where an investment product manufacturer has produced a key information document which does not comply with the requirements of
  this Regulation and
  on which a retail investor has relied when making an investment decision, such a retail investor may claim from the investment product manufacturer damages for any loss caused to that retail investor through the use of the key information document
  and may, where appropriate, return the investment product and have losses refunded
  .
  Where a person selling investment products has produced an annex to a key information document which does not comply with the requirements of this Regulation and on which a retail investor has relied when making an investment decision, such a retail investor may claim, from the person selling investment products, damages for any loss caused to that retail investor through the use of the annex and may, where appropriate, return the investment product and have losses refunded
  .

Key investor information is pre-contractual information. It shall therefore be fair, clear and not misleading

It shall provide key information and shall be consistent with any binding contractual documents, with the relevant parts of the offer documents and with the terms and conditions of the investment product.

this Regulation and

and may, where appropriate, return the investment product and have losses refunded

Where a person selling investment products has produced an annex to a key information document which does not comply with the requirements of this Regulation and on which a retail investor has relied when making an investment decision, such a retail investor may claim, from the person selling investment products, damages for any loss caused to that retail investor through the use of the annex and may, where appropriate, return the investment product and have losses refunded

2.   When a retail investor demonstrates a loss
  and that identified
  information contained in the key information document
  was misleading
  , the investment product manufacturer
  or the person selling investment products shall
  prove that the key information document has been drawn up in compliance with Articles 6, 7 and 8 of this Regulation.
  Civil liability of the investment product manufacturer may arise in such cases on the basis of the key information document, including any translation thereof.

and that identified

was misleading

or the person selling investment products shall

Civil liability of the investment product manufacturer may arise in such cases on the basis of the key information document, including any translation thereof.

3.   The
  product manufacturer shall be liable under civil law if a retail investor incurs losses resulting from their reliance on a key information document that failed to meet the requirements under paragraph 1 or 2 above. Such liability shall not be limited or waived by contractual clauses, or by way of approval of the competent authority
  .

product manufacturer shall be liable under civil law if a retail investor incurs losses resulting from their reliance on a key information document that failed to meet the requirements under paragraph 1 or 2 above. Such liability shall not be limited or waived by contractual clauses, or by way of approval of the competent authority

SECTION III

SECTION III

PROVISION OF THE KEY INFORMATION DOCUMENT

PROVISION OF THE KEY INFORMATION DOCUMENT

Article 12

Article 12

1.   A person selling an investment product to retail investors shall provide them with the key information document
  drawn up by the investment product manufacturer promptly and
  in good time before
  any commitment is entered into
  relating to the investment product.
  Where an investment product is recommended to a client, the key information document shall be provided promptly.

drawn up by the investment product manufacturer promptly and

any commitment is entered into

Where an investment product is recommended to a client, the key information document shall be provided promptly.

1a.
     
  A person shall obtain prior written permission from the investment product manufacturer to distribute their key investor document to the retail investor. Such permission may be given by the investment product manufacturer on an indefinite basis, for a limited period of time, or subject to conditions. Where any specified condition is not met, such permission shall be deemed not to have been granted for the purposes of this paragraph.

1a.

A person shall obtain prior written permission from the investment product manufacturer to distribute their key investor document to the retail investor. Such permission may be given by the investment product manufacturer on an indefinite basis, for a limited period of time, or subject to conditions. Where any specified condition is not met, such permission shall be deemed not to have been granted for the purposes of this paragraph.

1b
  .   
  The retail investors shall confirm in writing or electronically that they have
  received
  the key information document.

1b

The retail investors shall confirm in writing or electronically that they have

the key information document.

2.   By way of derogation from paragraph 1,
  and subject to Article 13(5),
  a person selling an investment product
  shall
  provide the retail investor with the
  official website where the
  key information document
  can be found before
  conclusion of the transaction where:

and subject to Article 13(5),

shall

official website where the

can be found before

| (a) | the retail investor chooses to conclude the transaction using a means of distance communication; |
| --- | --- |

(a)

the retail investor chooses to conclude the transaction using a means of distance communication;

| (b) | the provision of the key information document in accordance with paragraph 1 is not possible; ▌ |
| --- | --- |

(b)

the provision of the key information document in accordance with paragraph 1 is not possible; ▌

| (ba) | the retail investor asks to receive the key information document straight after the conclusion of the transaction, rather than delaying the transaction in order to receive the document in advance
  .
  The person selling or advising on the investment product shall not offer this option before the retail investor requests it; |
| --- | --- |

(ba)

(ba)

the retail investor asks to receive the key information document straight after the conclusion of the transaction, rather than delaying the transaction in order to receive the document in advance
  .
  The person selling or advising on the investment product shall not offer this option before the retail investor requests it;

the retail investor asks to receive the key information document straight after the conclusion of the transaction, rather than delaying the transaction in order to receive the document in advance

The person selling or advising on the investment product shall not offer this option before the retail investor requests it;

| (c) | ▌the person selling the investment product has informed the retail investor of this fact. |
| --- | --- |

(c)

▌the person selling the investment product has informed the retail investor of this fact.

3.   Where successive transactions regarding the same investment product are carried out on behalf of a retail investor in accordance with instructions given by that
  retail
  investor to the person selling the investment product prior to the first transaction, the obligation to provide a key information document under paragraph 1 shall only apply to the first transaction
  , unless the key information document has been updated since the first transaction or a new annual report is available
  .

retail

, unless the key information document has been updated since the first transaction or a new annual report is available

4.   The Commission shall be empowered to adopt delegated acts in accordance with Article 23 specifying:

| (a) | the conditions for fulfilling the requirement to provide the key information document in good time as laid down in paragraph 1; |
| --- | --- |

(a)

the conditions for fulfilling the requirement to provide the key information document in good time as laid down in paragraph 1;

| (b) | the method and the time limit for the provision of the key information document in accordance with paragraph 2. |
| --- | --- |

(b)

the method and the time limit for the provision of the key information document in accordance with paragraph 2.

Article 13

Article 13

1.   The person selling an investment product shall provide the key information document
  before a binding agreement is made with a
  retail
  investor and free of charge. A paper copy shall be provided
  free of charge
  where the investment recommendation or the intermediary service is provided in person
  .

before a binding agreement is made with a

investor and free of charge. A paper copy shall be provided

where the investment recommendation or the intermediary service is provided in person

2.   The person
  advising on or
  selling an investment product
  , or acting as an intermediary in its sale,
  shall provide the key information document to the retail investor in one of the following media
  , which must be genuinely accessible for the retail investor
  :

advising on or

, or acting as an intermediary in its sale,

, which must be genuinely accessible for the retail investor

| (a) | on paper; |
| --- | --- |

(a)

on paper;

| (b) | using a durable medium other than paper, where the conditions laid down in paragraph 4 are met; or |
| --- | --- |

(b)

using a durable medium other than paper, where the conditions laid down in paragraph 4 are met; or

| (c) | by means of a website where the conditions laid down in paragraph 5 are met. |
| --- | --- |

(c)

by means of a website where the conditions laid down in paragraph 5 are met.

3.   However, where the key information document is provided using a durable medium other than paper or by means of a website, a paper copy shall be provided to retail investors upon request and free of charge.

4.   The key information document 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 person
  advising on or
  selling an investment
  , or acting as an intermediary in its sale,
  product and the retail investor; and |
| --- | --- |

(a)

the use of the durable medium is appropriate in the context of the business conducted between the person
  advising on or
  selling an investment
  , or acting as an intermediary in its sale,
  product and the retail investor; and

advising on or

, or acting as an intermediary in its sale,

| (b) | the retail investor has been given the choice between information on paper and in the durable medium, and has chosen that other medium. |
| --- | --- |

(b)

the retail investor has been given the choice between information on paper and in the durable medium, and has chosen that other medium.

5.   The key information document may be provided by the means of a website if the key information document is addressed personally to the retail investor or if the following conditions are met:

| (a) | the provision of the key information document by means of a website is appropriate in the context of the business conducted between the person
  advising on or
  selling an investment product
  , or acting as an intermediary in its sale,
  and the retail investor; |
| --- | --- |

(a)

the provision of the key information document by means of a website is appropriate in the context of the business conducted between the person
  advising on or
  selling an investment product
  , or acting as an intermediary in its sale,
  and the retail investor;

advising on or

, or acting as an intermediary in its sale,

| (b) | the retail investor has consented to the provision of the key information document by means of a website; |
| --- | --- |

(b)

the retail investor has consented to the provision of the key information document by means of a website;

| (c) | the retail investor has been notified electronically of the address of the website, and the place on the website where the key information document can be accessed; |
| --- | --- |

(c)

the retail investor has been notified electronically of the address of the website, and the place on the website where the key information document can be accessed;

| (d) | where the key information document has been revised in accordance with Article 10
  the most recent version
  shall also be
  provided
  to the retail investor;
  on request of the retail investor, previous versions shall also be provided; |
| --- | --- |

(d)

where the key information document has been revised in accordance with Article 10
  the most recent version
  shall also be
  provided
  to the retail investor;
  on request of the retail investor, previous versions shall also be provided;

the most recent version

provided

on request of the retail investor, previous versions shall also be provided;

| (e) | it is ensured that the key information document remains accessible on the website for such period of time as the retail investor may reasonably need to consult it. |
| --- | --- |

(e)

it is ensured that the key information document remains accessible on the website for such period of time as the retail investor may 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 person selling an investment product and the retail investor, if there is evidence that the retail investor has regular access to the Internet. The provision by the retail investor of an e-mail address for the purposes of that business shall be regarded as such evidence.

CHAPTER IIa

CHAPTER IIa

PRODUCT INTERVENTION

PRODUCT INTERVENTION

Article 13a

Article 13a

Intervention powers of the ESAs

Intervention powers of the ESAs

1.
     
  In accordance with Article 9(2) of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 or of Regulation (EU) No 1095/2010, the ESAs shall monitor investment products or financial instruments which are marketed, distributed or sold in the Union. The ESAs may investigate new investment products or financial instruments before they are marketed, distributed or sold in the Union in cooperation with the competent authorities.

1.

In accordance with Article 9(2) of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 or of Regulation (EU) No 1095/2010, the ESAs shall monitor investment products or financial instruments which are marketed, distributed or sold in the Union. The ESAs may investigate new investment products or financial instruments before they are marketed, distributed or sold in the Union in cooperation with the competent authorities.

2.
     
  In accordance with Article 9(5) of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 or of Regulation (EU) No 1095/2010, an ESA may, where it is satisfied on reasonable grounds that the conditions in paragraphs 3 and 4 of this Article are fulfilled, temporarily prohibit or restrict in the Union the marketing, distribution or sale of investment products or financial instruments.

2.

In accordance with Article 9(5) of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 or of Regulation (EU) No 1095/2010, an ESA may, where it is satisfied on reasonable grounds that the conditions in paragraphs 3 and 4 of this Article are fulfilled, temporarily prohibit or restrict in the Union the marketing, distribution or sale of investment products or financial instruments.

The ESAs may specify in which circumstances a prohibition or restriction is to apply or be subject to exceptions.

The ESAs may specify in which circumstances a prohibition or restriction is to apply or be subject to exceptions.

3.
     
  An ESA shall only take a decision under paragraph 2 if all of the following conditions are fulfilled:

3.

An ESA shall only take a decision under paragraph 2 if all of the following conditions are fulfilled:

| (a) | the proposed action addresses a significant threat to retail investor protection or to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union; |
| --- | --- |

(a)

(a)

the proposed action addresses a significant threat to retail investor protection or to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union;

the proposed action addresses a significant threat to retail investor protection or to the orderly functioning and integrity of financial markets or to the stability of the whole or part of the financial system in the Union;

| (b) | regulatory requirements under Union legislation that are applicable to the relevant investment product, financial instrument or activity do not address the threat; |
| --- | --- |

(b)

(b)

regulatory requirements under Union legislation that are applicable to the relevant investment product, financial instrument or activity do not address the threat;

regulatory requirements under Union legislation that are applicable to the relevant investment product, financial instrument or activity do not address the threat;

| (c) | a competent authority or competent authorities have not taken action to address the threat or actions that have been taken do not adequately address the threat. |
| --- | --- |

(c)

(c)

a competent authority or competent authorities have not taken action to address the threat or actions that have been taken do not adequately address the threat.

a competent authority or competent authorities have not taken action to address the threat or actions that have been taken do not adequately address the threat.

Where the conditions set out in the first subparagraph are fulfilled, an ESA may impose a prohibition or restriction as referred to in paragraph 2.

Where the conditions set out in the first subparagraph are fulfilled, an ESA may impose a prohibition or restriction as referred to in paragraph 2.

4.
     
  When taking action under this Article an ESA shall take into account the extent to which the action neither:

4.

When taking action under this Article an ESA shall take into account the extent to which the action neither:

| (a) | has a detrimental effect on the efficiency of financial markets or on retail investors that is disproportionate to the benefits of the action; nor |
| --- | --- |

(a)

(a)

has a detrimental effect on the efficiency of financial markets or on retail investors that is disproportionate to the benefits of the action; nor

has a detrimental effect on the efficiency of financial markets or on retail investors that is disproportionate to the benefits of the action; nor

| (b) | creates a risk of regulatory arbitrage.



  Where a competent authority or competent authorities have taken a measure under Article 13b, an ESA may take any of the measures referred to in paragraph 2 without issuing the opinion provided for in Article 13c. |
| --- | --- |

(b)

(b)

creates a risk of regulatory arbitrage.

creates a risk of regulatory arbitrage.

Where a competent authority or competent authorities have taken a measure under Article 13b, an ESA may take any of the measures referred to in paragraph 2 without issuing the opinion provided for in Article 13c.

5.
     
  Before deciding to take any action under this Article, an ESA shall notify the competent authorities of the action it proposes.

5.

Before deciding to take any action under this Article, an ESA shall notify the competent authorities of the action it proposes.

6.
     
  Before taking a decision under paragraph 2, an ESA shall give notice of its intention to prohibit or restrict an investment product or financial instrument unless certain changes are made to features of the investment product or financial instrument within a specified timescale.

6.

Before taking a decision under paragraph 2, an ESA shall give notice of its intention to prohibit or restrict an investment product or financial instrument unless certain changes are made to features of the investment product or financial instrument within a specified timescale.

7.
     
  Each ESA shall publish on its website notice of any decision to take any action under this Article. The notice shall specify details of the prohibition or restriction and specify a time after the publication of the notice from which the measures will take effect. A prohibition or restriction shall only apply to action taken after the measures take effect.

7.

Each ESA shall publish on its website notice of any decision to take any action under this Article. The notice shall specify details of the prohibition or restriction and specify a time after the publication of the notice from which the measures will take effect. A prohibition or restriction shall only apply to action taken after the measures take effect.

8.
     
  The relevant ESAs shall review a prohibition or restriction imposed under paragraph 2 at appropriate intervals and at least every three months. If the prohibition or restriction is not renewed after that three-month period it shall expire.

8.

The relevant ESAs shall review a prohibition or restriction imposed under paragraph 2 at appropriate intervals and at least every three months. If the prohibition or restriction is not renewed after that three-month period it shall expire.

9.
     
  Action adopted by the ESAs under this Article shall prevail over any previous action taken by a competent authority.

9.

Action adopted by the ESAs under this Article shall prevail over any previous action taken by a competent authority.

10.
     
  The Commission shall adopt delegated acts in accordance with Article 23 specifying criteria and factors to be taken into account by the ESAs in determining when the threats to retail investor protection or to the orderly functioning and integrity of financial markets and to the stability of the whole or part of the financial system of the Union referred to in paragraph 3(a) arise. Those delegated acts shall ensure that the ESAs are able to act, where appropriate, on a precautionary basis and that they are not be required to wait until the investment product or financial instrument has been marketed, distributed or sold, or the type of activity or practice has been undertaken before taking action.

10.

The Commission shall adopt delegated acts in accordance with Article 23 specifying criteria and factors to be taken into account by the ESAs in determining when the threats to retail investor protection or to the orderly functioning and integrity of financial markets and to the stability of the whole or part of the financial system of the Union referred to in paragraph 3(a) arise. Those delegated acts shall ensure that the ESAs are able to act, where appropriate, on a precautionary basis and that they are not be required to wait until the investment product or financial instrument has been marketed, distributed or sold, or the type of activity or practice has been undertaken before taking action.

Article 13b

Article 13b

Product intervention by competent authorities

Product intervention by competent authorities

1.
     
  Investment product manufacturers shall communicate the key information document of their investment product to the competent authority which regulates that product in the Member State where it is marketed, distributed or sold.

1.

Investment product manufacturers shall communicate the key information document of their investment product to the competent authority which regulates that product in the Member State where it is marketed, distributed or sold.

2.
     
  Investment product manufacturers shall communicate updates to the key investor document, reflecting materially significant changes as defined by the ESA(s), to the competent authority which regulates that product in the Member State where it is marketed, distributed or sold.

2.

Investment product manufacturers shall communicate updates to the key investor document, reflecting materially significant changes as defined by the ESA(s), to the competent authority which regulates that product in the Member State where it is marketed, distributed or sold.

3.
     
  The competent authority may ensure compliance of the content laid down in the key information document with the provisions of the Chapter II of this Regulation prior to the marketing, distribution or sale of the investment product.

3.

The competent authority may ensure compliance of the content laid down in the key information document with the provisions of the Chapter II of this Regulation prior to the marketing, distribution or sale of the investment product.

4.
     
  The competent authority may investigate new investment products or financial instruments before they are marketed, distributed or sold in or from the Member State.

4.

The competent authority may investigate new investment products or financial instruments before they are marketed, distributed or sold in or from the Member State.

5.
     
  A competent authority may prohibit or restrict in or from that Member State:

5.

A competent authority may prohibit or restrict in or from that Member State:

| (a) | the marketing, distribution or sale of investment products or financial instruments; |
| --- | --- |

(a)

(a)

the marketing, distribution or sale of investment products or financial instruments;

the marketing, distribution or sale of investment products or financial instruments;

| (b) | a type of financial activity or practice. |
| --- | --- |

(b)

(b)

a type of financial activity or practice.

a type of financial activity or practice.

6.
     
  A competent authority may take the action referred to in paragraph 6 if it is satisfied on reasonable grounds that:

6.

A competent authority may take the action referred to in paragraph 6 if it is satisfied on reasonable grounds that:

| (a) | an investment product, a financial instrument or activity or practice gives rise to significant investor protection concerns or poses a serious threat to the orderly functioning and integrity of financial markets or the stability of whole or part of the financial system within one or more Member States, including through the marketing, distribution, remuneration or provision of inducements related to the investment product or financial instrument; |
| --- | --- |

(a)

(a)

an investment product, a financial instrument or activity or practice gives rise to significant investor protection concerns or poses a serious threat to the orderly functioning and integrity of financial markets or the stability of whole or part of the financial system within one or more Member States, including through the marketing, distribution, remuneration or provision of inducements related to the investment product or financial instrument;

an investment product, a financial instrument or activity or practice gives rise to significant investor protection concerns or poses a serious threat to the orderly functioning and integrity of financial markets or the stability of whole or part of the financial system within one or more Member States, including through the marketing, distribution, remuneration or provision of inducements related to the investment product or financial instrument;

| (b) | a derivative product has a detrimental effect on the price formation mechanism in the underlying market; |
| --- | --- |

(b)

(b)

a derivative product has a detrimental effect on the price formation mechanism in the underlying market;

a derivative product has a detrimental effect on the price formation mechanism in the underlying market;

| (c) | existing regulatory requirements under Union law applicable to the investment product, financial instrument or activity or practice do not sufficiently address the risks referred to in point (a) and the issue would not be better addressed by improved supervision or enforcement of existing requirements; |
| --- | --- |

(c)

(c)

existing regulatory requirements under Union law applicable to the investment product, financial instrument or activity or practice do not sufficiently address the risks referred to in point (a) and the issue would not be better addressed by improved supervision or enforcement of existing requirements;

existing regulatory requirements under Union law applicable to the investment product, financial instrument or activity or practice do not sufficiently address the risks referred to in point (a) and the issue would not be better addressed by improved supervision or enforcement of existing requirements;

| (d) | the action is proportionate taking into account the nature of the risks identified, the level of sophistication of retail investors or market participants concerned and the likely effect of the action on retail investors and market participants who may hold, use or benefit from the financial instrument or activity; |
| --- | --- |

(d)

(d)

the action is proportionate taking into account the nature of the risks identified, the level of sophistication of retail investors or market participants concerned and the likely effect of the action on retail investors and market participants who may hold, use or benefit from the financial instrument or activity;

the action is proportionate taking into account the nature of the risks identified, the level of sophistication of retail investors or market participants concerned and the likely effect of the action on retail investors and market participants who may hold, use or benefit from the financial instrument or activity;

| (e) | the competent authority has properly consulted competent authorities in other Member States that may be significantly affected by the action; and |
| --- | --- |

(e)

(e)

the competent authority has properly consulted competent authorities in other Member States that may be significantly affected by the action; and

the competent authority has properly consulted competent authorities in other Member States that may be significantly affected by the action; and

| (f) | the action does not have a discriminatory effect on services or activities provided from another Member State. |
| --- | --- |

(f)

(f)

the action does not have a discriminatory effect on services or activities provided from another Member State.

the action does not have a discriminatory effect on services or activities provided from another Member State.

Where the conditions set out in the first subparagraph are fulfilled, the competent authority may impose a prohibition or restriction on an investment product or financial instrument marketed, distributed or sold to clients in or from the Member State.

Where the conditions set out in the first subparagraph are fulfilled, the competent authority may impose a prohibition or restriction on an investment product or financial instrument marketed, distributed or sold to clients in or from the Member State.

A prohibition or restriction may apply in circumstances, or be subject to exceptions, specified by the competent authority.

A prohibition or restriction may apply in circumstances, or be subject to exceptions, specified by the competent authority.

7.
     
  Before imposing a prohibition or restriction under paragraph 5, the competent authority shall give notice of its intention to prohibit or restrict an investment product or financial instrument unless certain changes are made to features of the investment product or financial instrument within a specified timescale.

7.

Before imposing a prohibition or restriction under paragraph 5, the competent authority shall give notice of its intention to prohibit or restrict an investment product or financial instrument unless certain changes are made to features of the investment product or financial instrument within a specified timescale.

8.
     
  The competent authority shall not impose a prohibition or restriction under this Article unless, not less than one month before it takes the action, it has notified all other competent authorities involved and the ESAs in writing or through another medium agreed between the authorities of details of:

8.

The competent authority shall not impose a prohibition or restriction under this Article unless, not less than one month before it takes the action, it has notified all other competent authorities involved and the ESAs in writing or through another medium agreed between the authorities of details of:

| (a) | the financial instrument or activity or practice to which the proposed action relates; |
| --- | --- |

(a)

(a)

the financial instrument or activity or practice to which the proposed action relates;

the financial instrument or activity or practice to which the proposed action relates;

| (b) | the precise nature of the proposed prohibition or restriction and when it is intended to take effect; and |
| --- | --- |

(b)

(b)

the precise nature of the proposed prohibition or restriction and when it is intended to take effect; and

the precise nature of the proposed prohibition or restriction and when it is intended to take effect; and

| (c) | the evidence upon which it has based its decision and upon which is satisfied that each of the conditions in paragraph 6 are met. |
| --- | --- |

(c)

(c)

the evidence upon which it has based its decision and upon which is satisfied that each of the conditions in paragraph 6 are met.

the evidence upon which it has based its decision and upon which is satisfied that each of the conditions in paragraph 6 are met.

9.
     
  Where the time needed to consult in accordance with paragraph 3(e) and the one-month delay provided for in paragraph 8 could cause irreversible damage to consumers, the competent authority may take action under this Article on a provisional basis for a period not exceeding three months. In that case the competent authority shall immediately inform all other authorities and the ESAs of the action taken.

9.

Where the time needed to consult in accordance with paragraph 3(e) and the one-month delay provided for in paragraph 8 could cause irreversible damage to consumers, the competent authority may take action under this Article on a provisional basis for a period not exceeding three months. In that case the competent authority shall immediately inform all other authorities and the ESAs of the action taken.

10.
     
  The competent authority shall publish on its website notice of any decision to impose any prohibition or restriction referred to in paragraph 5. The notice shall specify details of the prohibition or restriction, a time after the publication of the notice from which the measures will take effect and the evidence upon which it is satisfied each of the conditions in paragraph 6 are met. The prohibition or restriction shall only apply in relation to actions taken after the publication of the notice.

10.

The competent authority shall publish on its website notice of any decision to impose any prohibition or restriction referred to in paragraph 5. The notice shall specify details of the prohibition or restriction, a time after the publication of the notice from which the measures will take effect and the evidence upon which it is satisfied each of the conditions in paragraph 6 are met. The prohibition or restriction shall only apply in relation to actions taken after the publication of the notice.

11.
     
  The competent authority shall revoke a prohibition or restriction if the conditions in paragraph 6 no longer apply.

11.

The competent authority shall revoke a prohibition or restriction if the conditions in paragraph 6 no longer apply.

12.
     
  The Commission shall adopt delegated acts in accordance with Article 23 specifying criteria and factors to be taken into account by competent authorities in determining when the threats to investor protection or to the orderly functioning and integrity of financial markets and to the stability of the whole or part of the financial system of the Union referred to in paragraph 3(a) arise.

12.

The Commission shall adopt delegated acts in accordance with Article 23 specifying criteria and factors to be taken into account by competent authorities in determining when the threats to investor protection or to the orderly functioning and integrity of financial markets and to the stability of the whole or part of the financial system of the Union referred to in paragraph 3(a) arise.

Article 13c

Article 13c

Coordination role of the ESAs

Coordination role of the ESAs

1.
     
  Each ESA shall perform a facilitation and coordination role in relation to action taken by competent authorities under Article 13b. In particular each ESA shall ensure that action taken by a competent authority is justified and proportionate and that, where appropriate, a consistent approach is taken by competent authorities.

1.

Each ESA shall perform a facilitation and coordination role in relation to action taken by competent authorities under Article 13b. In particular each ESA shall ensure that action taken by a competent authority is justified and proportionate and that, where appropriate, a consistent approach is taken by competent authorities.

2.
     
  After receiving notification under Article 13b of any action that is to be imposed under that Article, an ESA shall adopt an opinion on whether it considers the prohibition or restriction is justified and proportionate. If the ESA considers that the taking of a measure by other competent authorities is necessary to address the risk, it shall also state this in its opinion. The opinion shall be published on the ESA's website.

2.

After receiving notification under Article 13b of any action that is to be imposed under that Article, an ESA shall adopt an opinion on whether it considers the prohibition or restriction is justified and proportionate. If the ESA considers that the taking of a measure by other competent authorities is necessary to address the risk, it shall also state this in its opinion. The opinion shall be published on the ESA's website.

3.
     
  Where a competent authority proposes to take, or takes, action contrary to an opinion adopted by an ESA under paragraph 2 or declines to take action contrary to such an opinion, it shall immediately publish on its website a notice fully explaining its reasons for so doing.

3.

Where a competent authority proposes to take, or takes, action contrary to an opinion adopted by an ESA under paragraph 2 or declines to take action contrary to such an opinion, it shall immediately publish on its website a notice fully explaining its reasons for so doing.

Article 13d

Article 13d

Disclosure of fees and costs

Disclosure of fees and costs

The following information shall be provided by the person selling the investment product on a document separate from the key information document:

The following information shall be provided by the person selling the investment product on a document separate from the key information document:

| 1. | All fees referred to in Article 8(2)(c) shall be disclosed cumulatively. They shall not be reclassified as part of the investment when they appear in a lower layer of the investment. |
| --- | --- |

1.

1.

All fees referred to in Article 8(2)(c) shall be disclosed cumulatively. They shall not be reclassified as part of the investment when they appear in a lower layer of the investment.

All fees referred to in Article 8(2)(c) shall be disclosed cumulatively. They shall not be reclassified as part of the investment when they appear in a lower layer of the investment.

| 2. | Investment advice charges shall not be based on flat percentage rates, unless prior agreement is obtained by the investor. If a flat percentage rate is agreed, the person selling the investment product shall provide full disclosure of what this will signify over the duration of the investment, or for a time period requested by the investor. |
| --- | --- |

2.

2.

Investment advice charges shall not be based on flat percentage rates, unless prior agreement is obtained by the investor. If a flat percentage rate is agreed, the person selling the investment product shall provide full disclosure of what this will signify over the duration of the investment, or for a time period requested by the investor.

Investment advice charges shall not be based on flat percentage rates, unless prior agreement is obtained by the investor. If a flat percentage rate is agreed, the person selling the investment product shall provide full disclosure of what this will signify over the duration of the investment, or for a time period requested by the investor.

| 3. | The person selling the investment product, or advising the investor, shall provide the investor with a breakdown of the time spent working on that advice, and this shall be communicated in the form of minutes or hours, against which there shall be an hourly rate, unless a flat percentage rate has been agreed as referred to in paragraph 2. |
| --- | --- |

3.

3.

The person selling the investment product, or advising the investor, shall provide the investor with a breakdown of the time spent working on that advice, and this shall be communicated in the form of minutes or hours, against which there shall be an hourly rate, unless a flat percentage rate has been agreed as referred to in paragraph 2.

The person selling the investment product, or advising the investor, shall provide the investor with a breakdown of the time spent working on that advice, and this shall be communicated in the form of minutes or hours, against which there shall be an hourly rate, unless a flat percentage rate has been agreed as referred to in paragraph 2.

Article 13e

Article 13e

Risk management

Risk management

1.
     
  The investment product manufacturer shall employ a risk-management process which enables it to monitor and measure at any time the risk profile of the investment product.

1.

The investment product manufacturer shall employ a risk-management process which enables it to monitor and measure at any time the risk profile of the investment product.

It shall employ a process for accurate and independent assessment of the value of OTC derivatives.

It shall employ a process for accurate and independent assessment of the value of OTC derivatives.

It shall communicate to the competent authorities of its home Member State regularly in regard to the types of derivative instruments, the underlying risks, the quantitative limits and the methods which are chosen in order to estimate the risks associated with transactions in derivative instruments regarding each product.

It shall communicate to the competent authorities of its home Member State regularly in regard to the types of derivative instruments, the underlying risks, the quantitative limits and the methods which are chosen in order to estimate the risks associated with transactions in derivative instruments regarding each product.

2.
     
  The investment product manufacturer shall ensure that the investment product's global exposure relating to derivative instruments does not exceed the investment product's total value.

2.

The investment product manufacturer shall ensure that the investment product's global exposure relating to derivative instruments does not exceed the investment product's total value.

The exposure is calculated taking into account the current value of the underlying assets, the counterparty risk, future market movements and the time available to liquidate the positions.

The exposure is calculated taking into account the current value of the underlying assets, the counterparty risk, future market movements and the time available to liquidate the positions.

When transferable securities or money market instruments embed a derivative, the derivative shall be taken into account when complying with the requirements of this Article.

When transferable securities or money market instruments embed a derivative, the derivative shall be taken into account when complying with the requirements of this Article.

3.
     
  The calculation of the value-at-risk should be carried out in accordance with the following parameters:

3.

The calculation of the value-at-risk should be carried out in accordance with the following parameters:

| (a) | a one-tailed confidence interval of 99 %; |
| --- | --- |

(a)

(a)

a one-tailed confidence interval of 99 %;

a one-tailed confidence interval of 99 %;

| (b) | a holding period equivalent to one month (20 business days); and |
| --- | --- |

(b)

(b)

a holding period equivalent to one month (20 business days); and

a holding period equivalent to one month (20 business days); and

| (c) | an effective observation period (history) of risk factors of at least three years (750 business days) unless a shorter observation period is justified by a significant increase in price volatility (e.g. due to extreme market conditions). |
| --- | --- |

(c)

(c)

an effective observation period (history) of risk factors of at least three years (750 business days) unless a shorter observation period is justified by a significant increase in price volatility (e.g. due to extreme market conditions).

an effective observation period (history) of risk factors of at least three years (750 business days) unless a shorter observation period is justified by a significant increase in price volatility (e.g. due to extreme market conditions).

4.
     
  The ESAs shall develop draft regulatory standards to determine:

4.

The ESAs shall develop draft regulatory standards to determine:

| (a) | guidelines on risk measurement and the calculation of global exposure of the investment products sold to retail investors; |
| --- | --- |

(a)

(a)

guidelines on risk measurement and the calculation of global exposure of the investment products sold to retail investors;

guidelines on risk measurement and the calculation of global exposure of the investment products sold to retail investors;

| (b) | guidelines on financial indices. |
| --- | --- |

(b)

(b)

guidelines on financial indices.

guidelines on financial indices.

The ESAs shall submit those draft regulatory technical standards to the Commission by [...].

The ESAs shall submit those draft regulatory technical standards to the Commission by [...].

Power is conferred on the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 and of Regulation (EU) No 1095/2010.

Power is conferred on the Commission to adopt the regulatory technical standards referred to in the first subparagraph in accordance with Articles 10 to 14 of Regulation (EU) No 1093/2010, of Regulation (EU) No 1094/2010 and of Regulation (EU) No 1095/2010.

Article 13f

Article 13f

Payoff rules

Payoff rules

1.
     
  The payoff of an investment product shall not:

1.

The payoff of an investment product shall not:

| (a) | include a number of mechanisms, events or asset classes creating a risk of misinterpretation; |
| --- | --- |

(a)

(a)

include a number of mechanisms, events or asset classes creating a risk of misinterpretation;

include a number of mechanisms, events or asset classes creating a risk of misinterpretation;

| (b) | be conditional upon the occurrence of events uncommon for retail investors, such as the level of regulatory capital of a financial institution; or |
| --- | --- |

(b)

(b)

be conditional upon the occurrence of events uncommon for retail investors, such as the level of regulatory capital of a financial institution; or

be conditional upon the occurrence of events uncommon for retail investors, such as the level of regulatory capital of a financial institution; or

| (c) | include packaging features playing on the behavioural biases of retail investors. |
| --- | --- |

(c)

(c)

include packaging features playing on the behavioural biases of retail investors.

include packaging features playing on the behavioural biases of retail investors.

2.
     
  The ESAs shall develop guidelines providing further guidance on the conditions referred to in paragraph 1.

2.

The ESAs shall develop guidelines providing further guidance on the conditions referred to in paragraph 1.

CHAPTER III

CHAPTER III

COMPLAINTS, REDRESS, COOPERATION

COMPLAINTS, REDRESS, COOPERATION

Article 14

Article 14

The investment product manufacturer
  and the person selling the investment product
  shall establish appropriate procedures and arrangements which ensure that:

and the person selling the investment product

| (a) | retail investors have an effective way of submitting a complaint against the investment product manufacturer and hence a redress procedure; |
| --- | --- |

(a)

(a)

retail investors have an effective way of submitting a complaint against the investment product manufacturer and hence a redress procedure;

retail investors have an effective way of submitting a complaint against the investment product manufacturer and hence a redress procedure;

| (b) | retail investors who have submitted a complaint in relation to the key information document
  or the annex to the key information document
  receive a substantive reply in a timely and proper manner
  ; and |
| --- | --- |

(b)

(b)

retail investors who have submitted a complaint in relation to the key information document
  or the annex to the key information document
  receive a substantive reply in a timely and proper manner
  ; and

or the annex to the key information document

; and

| (c) | effective redress procedures are also available to retail investors in the event of cross-border disputes, in particular where the investment product manufacturer is located in another Member State or in a third country
  . |
| --- | --- |

(c)

(c)

effective redress procedures are also available to retail investors in the event of cross-border disputes, in particular where the investment product manufacturer is located in another Member State or in a third country
  .

effective redress procedures are also available to retail investors in the event of cross-border disputes, in particular where the investment product manufacturer is located in another Member State or in a third country

Article 15

Article 15

1.   
  In accordance with the Directive on alternative dispute resolution for consumer disputes [2011/0373(COD)] and the Regulation on online disputes resolution for consumer disputes [2011/0374(COD)], Member States shall ensure that
  where a retail investor initiates a procedure for alternative dispute resolution laid down in national law against an investment product manufacturer or a person selling investment products with regard to a dispute concerning rights and obligations established under this Regulation, the investment product manufacturer or the person selling investment products shall participate in that procedure
  where
  :

In accordance with the Directive on alternative dispute resolution for consumer disputes [2011/0373(COD)] and the Regulation on online disputes resolution for consumer disputes [2011/0374(COD)], Member States shall ensure that

where

| (a) | the procedure results in decisions which
  may be binding for the investment product manufacturer and the person selling the investment product
  ; |
| --- | --- |

(a)

the procedure results in decisions which
  may be binding for the investment product manufacturer and the person selling the investment product
  ;

may be binding for the investment product manufacturer and the person selling the investment product

| (b) | the limitation period for bringing the dispute before a court is suspended for the duration of the procedure for alternative dispute resolution; |
| --- | --- |

(b)

the limitation period for bringing the dispute before a court is suspended for the duration of the procedure for alternative dispute resolution;

| (c) | the period of prescription of the claim is suspended for the duration of the procedure; |
| --- | --- |

(c)

the period of prescription of the claim is suspended for the duration of the procedure;

| (d) | the procedure is free of charge or
  available for a nominal fee
  , as specified in national legislation. |
| --- | --- |

(d)

the procedure is free of charge or
  available for a nominal fee
  , as specified in national legislation.

available for a nominal fee

▌

1a.
     
  Member States shall ensure that where alternative dispute resolution entities are permitted to establish pre-specified monetary thresholds in order to limit the access to alternative dispute resolution procedures, the thresholds should not be set at a level, where they significantly impair the consumers' access to complaint handling by alternative dispute resolution entities.

1a.

Member States shall ensure that where alternative dispute resolution entities are permitted to establish pre-specified monetary thresholds in order to limit the access to alternative dispute resolution procedures, the thresholds should not be set at a level, where they significantly impair the consumers' access to complaint handling by alternative dispute resolution entities.

2.   Member States shall notify the Commission of the entities with competence to deal with the procedures referred to in paragraph 1 by [insert concrete date 6 months after entry into force/application of this Regulation]. They shall notify the Commission without delay of any subsequent change concerning those entities.

3.   Entities with competence to deal with the procedures referred to in paragraph 1 shall cooperate with each other on the resolution of cross-border disputes arising under this Regulation.

Article 15a

Article 15a

Information about alternative dispute resolutions

Information about alternative dispute resolutions

1.
     
  Member States shall ensure that investment product manufacturer or a person selling investment product inform the retail investor about the alternative dispute resolution entities by which they are covered and which are competent to deal with potential disputes between themselves and the retail investor. They shall also specify whether or not they commit or are obliged to use these entities to resolve disputes with retail investors.

1.

Member States shall ensure that investment product manufacturer or a person selling investment product inform the retail investor about the alternative dispute resolution entities by which they are covered and which are competent to deal with potential disputes between themselves and the retail investor. They shall also specify whether or not they commit or are obliged to use these entities to resolve disputes with retail investors.

2.
     
  The information referred to in paragraph 1 shall be mentioned in a clear, comprehensible and easily accessible way on the traders' website, where one exists, and if applicable in the general terms and conditions of sales or service contracts between the trader and a consumer.

2.

The information referred to in paragraph 1 shall be mentioned in a clear, comprehensible and easily accessible way on the traders' website, where one exists, and if applicable in the general terms and conditions of sales or service contracts between the trader and a consumer.

3.
     
  Member States shall ensure that, in cases where a dispute between a retail investor and a investment product manufacturer or a person selling investment product in their territory could not be settled further to a complaint submitted directly by the retail investor to the investment product manufacturer or at person selling investment product, the latter provide to the retail investor information referred to in paragraph 1, specifying whether he will make use of the relevant alternative dispute resolution entities to settle the dispute. That information shall be provided on paper or another durable medium.

3.

Member States shall ensure that, in cases where a dispute between a retail investor and a investment product manufacturer or a person selling investment product in their territory could not be settled further to a complaint submitted directly by the retail investor to the investment product manufacturer or at person selling investment product, the latter provide to the retail investor information referred to in paragraph 1, specifying whether he will make use of the relevant alternative dispute resolution entities to settle the dispute. That information shall be provided on paper or another durable medium.

Article 15b

Article 15b

Collective alternative disputes resolutions

Collective alternative disputes resolutions

Member States may maintain or introduce alternative disputes resolution procedures dealing jointly with identical or similar disputes between a manufacturer and a person selling investment products and several retail investors. Alternative disputes resolutions systems for both individual end collective disputes and redress are complementary and not mutually exclusive procedures
  .

Member States may maintain or introduce alternative disputes resolution procedures dealing jointly with identical or similar disputes between a manufacturer and a person selling investment products and several retail investors. Alternative disputes resolutions systems for both individual end collective disputes and redress are complementary and not mutually exclusive procedures

Article 16

Article 16

For the purposes of the application of this Regulation the competent authorities shall cooperate with each other and with the entities responsible for out-of-court complaint and redress procedures referred to in Article 15.

In particular, the competent authorities shall, without undue delay, provide each other with such information as is relevant for the purposes of carrying out their duties under this Regulation.

Article 17

Article 17

1.   Member States shall apply
  Directive 95/46/EC
  to the processing of personal data carried out in that Member State pursuant to this Regulation.

Directive 95/46/EC

2.   Regulation (EC) No 45/2001 of the European Parliament and of the Council shall apply to the processing of personal data carried out by EBA, EIOPA and ESMA.

CHAPTER IV

CHAPTER IV

ADMINSTRATIVE PENALTIES AND OTHER MEASURES

ADMINSTRATIVE PENALTIES AND OTHER MEASURES

Article 18

Article 18

1.   Member States shall lay down rules establishing appropriate administrative
  penalties
  and
  other
  measures to be applied to situations which constitute a breach of the provisions of this Regulation and shall take all necessary measures to ensure that they are implemented. Those
  penalties and other
  measures shall be effective, proportionate and dissuasive.

penalties

other

penalties and other

By [24 months after entry into force of this Regulation] the Member States shall notify the rules referred to in the first subparagraph to the Commission and to the Joint Committee of the
  ESAs
  . They shall notify the Commission and the Joint Committee of the
  ESAs
  without delay of any subsequent amendment thereto.

24 months after entry into force of this Regulation

ESAs

ESAs

2.   ▌Competent authorities shall
  have, in accordance with national law, all supervisory powers, including investigatory powers, available to them as necessary to fulfil
  their
  duties under this Regulation

have, in accordance with national law, all supervisory powers, including investigatory powers, available to them as necessary to fulfil

duties under this Regulation

2a.
     
  In the exercise of their powers under Article 19, competent authorities shall cooperate closely to ensure that the administrative penalties and other measures produce the desired results of this Regulation and coordinate their action in order to avoid possible duplication and overlap when applying administrative penalties and other measures to cross-border cases.

2a.

In the exercise of their powers under Article 19, competent authorities shall cooperate closely to ensure that the administrative penalties and other measures produce the desired results of this Regulation and coordinate their action in order to avoid possible duplication and overlap when applying administrative penalties and other measures to cross-border cases.

Article 19

Article 19

1.   This Article applies to
  any
  breaches
  of this Regulation.

any

of this Regulation.

▌

2.   Member States shall ensure that the competent authorities have the power to impose at least the following administrative
  penalties and other administrative
  measures ▌:

penalties and other administrative

| (a) | an order prohibiting the marketing of an investment product; |
| --- | --- |

(a)

an order prohibiting the marketing of an investment product;

| (b) | an order suspending the marketing of an investment product; |
| --- | --- |

(b)

an order suspending the marketing of an investment product;

| (c) | a warning, which is made public and which identifies the person responsible and the nature of the breach; |
| --- | --- |

(c)

a warning, which is made public and which identifies the person responsible and the nature of the breach;

| (d) | an order for the publication of a new version of a key information document; |
| --- | --- |

(d)

an order for the publication of a new version of a key information document;

| (da) | in the case of a legal person, administrative fines of up to 10 % of the total annual turnover of that 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 account of the ultimate parent undertaking in the preceding business year; |
| --- | --- |

(da)

(da)

in the case of a legal person, administrative fines of up to 10 % of the total annual turnover of that 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 account of the ultimate parent undertaking in the preceding business year;

in the case of a legal person, administrative fines of up to 10 % of the total annual turnover of that 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 account of the ultimate parent undertaking in the preceding business year;

| (db) | in the case of a natural person, administrative fines of up to EUR 5 000 000, or in a 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 Regulation]. |
| --- | --- |

(db)

(db)

in the case of a natural person, administrative fines of up to EUR 5 000 000, or in a 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 Regulation].

in the case of a natural person, administrative fines of up to EUR 5 000 000, or in a 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 Regulation].

3.   Member States shall ensure that, where the competent authorities have imposed one or more administrative
  penalties and other
  measures ▌in accordance with paragraph 2, the competent authorities have the power to issue or require the investment product manufacturer or person selling the investment product to issue a direct communication to the retail investor concerned, giving them information about the administrative
  penalty or other
  measure ▌, and informing them where to lodge complaints or submit claims for redress.

penalties and other

penalty or other

Article 20

Article 20

The competent authorities shall apply the administrative measures
  penalties and other measures
  referred to in Article 19(2) taking into account all relevant circumstances including:

penalties and other measures

| (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;

natural or legal

| (c) | the impact of the breach on retail investors' interests; |
| --- | --- |

(c)

the impact of the breach on retail investors' interests;

| (d) | the cooperative behaviour of the
  natural or legal
  person responsible for the breach; |
| --- | --- |

(d)

the cooperative behaviour of the
  natural or legal
  person responsible for the breach;

natural or legal

| (e) | any previous breaches by the responsible
  natural or legal
  person; |
| --- | --- |

(e)

any previous breaches by the responsible
  natural or legal
  person;

natural or legal

| (ea) | all measures taken by the responsible person to prevent any repetition of the breach in the future; |
| --- | --- |

(ea)

(ea)

all measures taken by the responsible person to prevent any repetition of the breach in the future;

all measures taken by the responsible person to prevent any repetition of the breach in the future;

| (eb) | any compensation provided to retail investors by the responsible person following the breach. |
| --- | --- |

(eb)

(eb)

any compensation provided to retail investors by the responsible person following the breach.

any compensation provided to retail investors by the responsible person following the breach.

Article 21

Article 21

1.   Where the competent authority has disclosed administrative
  penalties and other
  measures ▌to the public, it shall simultaneously report those administrative
  penalties and other
  measures ▌to
  the ESAs
  .

penalties and other

penalties and other

the ESAs

2.   The Member States shall once a year provide
  the competent ESA
  with aggregate information regarding
  the
  administrative ▌
  penalties and other measures
  imposed in accordance with Articles 18 and 19(2).

the competent ESA

the

penalties and other measures

3.   
  The ESAs
  shall publish this information in an annual report.

The ESAs

Article 22

Article 22

Penalties
  and
  other
  measures imposed for the breaches referred to in Article 19(1) shall be disclosed to the public without undue delay including at least information on the type of breach of this Regulation and the identity of those responsible for it ▌.
  Competent authorities may withhold the identity of the entity subject to administrative penalties or other measures on their website after no less than five years
  .

Penalties

other

Competent authorities may withhold the identity of the entity subject to administrative penalties or other measures on their website after no less than five years

▌

CHAPTER IV

CHAPTER IV

FINAL PROVISIONS

FINAL PROVISIONS

Article 23

Article 23

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
  8(5),
  Article
  10(2) ▌
  ,Article
  12(4)
  , Article 13a(10) and Article13b(9)
  shall be conferred on the Commission for a period of [
  two
  years] from the entry into force of this Regulation. 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.

Article

Article

,Article

, Article 13a(10) and Article13b(9)

two

3.   The delegation of powers referred to in
  Article
  8(5),
  Article
  10(2) ▌
  ,Article
  12(4)
  , Article 13a(10) and Article13b(9)
  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.

Article

Article

,Article

, Article 13a(10) and Article13b(9)

Official Journal of the European Union

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
  8(5),
  Article
  10(2) ▌
  ,Article
  12(4)
  , Article 13a(10) and Article13b(9)
  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 [
  two
  months] at the initiative of the European Parliament or the Council.

Article

Article

,Article

, Article 13a(10) and Article13b(9)

two

5a.
     
  Without prejudice to the other provisions of Regulations (EU) No 1093/2010, 1094/2010 and 1095/2010, the period for objection by the European Parliament and the Council in case of endorsement of the draft regulatory technical standard without changes by the Commission shall be two months [because of the complexity and volume of the issues covered]. That period may be extended once on initiative of the European Parliament or the Council for a further one month.

5a.

Without prejudice to the other provisions of Regulations (EU) No 1093/2010, 1094/2010 and 1095/2010, the period for objection by the European Parliament and the Council in case of endorsement of the draft regulatory technical standard without changes by the Commission shall be two months [because of the complexity and volume of the issues covered]. That period may be extended once on initiative of the European Parliament or the Council for a further one month.

Article 23a

Article 23a

Further provisions for draft regulatory technical standards

Further provisions for draft regulatory technical standards

1.
     
  Notwithstanding any time limit provided for the submission of draft regulatory technical standards to the Commission, phasing of submissions shall be agreed which shall specify texts or groups of texts due for submission 12, 18 and 24 months in advance.

1.

Notwithstanding any time limit provided for the submission of draft regulatory technical standards to the Commission, phasing of submissions shall be agreed which shall specify texts or groups of texts due for submission 12, 18 and 24 months in advance.

2.
     
  The Commission shall not adopt regulatory technical standards in a manner that, in times of recess, reduces the scrutiny time of the European Parliament, including any extension, to less than two months.

2.

The Commission shall not adopt regulatory technical standards in a manner that, in times of recess, reduces the scrutiny time of the European Parliament, including any extension, to less than two months.

3.
     
  The ESAs may consult the European Parliament during the drafting stages of the regulatory technical standards, particularly where there are concerns regarding the scope of this Regulation.

3.

The ESAs may consult the European Parliament during the drafting stages of the regulatory technical standards, particularly where there are concerns regarding the scope of this Regulation.

4.
     
  Where the competent committee of the European Parliament has rejected regulatory technical standards and there is less than two weeks until the start of the following plenary session, the European Parliament may further extend the period for objection referred to in Article 23(5a) to the date of the plenary session after the following one.

4.

Where the competent committee of the European Parliament has rejected regulatory technical standards and there is less than two weeks until the start of the following plenary session, the European Parliament may further extend the period for objection referred to in Article 23(5a) to the date of the plenary session after the following one.

5.
     
  In the event of a rejection of a regulatory technical standard and where the identified issues are of limited scope, the Commission may adopt an accelerated timetable for delivering revised drafts.

5.

In the event of a rejection of a regulatory technical standard and where the identified issues are of limited scope, the Commission may adopt an accelerated timetable for delivering revised drafts.

6.
     
  The Commission shall ensure that all queries of the European Parliament's scrutiny team raised formally via the Chair of the competent committee shall be answered promptly before the adoption of the draft regulatory technical standard.

6.

The Commission shall ensure that all queries of the European Parliament's scrutiny team raised formally via the Chair of the competent committee shall be answered promptly before the adoption of the draft regulatory technical standard.

Article 24

Article 24

1.
     Management companies and investment companies referred to under Article 2 (1) and Article 27 of Directive 2009/65/EC and persons selling units of UCITS as defined in Article 1(2) of that Directive are exempt from the obligations under this Regulation until ...[
  three
  years after the entry into force].

1.

three

1a.
     
  AIFMs as defined in Article 4(1)(b) of Directive 2011/61/EU of the European Parliament and of the Council

   (13)

  , and persons selling units of AIFs as defined in Article4(1)(a) of that Directive, shall be exempt from the obligations under this Regulation until ...[three years after the date of entry into force of this Regulation] provided that they provide a key investor information document pursuant to national law in accordance with Article 78 of Directive 2009/65/EC or relevant provisions of national law.

1a.

AIFMs as defined in Article 4(1)(b) of Directive 2011/61/EU of the European Parliament and of the Council

13

, and persons selling units of AIFs as defined in Article4(1)(a) of that Directive, shall be exempt from the obligations under this Regulation until ...[three years after the date of entry into force of this Regulation] provided that they provide a key investor information document pursuant to national law in accordance with Article 78 of Directive 2009/65/EC or relevant provisions of national law.

Article 25

Article 25

1.   By ... [Four years after the date of entry into force of this Regulation], the Commission shall review this Regulation. The review shall include a general survey of the practical application of the rules laid down in this Regulation, taking due account of developments in the market for retail investment products ▌. The review shall also reflect on a possible extension of the scope of this Regulation to other
  new or innovative
  financial products
  distributed in the Union
  .

new or innovative

distributed in the Union

2.   After consulting the Joint Committee of the
  ESAs
  , the Commission shall submit a report to the European Parliament and to the Council, accompanied, if appropriate, by a legislative proposal.

ESAs

2a.
     
  From ... [date of entry into force of this Regulation], investment manufacturers shall produce the key information document in accordance with this Regulation and shall be exempt from submitting a summary of a prospectus under Article 5(2) of Directive 2003/71/EC.

2a.

From ... [date of entry into force of this Regulation], investment manufacturers shall produce the key information document in accordance with this Regulation and shall be exempt from submitting a summary of a prospectus under Article 5(2) of Directive 2003/71/EC.

Article 26

Article 26

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

Official Journal of the European Union

It shall apply from ... [two years after the date of entry into force
  of this Regulation
  ].

of this Regulation

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)  This matter was referred back to the committee responsible for reconsideration pursuant to Rule 57(2), second subparagraph (A7-0368/2013).

1

(*1)  Amendments: new or amended text is highlighted in bold italics; deletions are indicated by the symbol ▌.

*1

(2)  OJ C 70, 9.3.2013, p. 2.

2

(3)  OJ C 11, 15.1.2013, p. 59.

3

(4)  Directive 2004/39/EC of the European Parliament and the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC(OJ L 145, 30.4.2004, p. 1).

4

(5)  Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation (OJ L 9, 15.1.2003, p. 3).

5

(6)  Directive 2003/71/EC of the European Parliament and the Council of 4 November 2003 on the prospectus to be published when securities are offered to the public or admitted to trading and amending Directive 2001/34/EC (OJ L 345, 31.12.2003, p. 64).

6

(7)  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).

7

(8)  
  Texts Adopted, P7_TA(2013)0012.

8

Texts Adopted, P7_TA(2013)0012.

(9)  
  Directive 2002/65/EC of the European Parliament and of the Council on 23 September 2002 concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC (OJ L 271, 9.10.2002, p. 16).

9

Directive 2002/65/EC of the European Parliament and of the Council on 23 September 2002 concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC (OJ L 271, 9.10.2002, p. 16).

(10)  
  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).

10

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).

(11)  Regulation (EU) No 1093/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Banking Authority) (OJ L 331, 15.12.2010, p. 12), 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) (OJ L 331, 15.12.2010, p. 48) and 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) (OJ L 331, 15.12.2010, p. 84).

11

(12)  
  Directive 2002/39/EC of the European Parliament and of the Council of 10 June 2002 amending Directive 97/67/EC with regard to the further opening to competition of Community postal services (OJ L 176, 5.7.2002, p. 21).

12

Directive 2002/39/EC of the European Parliament and of the Council of 10 June 2002 amending Directive 97/67/EC with regard to the further opening to competition of Community postal services (OJ L 176, 5.7.2002, p. 21).

(13)  
  Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers (OJ L 174, 1.7.2011, p. 1).

13

Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers (OJ L 174, 1.7.2011, p. 1).

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/270 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/270

---

P7_TA(2013)0490

Financing, management and monitoring of the CAP ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy (COM(2011)0628 — C7-0341/2011 — COM(2012)0551 — C7-0312/2012 — 2011/0288(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/45)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0628) and the amendments to the proposal (COM(2012)0551), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0628) and the amendments to the proposal (COM(2012)0551),

| — | 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 (C7-0341/2011), |
| --- | --- |

—

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 (C7-0341/2011),

| — | 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 opinions of the European Economic and Social Committee of 25 April 2012 (1) and 14 November 2012 (2), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 25 April 2012 (1) and 14 November 2012 (2),

| — | having regard to opinion 1/2012 of the Court of Auditors of 8 March 2012 (3), |
| --- | --- |

—

having regard to opinion 1/2012 of the Court of Auditors of 8 March 2012 (3),

| — | having regard to the opinion of the Committee of the Regions of 4 May 2012 (4), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 4 May 2012 (4),

| — | having regard to its decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (5), |
| --- | --- |

—

having regard to its decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (5),

| — | having regard to the undertaking given by the Council representative by letter of 7 October 2013 to approve that 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 7 October 2013 to approve that 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 Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control and the Committee on Regional Development (A7-0363/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control and the Committee on Regional Development (A7-0363/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement by Parliament and the Council annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement by Parliament and the Council annexed to this resolution;

| 3. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

3.

Takes note of the Commission statements 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.

---

(1)  OJ C 191, 29.6.2012, p. 116.

(2)  OJ C 11, 15.1.2013, p. 88.

(3)  Not yet published in the Official Journal.

(4)  OJ C 225, 27.7.2012, p. 174.

(5)  Texts adopted, P7_TA(2013)0087.

---

P7_TC1-COD(2011)0288

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the financing, management and monitoring of the common agricultural policy and repealing Council Regulations (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC) No 485/2008

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1306/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

JOINT STATEMENT FROM THE EUROPEAN PARLIAMENT AND COUNCIL

on cross-compliance

The Council and the European Parliament invite the Commission to monitor the transposition and the implementation by the Member States of Directive 2000/60/EC of 23 October 2000 establishing a framework for Community action in the field of water policy and 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 and, where appropriate, to come forward, once these Directives have been implemented in all Member States and the obligations directly applicable to farmers have been identified, with a legislative proposal amending this regulation with a view to including the relevant parts of these Directives in the system of cross-compliance.

STATEMENT FROM THE COMMISSION

on relation to late payments made by the paying agencies to beneficiaries (Article 42(1))

The European Commission declares that when it adopts rules on the reduction of reimbursement to the paying agencies in case of payment made to the beneficiaries after the latest possible date laid down by Union legislation, the scope of the current provisions related to late payments for EAGF will be maintained.

STATEMENT FROM THE COMMISSION

on the level of implementation (Article 112b)

The European Commission confirms that in accordance with Article 4(2) TEU, the Union respects Member States' constitutional structures and, therefore, Member States are responsible for deciding at which territorial level they wish to implement the common agricultural policy, subject to respecting Union law and ensuring its effectiveness. This principle is applicable to all four Regulations of the CAP reform.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/272 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/272

---

P7_TA(2013)0491

European Agricultural Fund for Rural Development ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) (COM(2011)0627 — C7-0340/2011 — COM(2012)0553 — C7-0313/2012 — 2011/0282(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/46)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0627) and the amendments to the proposal (COM(2012)0553), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0627) and the amendments to the proposal (COM(2012)0553),

| — | having regard to Article 294(2) and Article 42, first paragraph, and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0340/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 42, first paragraph, and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0340/2011),

| — | 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) 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Luxembourg Chamber of Deputies, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 Luxembourg Chamber of Deputies, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to opinion 1/2012 of the European Court of Auditors of 8 March 2012 (1), |
| --- | --- |

—

having regard to opinion 1/2012 of the European Court of Auditors of 8 March 2012 (1),

| — | having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 2012 (2), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 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 decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4), |
| --- | --- |

—

having regard to its decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4),

| — | having regard to the undertaking given by the Council representative by letter of 7 October 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 7 October 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 and 37 of its Rules of Procedure, |
| --- | --- |

—

having regard to Rules 55 and 37 of its Rules of Procedure,

| — | having regard to the report of the Committee on Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on the Environment, Public Health and Food Safety and the Committee on Regional Development (A7-0361/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on the Environment, Public Health and Food Safety and the Committee on Regional Development (A7-0361/2013),

| 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)  Not yet published in the Official Journal.

(2)  OJ C 191, 29.6.2012, p. 116 and OJ C 44, 15.2.2013, p. 160.

(3)  OJ C 225, 27.7.2012, p. 174.

(4)  Texts adopted, P7_TA(2013)0086.

---

P7_TC1-COD(2011)0282

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1305/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/274 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/274

---

P7_TA(2013)0492

Common organisation of the markets in agricultural products ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products (Single CMO Regulation) (COM(2011)0626 — C7-0339/2011 — COM(2012)0535 — C7-0310/2012 — 2011/0281(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/47)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0626) and the amended proposal (COM(2012)0535), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0626) and the amended proposal (COM(2012)0535),

| — | having regard to Article 294(2) and Article 42, first paragraph, and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0339/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 42, first paragraph, and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0339/2011),

| — | 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 opinion 1/2012 of the Court of Auditors of 8 March 2012 (1), |
| --- | --- |

—

having regard to opinion 1/2012 of the Court of Auditors of 8 March 2012 (1),

| — | having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 2012 (2), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 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 decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4), |
| --- | --- |

—

having regard to its decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4),

| — | having regard to the undertaking given by the Council representative by letter of 7 October 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 7 October 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 Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets and the Committee on Regional Development (A7-0366/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets and the Committee on Regional Development (A7-0366/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution; |
| --- | --- |

2.

Approves the joint statement by Parliament, the Council and the Commission annexed to this resolution;

| 3. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

3.

Takes note of the Commission statements 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.

---

(1)  Not yet published in the Official Journal.

(2)  OJ C 191, 29.6.2012, p. 116, and OJ C 44, 15.2.2013, p. 158.

(3)  OJ C 225, 27.7.2012, p. 174.

(4)  Texts adopted, P7_TA(2013)0085.

---

P7_TC1-COD(2011)0281

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1308/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

JOINT STATEMENT FROM THE EUROPEAN PARLIAMENT, COUNCIL AND COMMISSION

on Article 43(3) of the Treaty on the Functioning of the European Union (TFEU)

The outcome of negotiations as concerns recourse to Article 43(3) of the Treaty on the Functioning of the European Union forms part of the overall compromise on the current CAP reform and is without prejudice to each institution’s position on the scope of this provision and to any future developments on this question, in particular any new case law from the Court of Justice of the European Union.

STATEMENT FROM THE COMMISSION

on marketing standards (linked to Article 59(1a))

The Commission is keenly aware of the sensitivity of extending marketing standards to sectors or products which currently are not subject to these rules under the sCMO Regulation.

Marketing standards should only apply to sectors where there are clear expectations of the consumers and when there is a need to improve the economic conditions for the production and marketing of specific products as well as to their quality, or to take into account technical progress or need for product innovation. They should also avoid administrative burden, be simply understandable for the consumers and help producers to easily communicate the characteristics and attributes of their products.

The Commission will take into account any duly justified request from Institutions or representative organisation, as well as the recommendations of International Bodies, but before using its power to include new products or sectors in paragraph 1 of Article 59 will be required to carefully assess the specificity of that sector and present a report to the European Parliament and the Council evaluating, in particular, the need of the consumer, the costs and administrative burdens for operators including the impact on the internal market and on international trade, as well as the benefits offered to producers and to the end consumer.

STATEMENT FROM THE COMMISSION

on sugar

In order to aim for a balanced market and a fluid supply of sugar to the Union market during the remaining period of sugar quotas, the Commission will have regard to the interests of both Union sugar beet growers and raw cane refiners in applying the temporary market management mechanism laid down in Article 101da of the sCMO Regulation.

STATEMENT FROM THE COMMISSION

on the European Price Monitoring Tool

The Commission recognises the importance of collecting and disseminating available data on price developments in the different steps of the food chain. To this end, the Commission has developed a Food Prices Monitoring Tool for Food Products, which draws from the combined food related price index data collected by National Statistical Offices. This tool aims at bringing together and making available price development along the food chain, and allows comparison of price developments for relevant agricultural products, for food industries and the relevant consumer products. This tool is under constant improvement and will aim to expand the range of food chain products it covers and in general to meet farmers’ and consumers’ need for more transparency and food price building. The Commission shall report regularly to the European Parliament and to the Council on the activities of the European Price Monitoring Tool and the results of the latter's studies.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/277 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/277

---

P7_TA(2013)0493

Direct payments to farmers under support schemes within the framework of the CAP ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy (COM(2011)0625 — C7-0336/2011 — COM(2012)0552 — C7-0311/2012 — 2011/0280(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/48)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0625) and the amendments to the proposal (COM(2012)0552), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0625) and the amendments to the proposal (COM(2012)0552),

| — | having regard to Article 294(2) and Article 42 and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0336/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 42 and Article 43(2) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0336/2011),

| — | having regard to the 1979 Act of Accession, and in particular paragraph 6 of Protocol No 4 on cotton attached thereto, |
| --- | --- |

—

having regard to the 1979 Act of Accession, and in particular paragraph 6 of Protocol No 4 on cotton attached thereto,

| — | 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 opinion 1/2012 of the Court of Auditors of 8 March 2012 (1), |
| --- | --- |

—

having regard to opinion 1/2012 of the Court of Auditors of 8 March 2012 (1),

| — | having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 2012 (2), |
| --- | --- |

—

having regard to the opinions of the European Economic and Social Committee of 25 April 2012 and 12 December 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 decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4), |
| --- | --- |

—

having regard to its decision of 13 March 2013 on the opening of, and on the mandate for, interinstitutional negotiations on the proposal (4),

| — | having regard to the undertaking given by the Council representative by letter of 7 October 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 7 October 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 Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on Environment, Public Health and Food Safety and the Committee on Regional Development (A7-0362/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on Environment, Public Health and Food Safety and the Committee on Regional Development (A7-0362/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

2.

Takes note of the Commission statements annexed to this resolution;

| 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.

---

(1)  Not yet published in the Official Journal.

(2)  OJ C 191, 29.6.2012, p. 116, and OJ C 44, 15.2.2013, p. 159.

(3)  OJ C 225, 27.7.2012, p. 174.

(4)  Texts adopted, P7_TA(2013)0084.

---

P7_TC1-COD(2011)0280

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No 637/2008 and Council Regulation (EC) No 73/2009

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1307/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

STATEMENT FROM THE COMMISSION

on Article 9(2) of the Direct Payments Regulation

Article 9(2) of the proposal for a regulation on direct payments does not preclude the possibility for a farmer to rent buildings or parts of buildings to third parties or to possess a stable, provided that these activities do not constitute the farmer’s main activity.

STATEMENT FROM THE COMMISSION

on coupled support

For agricultural products, notably for those not eligible to coupled support according to Article 38(1) of the Direct Payments Regulation, the Commission shall closely follow their market evolution and, in case of severe market crisis, may resort to any appropriate measures at its disposal to improve the market situation.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/279 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/279

---

P7_TA(2013)0494

Transitional provisions on support for rural development ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and amending Regulation (EU) No [RD] as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No [DP], (EU) No [HR] and (EU) No [sCMO] as regards their application in the year 2014 (COM(2013)0226 — C7-0104/2013 — 2013/0117(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/49)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0226), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0226),

| — | 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 (C7-0104/2013), |
| --- | --- |

—

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 (C7-0104/2013),

| — | 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 28 October 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 28 October 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 Agriculture and Rural Development and the opinion of the Committee on Budgets (A7-0326/2013), |
| --- | --- |

—

having regard to the report of the Committee on Agriculture and Rural Development and the opinion of the Committee on Budgets (A7-0326/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Takes note of the Commission statement annexed to this resolution; |
| --- | --- |

2.

Takes note of the Commission statement annexed to this resolution;

| 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.

---

(1)  Not yet published in the Official Journal.

---

P7_TC1-COD(2013)0117

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down certain transitional provisions on support for rural development by the European Agricultural Fund for Rural Development (EAFRD), amending Regulation (EU) No 1305/2013 of the European Parliament and of the Council as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC) No 73/2009 and Regulations (EU) No 1307/2013, (EU) No 1306/2013 and (EU) No 1308/2013 of the European Parliament and of the Council as regards their application in the year 2014

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1310/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

STATEMENT FROM THE COMMISSION

on rural development

The Commission declares that it will cooperate constructively with the Member States in the preparation and approval of the new rural development programmes with a view to ensuring a smooth transition to the new programming period also for measures not covered by Article 1 of the Transitional Regulation.

The Commission encourages Member States which will use the possibility under Article 1 of the Transitional Regulation to undertake new legal commitments for irrigation operations to do so in compliance with the conditions set out for such operations in Article 46(3) of the new Rural Development Regulation for the programming period 2014-2020.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/281 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/281

---

P7_TA(2013)0495

Provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability and to the decommitment rules for certain Member States (COM(2013)0301 — C7-0143/2013 — 2013/0156(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/50)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0301), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0301),

| — | having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0143/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0143/2013),

| — | 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 opinion of the Committee of Regions of 11 July 2013 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of Regions of 11 July 2013 (2),

| — | having regard to the undertaking given by the Council representative by letter of 14 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 14 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 Regional Development and the opinion of the Committee on Budgets (A7-0312/2013), |
| --- | --- |

—

having regard to the report of the Committee on Regional Development and the opinion of the Committee on Budgets (A7-0312/2013),

| 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)  Not yet published in the Official Journal.

(2)  Not yet published in the Official Journal.

---

P7_TC1-COD(2013)0156

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards certain provisions relating to financial management for certain Member States experiencing or threatened with serious difficulties with respect to their financial stability, to the decommitment rules for certain Member States, and to the rules on payments of the final balance

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1297/2013.)

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/282 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/282

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P7_TA(2013)0496

Financial allocation for certain Member States from the European Social Fund ***I

European Parliament legislative resolution of 20 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund (COM(2013)0560 — C7-0244/2013 — 2013/0271(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/51)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0560), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0560),

| — | having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0244/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 177 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0244/2013),

| — | 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 17 October 2013 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 17 October 2013 (1),

| — | after consulting the Committee of the Regions, |
| --- | --- |

—

after consulting the Committee of the Regions,

| — | having regard to the undertakings given by the Council representative by letter of 14 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 undertakings given by the Council representative by letter of 14 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 Regional Development and the opinions of the Committee on Employment and Social Affairs and the Committee on Budgets (A7-0381/2013), |
| --- | --- |

—

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 Budgets (A7-0381/2013),

| 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.

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(1)  Not yet published in the Official Journal.

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P7_TC1-COD(2013)0271

Position of the European Parliament adopted at first reading on 20 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Council Regulation (EC) No 1083/2006 as regards the financial allocation for certain Member States from the European Social Fund

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1298/2013.)

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/283 |
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24.11.2016

EN

Official Journal of the European Union

C 436/283

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P7_TA(2013)0497

EC-Kiribati fisheries partnership agreement ***

European Parliament legislative resolution of 20 November 2013 on the draft Council decision on the conclusion of the Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community, on the one hand, and the Republic of Kiribati, on the other (13331/2012 — C7-0036/2013 — 2012/0229(NLE))

(Consent)

(2016/C 436/52)

The European Parliament,

| — | having regard to the draft Council decision (13331/2012), |
| --- | --- |

—

having regard to the draft Council decision (13331/2012),

| — | having regard to the draft Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community, on the one hand, and the Republic of Kiribati, on the other (13333/2012), |
| --- | --- |

—

having regard to the draft Protocol setting out the fishing opportunities and financial contribution provided for in the Fisheries Partnership Agreement between the European Community, on the one hand, and the Republic of Kiribati, on the other (13333/2012),

| — | having regard to the request for consent submitted by the Council in accordance with Articles 43(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0036/2013), |
| --- | --- |

—

having regard to the request for consent submitted by the Council in accordance with Articles 43(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C7-0036/2013),

| — | 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 Fisheries and the opinions of the Committee on Development and the Committee on Budgets (A7-0345/2013), |
| --- | --- |

—

having regard to the recommendation of the Committee on Fisheries and the opinions of the Committee on Development and the Committee on Budgets (A7-0345/2013),

| 1. | Consents to conclusion of the Protocol; |
| --- | --- |

1.

Consents to conclusion of the Protocol;

| 2. | Calls on the Commission to forward to Parliament the minutes and the conclusions of the meetings of the Joint Committee provided for in Article 10 of the Agreement, as well as the multiannual sectoral programme provided for in Article 3 of the Protocol and the corresponding annual evaluations; calls on the Commission to facilitate the participation of representatives of Parliament as observers in the meetings of the Joint Committee; calls on the Commission to submit to Parliament and the Council, within the last year of application of the Protocol and before the opening of negotiations for its renewal, a full evaluation report on its implementation, without imposing unnecessary restrictions on access to this document; |
| --- | --- |

2.

Calls on the Commission to forward to Parliament the minutes and the conclusions of the meetings of the Joint Committee provided for in Article 10 of the Agreement, as well as the multiannual sectoral programme provided for in Article 3 of the Protocol and the corresponding annual evaluations; calls on the Commission to facilitate the participation of representatives of Parliament as observers in the meetings of the Joint Committee; calls on the Commission to submit to Parliament and the Council, within the last year of application of the Protocol and before the opening of negotiations for its renewal, a full evaluation report on its implementation, without imposing unnecessary restrictions on access to this document;

| 3. | Calls on the Council and the Commission, acting within the limits of their respective powers, to keep Parliament immediately and fully informed at all stages of the procedures related to the new Protocol and its renewal, pursuant to Article 13(2) of the Treaty on European Union and Article 218(10) of the Treaty on the Functioning of the European Union; |
| --- | --- |

3.

Calls on the Council and the Commission, acting within the limits of their respective powers, to keep Parliament immediately and fully informed at all stages of the procedures related to the new Protocol and its renewal, pursuant to Article 13(2) of the Treaty on European Union and Article 218(10) of the Treaty on the Functioning of the European Union;

| 4. | 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 Kiribati. |
| --- | --- |

4.

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 Kiribati.

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Thursday 21 November 2013

| 24.11.2016 | EN | Official Journal of the European Union | C 436/284 |
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24.11.2016

EN

Official Journal of the European Union

C 436/284

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P7_TA(2013)0499

Horizon 2020 — framework programme for research and innovation (2014-2020) ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council establishing Horizon 2020 — The Framework Programme for Research and Innovation (2014-2020) (COM(2011)0809 — C7-0466/2011 — 2011/0401(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/53)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0809), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0809),

| — | having regard to Article 294(2), Article 173(3) and Article 182(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0466/2011), |
| --- | --- |

—

having regard to Article 294(2), Article 173(3) and Article 182(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0466/2011),

| — | 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 opinion of the European Economic and Social Committee of 28 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 19 July 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 19 July 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 12 September 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 12 September 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 Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, the Committee on Development, the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism, the Committee on Regional Development, the Committee on Agriculture and Rural Development, the Committee on Fisheries, the Committee on Culture and Education, the Committee on Legal Affairs and the Committee on Women's Rights and Gender Equality (A7-0427/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, the Committee on Development, the Committee on Budgets, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism, the Committee on Regional Development, the Committee on Agriculture and Rural Development, the Committee on Fisheries, the Committee on Culture and Education, the Committee on Legal Affairs and the Committee on Women's Rights and Gender Equality (A7-0427/2012),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

2.

Takes note of the Commission statements annexed to this resolution;

| 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.

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(1)  OJ C 181, 21.6.2012, p. 111.

(2)  OJ C 277, 13.9.2012, p. 143.

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P7_TC1-COD(2011)0401

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) and repealing Decision No 1982/2006/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1291/2013.)

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ANNEX TO THE LEGISLATIVE RESOLUTION

STATEMENTS BY THE COMMISSION

Statement on Article 19

For the Horizon 2020 Framework Programme, the European Commission proposes to continue with the same ethical framework for deciding on the EU funding of human embryonic stem cell research as in the 7th Framework Programme.

The European Commission proposes the continuation of this ethics framework because it has developed, based on experience, a responsible approach for an area of science which holds much promise and that has proven to work satisfactorily in the context of a research programme in which researchers participate from many countries with very diverse regulatory situations.

| (1) | The decision on the Horizon 2020 Framework Programme explicitly excludes three fields of research from Community funding:






  — | research activities aiming at human cloning for reproductive purposes; |
| --- | --- | --- |

(1)

The decision on the Horizon 2020 Framework Programme explicitly excludes three fields of research from Community funding:

—

research activities aiming at human cloning for reproductive purposes;

| — | research activities intended to modify the genetic heritage of human beings which could make such changes heritable; |
| --- | --- |

—

research activities intended to modify the genetic heritage of human beings which could make such changes heritable;

| — | research activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer. |
| --- | --- |

—

research activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer.

| (2) | No activity will be funded that is forbidden in all Member States. No activity will be funded in a Member State where such activity is forbidden. |
| --- | --- |

(2)

No activity will be funded that is forbidden in all Member States. No activity will be funded in a Member State where such activity is forbidden.

| (3) | The decision on Horizon 2020 and the provisions for the ethics framework governing the Community funding of human embryonic stem cell research entail in no way a value judgment on the regulatory or ethics framework governing such research in Member States. |
| --- | --- |

(3)

The decision on Horizon 2020 and the provisions for the ethics framework governing the Community funding of human embryonic stem cell research entail in no way a value judgment on the regulatory or ethics framework governing such research in Member States.

| (4) | In calling for proposals, the European Commission does not explicitly solicit the use of human embryonic stem cells. The use of human stem cells, be they adult or embryonic, if any, depends on the judgment of the scientists in view of the objectives they want to achieve. In practice, by far the largest part of Community funds for stem cell research is devoted to the use of adult stem cells. There is no reason why this would substantially change in Horizon 2020. |
| --- | --- |

(4)

In calling for proposals, the European Commission does not explicitly solicit the use of human embryonic stem cells. The use of human stem cells, be they adult or embryonic, if any, depends on the judgment of the scientists in view of the objectives they want to achieve. In practice, by far the largest part of Community funds for stem cell research is devoted to the use of adult stem cells. There is no reason why this would substantially change in Horizon 2020.

| (5) | Each project proposing to use human embryonic stem cells must successfully pass a scientific evaluation during which the necessity of using such stem cells to achieve the scientific objectives is assessed by independent scientific experts. |
| --- | --- |

(5)

Each project proposing to use human embryonic stem cells must successfully pass a scientific evaluation during which the necessity of using such stem cells to achieve the scientific objectives is assessed by independent scientific experts.

| (6) | Proposals which successfully pass the scientific evaluation are then subject to a stringent ethics review organised by the European Commission. In this ethics review, account is taken of principles reflected in the EU Charter of Fundamental Rights and relevant international conventions such as the Convention of the Council of Europe on Human Rights and Biomedicine signed in Oviedo on 4 April 1997 and its additional protocols and the Universal Declaration on the Human Genome and the Human Rights adopted by UNESCO. The ethics review also serves to check that the proposals respect the rules of the countries where the research will be carried out. |
| --- | --- |

(6)

Proposals which successfully pass the scientific evaluation are then subject to a stringent ethics review organised by the European Commission. In this ethics review, account is taken of principles reflected in the EU Charter of Fundamental Rights and relevant international conventions such as the Convention of the Council of Europe on Human Rights and Biomedicine signed in Oviedo on 4 April 1997 and its additional protocols and the Universal Declaration on the Human Genome and the Human Rights adopted by UNESCO. The ethics review also serves to check that the proposals respect the rules of the countries where the research will be carried out.

| (7) | In particular cases, an ethics check may be carried out during the lifetime of the project. |
| --- | --- |

(7)

In particular cases, an ethics check may be carried out during the lifetime of the project.

| (8) | Each project proposing to use human embryonic stem cells must seek the approval of the relevant national or local ethics committee prior to the start of the project. All national rules and procedures must be respected, including on such issues as parental consent, absence of financial inducement, etc. Checks will be made on whether the project includes references to licensing and control measures to be taken by the competent authorities of the Member State where the research will be carried out. |
| --- | --- |

(8)

Each project proposing to use human embryonic stem cells must seek the approval of the relevant national or local ethics committee prior to the start of the project. All national rules and procedures must be respected, including on such issues as parental consent, absence of financial inducement, etc. Checks will be made on whether the project includes references to licensing and control measures to be taken by the competent authorities of the Member State where the research will be carried out.

| (9) | A proposal that successfully passes the scientific evaluation, the national or local ethics reviews and the European ethics review will be presented for approval, on a case by case basis, to the Member States, meeting as a committee acting in accordance with the examination procedure. No project involving the use of human embryonic stem cells will be funded that does not obtain approval from the Member States. |
| --- | --- |

(9)

A proposal that successfully passes the scientific evaluation, the national or local ethics reviews and the European ethics review will be presented for approval, on a case by case basis, to the Member States, meeting as a committee acting in accordance with the examination procedure. No project involving the use of human embryonic stem cells will be funded that does not obtain approval from the Member States.

| (10) | The European Commission will continue to work to make the results from Community funded stem cell research widely accessible to all researchers, for the ultimate benefit of patients in all countries. |
| --- | --- |

(10)

The European Commission will continue to work to make the results from Community funded stem cell research widely accessible to all researchers, for the ultimate benefit of patients in all countries.

| (11) | The European Commission will support actions and initiatives that contribute to a coordination and rationalisation of HESC research within a responsible ethical approach. In particular, the Commission will continue to support a European registry of human embryonic stem cell lines. Support for such a registry will allow a monitoring of existing human embryonic stem cells in Europe, will contribute to maximise their use by scientists and may help to avoid unnecessary derivations of new stem cell lines. |
| --- | --- |

(11)

The European Commission will support actions and initiatives that contribute to a coordination and rationalisation of HESC research within a responsible ethical approach. In particular, the Commission will continue to support a European registry of human embryonic stem cell lines. Support for such a registry will allow a monitoring of existing human embryonic stem cells in Europe, will contribute to maximise their use by scientists and may help to avoid unnecessary derivations of new stem cell lines.

| (12) | The European Commission will continue with the current practice and will not submit to the committee acting in accordance with the examination procedure proposals for projects which include research activities which destroy human embryos, including for the procurement of stem cells. The exclusion of funding of this step of research will not prevent Community funding of subsequent steps involving human embryonic stem cells. |
| --- | --- |

(12)

The European Commission will continue with the current practice and will not submit to the committee acting in accordance with the examination procedure proposals for projects which include research activities which destroy human embryos, including for the procurement of stem cells. The exclusion of funding of this step of research will not prevent Community funding of subsequent steps involving human embryonic stem cells.

Statement on Energy

The Commission acknowledges the essential future role of end-user energy efficiency and renewable energy, the importance of better grids and storage in maximising their potential, and the need for market uptake measures to build capacity, improve governance and overcome market barriers so that energy efficiency and renewable energy solutions can be rolled out.

The Commission will endeavor to ensure that at least 85 %, of the energy challenge budget of Horizon 2020 is spent in non-fossil fuels areas, within which at least 15 % of the overall energy challenge budget is spent on market up-take activities of existing renewable and energy efficiency technologies in the Intelligent Energy Europe III Programme. This Programme will be implemented by a dedicated management structure and will also include support for sustainable energy policy implementation, capacity building and mobilisation of financing for investment, as been undertaken until today.

The remaining part will be devoted to fossil based technologies and development options, which are considered essential for reaching the 2050 vision and supporting the transformation to a sustainable energy system.

Progress towards these targets will be monitored and the Commission shall regularly report on the progress achieved.

Statement on Spreading excellence and widening participation

The Commission is committed to set up and implement the measures to close the research and innovation divide in Europe under the new heading ‘Spreading Excellence and widening participation’. The level of funding foreseen for these measures will not be lower than the amount spent in the Seventh Framework Programme on the actions addressing ‘widening participation’.

The new activities of COST undertaken in the context of ‘widening participation’ should be supported by the budget allocated to ‘Spreading excellence and widening participation’. The activities of COST which do not fall thereunder, and which should be of a equal order of magnitude in terms of budget, should be supported from the budget allocated to ‘6. Europe in a changing World — Inclusive, innovative and reflective societies’.

The major part of the activities related to the Policy Support Facility and to the transnational networks of National Contact points should also be supported by the budget allocated to ‘6. Europe in a changing World — Inclusive, innovative and reflective societies’.

Statement on Seal of Excellence

Union level intervention enables EU-wide competition to select the best proposals, thereby raising levels of excellence and providing visibility for leading research and innovation.

The Commission considers that positively evaluated European Research Council, Marie Sklodowska-Curie, teaming actions, phase-2 SME instrument or collaborative project proposals that could not be funded for budgetary reasons, have still met the Horizon 2020 criterion of excellence.

Upon approval of the participants, this information can be shared with the responsible authorities.

The Commission therefore welcomes any initiatives to fund such projects by national, regional or private sources. In this context, cohesion policy also has a key role to play through building capacity.

Statement on the SME instrument

SME support in Horizon 2020 is of major importance and represents a prominent part to achieve its objective to foster innovation, economic growth and job creation. Therefore, the Commission will ensure high visibility of SME support in Horizon 2020, in particular through the SME instrument in the work programmes, guidelines and communication activities. All efforts will be undertaken that it is easy and straightforward for SMEs to identify and use the opportunities provided for them in the Societal Challenges and LEITs.

The SME instrument will be implemented through a single centralised management structure responsible for the evaluation and management of the projects, including the use of common IT systems and business processes.

The SME-instrument shall attract the most ambitious innovation projects of SMEs. It will be implemented primarily in a bottom up manner via a continuously open call tailored to the needs of SMEs as set in the specific objective ‘innovation in SMEs’ while taking into account priorities and objectives of LEITs and societal challenges and allowing for cross-challenge/LEITs proposals, underpinning the bottom-up approach. This call may be reviewed/renewed every two years, to take into account the biannual strategic programmes. Where appropriate, calls on specific topics of strategic interest can be organised in addition to the call described above. These calls will use the concept and procedures of the SME instrument as well as its single entry point for applicants and the accompanying mentoring and coaching services.”

Statement on Article 6(5)

Without prejudice to the annual budgetary procedure, it is the Commission’s intention to present in the context of the structured dialogue with the European Parliament an annual report on the implementation of the budget breakdown set out in Annex II of Horizon 2020 by priorities and specific objectives within these priorities, including any application of Article 6(5).

Statement on Article 12

Upon request, the Commission will present the adopted work programmes to the responsible Committee in the European Parliament.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/288 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/288

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P7_TA(2013)0500

Rules for the participation and dissemination in Horizon 2020 ***I

European Parliament legislative resolution of 21 November 2013 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 — C7-0465/2011 — 2011/0399(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/54)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0810), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0810),

| — | having regard to Article 294(2) and Articles 173 and 183 and the second paragraph of Article 188 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0465/2011), |
| --- | --- |

—

having regard to Article 294(2) and Articles 173 and 183 and the second paragraph of Article 188 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0465/2011),

| — | 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 opinion of the Court of Auditors of 19 July 2012 (1), |
| --- | --- |

—

having regard to the opinion of the Court of Auditors of 19 July 2012 (1),

| — | having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (2), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 12 September 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 12 September 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 Foreign Affairs, Committee on Development and the Committee on Budgets (A7-0428/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, Committee on Development and the Committee on Budgets (A7-0428/2012),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

2.

Takes note of the Commission statements annexed to this resolution;

| 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.

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(1)  OJ C 318, 20.10.2012, p. 1.

(2)  OJ C 181, 21.6.2012, p. 111.

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P7_TC1-COD(2011)0399

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council laying down the rules for participation and dissemination in ‘Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020)’ and repealing Regulation (EC) No 1906/2006

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1290/2013.)

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ANNEX TO THE LEGISLATIVE RESOLUTION

STATEMENTS BY THE COMMISSION

Statement on direct costing for large research infrastructures

In response to the demands from stakeholders, the Commission is committed to clarify the issue of direct costing of large research infrastructures along the lines described in this declaration.

The guidance on direct costing for large research infrastructures in Horizon 2020 will apply to the costs of large research infrastructures with a total value of at least EUR 20 million for a given beneficiary, calculated as the sum of the historical asset values of the individual research infrastructures as they appear in the last closed Balance Sheet of that beneficiary before the date of the signature of the grant agreement, or as determined on the basis of the rental and leasing costs of the research infrastructures.

Below this threshold, the guidance on direct costing for large research infrastructures in Horizon 2020 will not apply. Individual cost items may be declared as eligible direct costs in accordance with the applicable provisions of the grant agreement.

Generally, it will be possible to claim as direct costs all costs that both: fulfil the general eligibility criteria and are directly linked to the implementation of the action and can therefore be attributed directly to it.

For a large research infrastructure that is used for a project, this will typically be the case for the capitalised costs and for the operating costs.

‘Capitalised costs’ will be costs incurred to set up and/or renew the large research infrastructure, as well as some costs of specific repair and maintenance of the large research infrastructure together with parts or essential integral components.

‘Operating costs’ will be costs which the beneficiary incurs specifically for running the large research infrastructure.

By contrast, some costs could typically not be declared as direct costs, but would be deemed reimbursed through the flat-rate for indirect costs, e.g. rental, lease or depreciation costs of administrative buildings and headquarters.

Where costs have been caused only in part by the activities of the project, only the part which is directly measured to the project can be declared.

For this purpose, the measurement system of the beneficiary must provide for an accurate quantification of the actual true value of the cost for the project (i.e. showing the real consumption and/or use for the project).This will be the case, if measurement is obtained from the invoice of the supplier.

The measurement of the cost is generally associated with the time used for the project, which must correspond to the actual hours/days/months of use of the research infrastructure for the project. The total number of productive hours/days/months must correspond to the full potential of use (full capacity) of the research infrastructure. The calculation of the full capacity will include any time during which the research infrastructure is usable but not used. However, the calculation of the full capacity will take due account of real constraints such as the opening hours of the entity, repair and maintenance time (including calibrating and testing).

If a cost can be directly measured to the research infrastructure but not directly to the project, because of technical constraints, an acceptable alternative will be measurement of these costs by means of units of actual usage relevant for the project, supported by accurate technical specifications and actual data, and determined on the basis of the beneficiary’s analytical cost accounting system.

The costs and their direct measurement to the project must be supported by appropriate supporting documents allowing for a sufficient audit trail.

The beneficiary may prove the direct link through persuasive alternative evidence.

The Commission services will recommend best practices for direct measurement and supporting documents (e.g.: for capitalised costs: accounting statements accompanied by depreciation policy of the beneficiary as part of its usual accounting principles, showing calculation of the potential use and of the economic life of the asset, and evidence of its actual use for the project; for operating costs: specific explicitly labelled invoice related to the large research infrastructure, contract, project time, etc.).

Upon request of a beneficiary with large research infrastructures, and taking into account the resources available and the cost-effectiveness principle, the Commission is prepared to carry out an ex-ante assessment of the direct costing methodology of the beneficiary in a simple and transparent manner, to ensure legal certainty. These ex-ante assessments will be taken into full account during ex-post audits.

In addition, the Commission will establish a group consisting of representatives of relevant stakeholder organizations, to evaluate the use of the guidance.

The Commission confirms that it will promptly adopt guidance on direct costing for large research infrastructures, once Horizon 2020 regulations have been adopted.

Statement on the guidelines on the criteria to implement the ‘bonus’

Regarding additional remuneration, it is the intention of the Commission to, without delay, issue guidelines on the criteria for its implementation after the adoption of the Horizon 2020 Rules for Participation and Dissemination.

Statement on the Fast track to Innovation

The Commission intends to provide appropriate visibility among the research and innovation community for the FTI through awareness-raising and communication activities preceding the pilot call in 2015.

The Commission does not intend to limit the duration of FTI actions ex-ante. Factors such as time sensitivity and the international competitive situation shall be taken into sufficient account when evaluating the ‘impact’ of a proposal, to allow for flexibility according to the various specificities within different fields of applied research.

In addition to the in-depth assessment carried out within the interim evaluation of Horizon 2020, the FTI pilot will be subject to a continuous monitoring of all practicalities related to the submission, evaluation, selection and budgeting of proposals under the FTI Call, starting from the first cut-off date in 2015.

To allow for the pilot to be effective and to make sure a proper evaluation can be conducted, this could necessitate supporting up to a hundred projects.

Statement regarding Articles 3 and 4

It is the intention of the Commission to include references to national law in the grant agreement regarding public access to documents and confidentiality, in view of finding an appropriate balance between the different interests.

Statement on Article 28

(option of a 100 % reimbursement rate for non-profit legal entities for innovation actions):

The Commission notes that even non-profit entities may carry out economic activities which are close to market and whose subsidiation may create distortions in the internal market. Therefore, the Commission will assess ex-ante if eligible activities are of an economic nature, if cross-subsidiation of economic activities is effectively prevented, and if the funding rate for economic eligible activities has negative effects on competition in the internal market which are not outbalanced by its positive effects.

Statement on Article 42

It is the intention of the Commission to lay down time limits in the model grant agreement regarding the protection of results, taking into account the FP7 time limits.

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| 24.11.2016 | EN | Official Journal of the European Union | C 436/292 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/292

---

P7_TA(2013)0501

European Institute of Innovation and Technology (EIT): strategic innovation agenda ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a decision of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe (COM(2011)0822 — C7-0462/2011 — 2011/0387(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/55)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0822), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0822),

| — | having regard to Article 294(2) and Article 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0462/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0462/2011),

| — | 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 opinion of the European Economic and Social Committee of 28 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (1),

| — | having regard to the undertaking given by the Council representative by letter of 12 September 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 12 September 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 Culture and Education and the Committee on Legal Affairs (A7-0422/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Culture and Education and the Committee on Legal Affairs (A7-0422/2012),

| 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 181, 21.6.2012, p. 122.

---

P7_TC1-COD(2011)0387

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Decision No .../2013/EU of the European Parliament and of the Council on the Strategic Innovation Agenda of the European Institute of Innovation and Technology (EIT): the contribution of the EIT to a more innovative Europe

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Decision No 1312/2013/EU.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/293 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/293

---

P7_TA(2013)0502

European Institute of Innovation and Technology ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology (COM(2011)0817 — C7-0467/2011 — 2011/0384(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/56)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0817), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0817),

| — | having regard to Article 294(2) and Article 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0467/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 173(3) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0467/2011),

| — | 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 opinion of the European Economic and Social Committee of 28 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 28 March 2012 (1),

| — | having regard to the undertaking given by the Council representative by letter of 12 September 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 12 September 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 Culture and Education, the Committee on Budgets and the Committee on Legal Affairs (A7-0403/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Culture and Education, the Committee on Budgets and the Committee on Legal Affairs (A7-0403/2012),

| 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 181, 21.6.2012, p. 122.

---

P7_TC1-COD(2011)0384

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 294/2008 establishing the European Institute of Innovation and Technology

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1292/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/294 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/294

---

P7_TA(2013)0503

Competitiveness of enterprises and small and medium-sized enterprises ***I

European Parliament legislative resolution of 21 November 2013 on the 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 — C7-0463/2011 — 2011/0394(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/57)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0834), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0834),

| — | having regard to Article 294(2) and Articles 173 and 195 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0463/2011), |
| --- | --- |

—

having regard to Article 294(2) and Articles 173 and 195 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0463/2011),

| — | 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the Economic and Social Committee of 29 March 2012 (1), |
| --- | --- |

—

having regard to the opinion of the Economic and Social Committee of 29 March 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 9 October 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 9 October 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 12 September 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 12 September 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 Budgets, the Committee on the Internal Market and Consumer Protection and the Committee on Women's Rights and Gender Equality (A7-0420/2012), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Budgets, the Committee on the Internal Market and Consumer Protection and the Committee on Women's Rights and Gender Equality (A7-0420/2012),

| 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 181, 21.6.2012, p. 125.

(2)  OJ C 391, 18.12.2012, p. 37.

---

P7_TC1-COD(2011)0394

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing a Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014 — 2020) and repealing Decision No 1639/2006/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1287/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/295 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/295

---

P7_TA(2013)0504

Specific programme implementing Horizon 2020 *

European Parliament legislative resolution of 21 November 2013 on the proposal for a Council decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for Research and Innovation (2014 — 2020) (COM(2011)0811 — C7-0509/2011 — 2011/0402(CNS))

(Special legislative procedure — consultation)

(2016/C 436/58)

The European Parliament,

| — | having regard to the Commission proposal to the Council (COM(2011)0811), |
| --- | --- |

—

having regard to the Commission proposal to the Council (COM(2011)0811),

| — | having regard to Article 182(4) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0509/2011), |
| --- | --- |

—

having regard to Article 182(4) of the Treaty on the Functioning of the European Union, pursuant to which the Council consulted Parliament (C7-0509/2011),

| — | 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 Foreign Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Agriculture, the Committee on Culture and Education and the Committee on Legal Affairs (A7-0002/2013), |
| --- | --- |

—

having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Foreign Affairs, the Committee on the Environment, Public Health and Food Safety, the Committee on Agriculture, the Committee on Culture and Education and the Committee on Legal Affairs (A7-0002/2013),

| 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.

---

P7_TC1-CNS(2011)0402

Position of the European Parliament adopted on 21 November 2013 with a view to the adoption of Council Decision establishing the Specific Programme Implementing Horizon 2020 — The Framework Programme for research and Innovation (2014-2020)

(Text with EEA relevance)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 182(4) 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 Parliament (1),

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

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

Acting in accordance with a special legislative procedure,

Whereas:

| (1) | In accordance with Article 182(3) of the Treaty, Regulation (EU) No [...] of the European Parliament and the Council of ... concerning Horizon 2020 — the Framework Programme for Research and Innovation (‘Horizon 2020’) (4) — is to be implemented through a specific programme which determines the specific objectives and rules for their implementation, fixes its duration and provides for the means deemed necessary. |
| --- | --- |

(1)

In accordance with Article 182(3) of the Treaty, Regulation (EU) No [...] of the European Parliament and the Council of ... concerning Horizon 2020 — the Framework Programme for Research and Innovation (‘Horizon 2020’) (4) — is to be implemented through a specific programme which determines the specific objectives and rules for their implementation, fixes its duration and provides for the means deemed necessary.

| (2) | Horizon 2020 pursues three priorities, namely generating excellent science (‘Excellent science’), creating industrial leadership (‘Industrial leadership’) and tackling societal challenges (‘Societal challenges’). Those priorities should be implemented by a specific programme consisting of
  one Part for each of the
  three
  priorities, one Part for ‘Spreading excellence and widening participation’, one Part for ‘Science with and for society’
  and one Part on the direct actions of the Joint Research Centre (JRC). |
| --- | --- |

(2)

Horizon 2020 pursues three priorities, namely generating excellent science (‘Excellent science’), creating industrial leadership (‘Industrial leadership’) and tackling societal challenges (‘Societal challenges’). Those priorities should be implemented by a specific programme consisting of
  one Part for each of the
  three
  priorities, one Part for ‘Spreading excellence and widening participation’, one Part for ‘Science with and for society’
  and one Part on the direct actions of the Joint Research Centre (JRC).

| (2a) | All three priorities should include an international dimension. International cooperation activities should be maintained at least at the level of the Seventh Framework Programme. |
| --- | --- |

(2a)

All three priorities should include an international dimension. International cooperation activities should be maintained at least at the level of the Seventh Framework Programme.

| (3) | While Horizon 2020 sets out the general objective of that framework programme, the priorities and the broad lines of the specific objectives and activities to be carried out, the specific programme should define the specific objectives and the broad lines of the activities which are specific to each of the Parts. The provisions set out in Horizon 2020 on implementation apply fully to this specific programme, including those relating to ethical principles. |
| --- | --- |

(3)

While Horizon 2020 sets out the general objective of that framework programme, the priorities and the broad lines of the specific objectives and activities to be carried out, the specific programme should define the specific objectives and the broad lines of the activities which are specific to each of the Parts. The provisions set out in Horizon 2020 on implementation apply fully to this specific programme, including those relating to ethical principles.

| (4) | Each Part should be complementary to and implemented in a coherent way with the other Parts of the specific programme. |
| --- | --- |

(4)

Each Part should be complementary to and implemented in a coherent way with the other Parts of the specific programme.

| (5) | There is a critical need to reinforce
  , widen
  and extend the excellence of the Union’s science base and ensure a supply of world class research and talent to secure Europe's long term competitiveness and well-being. Part I ‘Excellent science’ should support the activities of the European Research Council on frontier research, future and emerging technologies, Marie
  Skłodowska-
  Curie Actions and European research infrastructures. These activites should aim at building competence in the long term, focusing strongly on the next-generation of science, systems and researchers, and providing support for emerging talent from across the Union and from associated countries. Union activities to support excellent science should help consolidate the European Research Area and make the Union’s science system more competitive and attractive on a global scale. |
| --- | --- |

(5)

There is a critical need to reinforce
  , widen
  and extend the excellence of the Union’s science base and ensure a supply of world class research and talent to secure Europe's long term competitiveness and well-being. Part I ‘Excellent science’ should support the activities of the European Research Council on frontier research, future and emerging technologies, Marie
  Skłodowska-
  Curie Actions and European research infrastructures. These activites should aim at building competence in the long term, focusing strongly on the next-generation of science, systems and researchers, and providing support for emerging talent from across the Union and from associated countries. Union activities to support excellent science should help consolidate the European Research Area and make the Union’s science system more competitive and attractive on a global scale.

| (6) | Research actions carried out under Part I ‘Excellent science’ should be determined according to the needs and opportunities of science ▌. The research agenda should be set in close liaison with the scientific community. Research should be funded on the basis of excellence. |
| --- | --- |

(6)

Research actions carried out under Part I ‘Excellent science’ should be determined according to the needs and opportunities of science ▌. The research agenda should be set in close liaison with the scientific community. Research should be funded on the basis of excellence.

| (7) | The European Research Council should replace and succeed the European Research Council established by Commission Decision 2007/134/EC (5). It should operate according to the established principles of scientific excellence, autonomy, efficiency and transparency. |
| --- | --- |

(7)

The European Research Council should replace and succeed the European Research Council established by Commission Decision 2007/134/EC (5). It should operate according to the established principles of scientific excellence, autonomy, efficiency and transparency.

| (8) | In order to maintain and increase the Union's industrial leadership there is an urgent need to stimulate private sector research and development and innovation investment, promote research and innovation with a business driven agenda and accelerate the development of new technologies which will underpin future businesses and economic growth. Part II ‘Industrial leadership’ should support investments in excellent research and innovation in key enabling technologies and other industrial technologies, facilitate access to risk finance for innovative companies and projects, and provide Union wide support for innovation in small and medium-sized enterprises. |
| --- | --- |

(8)

In order to maintain and increase the Union's industrial leadership there is an urgent need to stimulate private sector research and development and innovation investment, promote research and innovation with a business driven agenda and accelerate the development of new technologies which will underpin future businesses and economic growth. Part II ‘Industrial leadership’ should support investments in excellent research and innovation in key enabling technologies and other industrial technologies, facilitate access to risk finance for innovative companies and projects, and provide Union wide support for innovation in small and medium-sized enterprises.

| (9) | Space research and innovation, which is a shared competence of the Union, should be included as a coherent element in Part II ‘Industrial leadership’ in order to maximize the scientific, economic and societal impact and, to ensure an efficient and cost effective implementation. |
| --- | --- |

(9)

Space research and innovation, which is a shared competence of the Union, should be included as a coherent element in Part II ‘Industrial leadership’ in order to maximize the scientific, economic and societal impact and, to ensure an efficient and cost effective implementation.

| (10) | Addressing the major societal challenges identified in the Europe 2020 strategy (6) requires major investments in research and innovation to develop and deploy novel and breakthrough solutions that have the necessary scale and scope. These challenges also represent major economic opportunities for innovative companies and therefore contribute to the Union's competitiveness and employment. |
| --- | --- |

(10)

Addressing the major societal challenges identified in the Europe 2020 strategy (6) requires major investments in research and innovation to develop and deploy novel and breakthrough solutions that have the necessary scale and scope. These challenges also represent major economic opportunities for innovative companies and therefore contribute to the Union's competitiveness and employment.

| (11) | Part III ‘Societal challenges’ should increase the effectiveness of research and innovation in responding to key societal challenges by supporting excellent research and innovation activities. Those activities should be implemented using a challenge-based approach which brings together resources and knowledge across different fields, technologies and disciplines. Social sciences and humanities research is an important element for addressing all of the challenges. The activities should cover the full range of research and innovation
  , including
  innovation-related activities such as piloting, demonstration, test-beds, and support for public procurement, pre-normative research and standard setting, and market uptake of innovations. The activities should support directly the corresponding sectoral policy competences at Union level
  , where appropiate
  . All challenges should contribute to the overarching objective of sustainable development. |
| --- | --- |

(11)

Part III ‘Societal challenges’ should increase the effectiveness of research and innovation in responding to key societal challenges by supporting excellent research and innovation activities. Those activities should be implemented using a challenge-based approach which brings together resources and knowledge across different fields, technologies and disciplines. Social sciences and humanities research is an important element for addressing all of the challenges. The activities should cover the full range of research and innovation
  , including
  innovation-related activities such as piloting, demonstration, test-beds, and support for public procurement, pre-normative research and standard setting, and market uptake of innovations. The activities should support directly the corresponding sectoral policy competences at Union level
  , where appropiate
  . All challenges should contribute to the overarching objective of sustainable development.

| (11a) | An appropriate balance should be struck between smaller and bigger projects within the Societal challenges and the Leadership in enabling and industrial technologies. |
| --- | --- |

(11a)

An appropriate balance should be struck between smaller and bigger projects within the Societal challenges and the Leadership in enabling and industrial technologies.

| (11b) | Part IIIa ‘Spreading excellence and widening participation’ should fully exploit the potential of Europe's talent pool and ensure that the benefits of an innovation-led economy are both maximised and widely distributed across the Union in accordance with the principle of excellence. |
| --- | --- |

(11b)

Part IIIa ‘Spreading excellence and widening participation’ should fully exploit the potential of Europe's talent pool and ensure that the benefits of an innovation-led economy are both maximised and widely distributed across the Union in accordance with the principle of excellence.

| (11c) | Part IIIb ‘Science with and for society’ should build effective cooperation between science and society, foster the recruitment of new talent for science, and pair scientific excellence with social awareness and responsibility. |
| --- | --- |

(11c)

Part IIIb ‘Science with and for society’ should build effective cooperation between science and society, foster the recruitment of new talent for science, and pair scientific excellence with social awareness and responsibility.

| (12) | As an integral part of Horizon 2020, the Joint Research Centre (JRC) should continue to provide independent customer-driven scientific and technical support for the formulation, development, implementation and monitoring of Union policies. In order to achieve its mission the Joint Research Centre should carry out research of the highest quality. In carrying out the direct actions in accordance with its mission, the Joint Research Centre should place particular emphasis on areas of key concern for the Union, namely smart, inclusive and sustainable growth, security and citizenship and Global Europe. |
| --- | --- |

(12)

As an integral part of Horizon 2020, the Joint Research Centre (JRC) should continue to provide independent customer-driven scientific and technical support for the formulation, development, implementation and monitoring of Union policies. In order to achieve its mission the Joint Research Centre should carry out research of the highest quality. In carrying out the direct actions in accordance with its mission, the Joint Research Centre should place particular emphasis on areas of key concern for the Union, namely smart, inclusive and sustainable growth, security and citizenship and Global Europe.

| (13) | The direct actions of the Joint Research Centre should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the Joint Research Centre and Union policies, as well as respecting the objective of protecting the Union's financial interests. Those research actions should be adapted where appropriate to these needs and to scientific and technological developments and aim to achieve scientific excellence. |
| --- | --- |

(13)

The direct actions of the Joint Research Centre should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the Joint Research Centre and Union policies, as well as respecting the objective of protecting the Union's financial interests. Those research actions should be adapted where appropriate to these needs and to scientific and technological developments and aim to achieve scientific excellence.

| (14) | The Joint Research Centre should continue to generate additional resources through competitive activities, including participation to the indirect actions of Horizon 2020, third party work and, to a lesser extent, the exploitation of intellectual property. |
| --- | --- |

(14)

The Joint Research Centre should continue to generate additional resources through competitive activities, including participation to the indirect actions of Horizon 2020, third party work and, to a lesser extent, the exploitation of intellectual property.

| (15) | The specific programme should complement the actions carried out in the Member States as well as other Union actions which are necessary for the overall strategic effort for the implementation of the Europe 2020 Strategy ▌. |
| --- | --- |

(15)

The specific programme should complement the actions carried out in the Member States as well as other Union actions which are necessary for the overall strategic effort for the implementation of the Europe 2020 Strategy ▌.

| (15a) | Pursuant to Council Decision 2001/822/EC of 27 November 2001 on the association of the overseas countries and territories with the European Community (‘Overseas Association Decision’), as amended, legal entities of the overseas countries and territories are eligible to participate in Horizon 2020 subject to the specific conditions laid down therein. |
| --- | --- |

(15a)

Pursuant to Council Decision 2001/822/EC of 27 November 2001 on the association of the overseas countries and territories with the European Community (‘Overseas Association Decision’), as amended, legal entities of the overseas countries and territories are eligible to participate in Horizon 2020 subject to the specific conditions laid down therein.

| (16) | In order to ensure ▌the specific conditions for the use of the finance facilities reflect market conditions, 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 adapt or further ▌the specific conditions for use of the finance facilities. 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 timely and appropriate transmission of relevant documents to the Council. |
| --- | --- |

(16)

In order to ensure ▌the specific conditions for the use of the finance facilities reflect market conditions, 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 adapt or further ▌the specific conditions for use of the finance facilities. 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 timely and appropriate transmission of relevant documents to the Council.

| (17) | In order to ensure uniform conditions for the implementation of the specific programme, implementing powers should be conferred on the Commission to adopt work programmes for the implementation of the specific programme. |
| --- | --- |

(17)

In order to ensure uniform conditions for the implementation of the specific programme, implementing powers should be conferred on the Commission to adopt work programmes for the implementation of the specific programme.

| (18) | The implementing powers relating to the work programmes for Parts I, II, III
  , IIIa and IIIb
  , with the exception of the actions of the European Research Council where the Commission does not depart from the position of the Scientific Council, should be exercised in accordance with 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 (7). |
| --- | --- |

(18)

The implementing powers relating to the work programmes for Parts I, II, III
  , IIIa and IIIb
  , with the exception of the actions of the European Research Council where the Commission does not depart from the position of the Scientific Council, should be exercised in accordance with 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 (7).

| (19) | The Board of Governors of the Joint Research Centre, set up by Commission Decision 96/282/Euratom of 10 April 1996 on the reorganization of the Joint Research Centre (8), has been consulted on the scientific and technological content of the specific programme on the direct actions of the Joint Research Centre. |
| --- | --- |

(19)

The Board of Governors of the Joint Research Centre, set up by Commission Decision 96/282/Euratom of 10 April 1996 on the reorganization of the Joint Research Centre (8), has been consulted on the scientific and technological content of the specific programme on the direct actions of the Joint Research Centre.

| (20) | For reasons of legal certainty and clarity, Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (9), Council Decision 2006/972/EC of 19 December 2006 concerning the specific programme ‘Ideas’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (10), Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (11), Council Decision 2006/974/EC of 19 December 2006 concerning the specific programme ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (12), and Council Decision 2006/975/EC of 19 December 2006 concerning the specific programme to be carried out by means of direct actions by the Joint Research Centre under the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (13), should be repealed, |
| --- | --- |

(20)

For reasons of legal certainty and clarity, Council Decision 2006/971/EC of 19 December 2006 concerning the specific programme ‘Cooperation’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (9), Council Decision 2006/972/EC of 19 December 2006 concerning the specific programme ‘Ideas’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (10), Council Decision 2006/973/EC of 19 December 2006 concerning the specific programme ‘People’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (11), Council Decision 2006/974/EC of 19 December 2006 concerning the specific programme ‘Capacities’ implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (12), and Council Decision 2006/975/EC of 19 December 2006 concerning the specific programme to be carried out by means of direct actions by the Joint Research Centre under the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (13), should be repealed,

HAS ADOPTED THIS DECISION:

TITLE I

ESTABLISHMENT

Article 1

Subject matter

This Decision establishes the specific programme implementing Regulation (EU) No XX/2012 of the European Parliament and of the Council (14) and determines the specific objectives for Union support to the research and innovation activities set out in Article 1 of that Regulation as well as the rules for implementation.

Article 2

Establishment of the Specific Programme

1.   The specific programme implementing Horizon 2020 — the Framework Programme for Research and Innovation (2014-2020) (‘the specific programme’) is hereby established for the period from 1 January 2014 to 31 December 2020.

2.   In accordance with Article 5(2) and 5(3) of Regulation (EU) No XX/2012 [Horizon 2020], the specific programme shall consist of the following Parts:

| (a) | Part I ‘Excellent science’; |
| --- | --- |

(a)

Part I ‘Excellent science’;

| (b) | Part II ‘Industrial leadership’; |
| --- | --- |

(b)

Part II ‘Industrial leadership’;

| (c) | Part III ‘Societal challenges’; |
| --- | --- |

(c)

Part III ‘Societal challenges’;

| (d) | Part IV ‘Non-nuclear direct actions of the Joint Research Centre (JRC)’. |
| --- | --- |

(d)

Part IV ‘Non-nuclear direct actions of the Joint Research Centre (JRC)’.

Article 3

Specific objectives

1.   Part I ‘Excellent science’ shall strengthen the excellence of European research in accordance with the priority ‘Excellent science’ set out in Article 5(2)(a) of Regulation (EU) No XX/2012 [Horizon 2020] by pursuing the following specific objectives:

| (a) | strengthening frontier research, through the activities of the European Research Council (ERC); |
| --- | --- |

(a)

strengthening frontier research, through the activities of the European Research Council (ERC);

| (b) | strengthening research in Future and Emerging Technologies; |
| --- | --- |

(b)

strengthening research in Future and Emerging Technologies;

| (c) | strengthening skills, training and career development, through the Marie Skłodowska-Curie actions (‘Marie
  Skłodowska-
  Curie actions’); |
| --- | --- |

(c)

strengthening skills, training and career development, through the Marie Skłodowska-Curie actions (‘Marie
  Skłodowska-
  Curie actions’);

| (d) | strengthening European research infrastructures, including e-infrastructures. |
| --- | --- |

(d)

strengthening European research infrastructures, including e-infrastructures.

The broad lines of the activities for those specific objectives are set out in Part I of Annex I.

2.   Part II ‘Industrial leadership’ shall strengthen industrial leadership and competitiveness in accordance with the priority ‘Industrial leadership’ set out in Article 5(2)(b) of Regulation (EU) No XX/2012 [Horizon 2020] by pursuing the following specific objectives:

| (a) | boosting Europe's industrial leadership through research, technological development, demonstration and innovation in the following enabling and industrial technologies:






  (i) | information and communication technologies; |
| --- | --- | --- |

(a)

boosting Europe's industrial leadership through research, technological development, demonstration and innovation in the following enabling and industrial technologies:

(i)

information and communication technologies;

| (ii) | nanotechnologies; |
| --- | --- |

(ii)

nanotechnologies;

| (iii) | advanced materials; |
| --- | --- |

(iii)

advanced materials;

| (iv) | biotechnology; |
| --- | --- |

(iv)

biotechnology;

| (v) | advanced manufacturing and processing; |
| --- | --- |

(v)

advanced manufacturing and processing;

| (vi) | space; |
| --- | --- |

(vi)

space;

| (b) | enhancing access to risk finance for investing in research and innovation; |
| --- | --- |

(b)

enhancing access to risk finance for investing in research and innovation;

| (c) | increasing innovation in small and medium-sized enterprises. |
| --- | --- |

(c)

increasing innovation in small and medium-sized enterprises.

The broad lines of the activities for those specific objectives are set out in Part II of Annex I. There shall be specific conditions for use of finance facilities under the specific objective in point (b). Those conditions are set out in point 2 of Part II of Annex I.

The Commission shall be empowered to adopt delegated acts in accordance with Article 10
  concerning the modifications of the share of investment from the Equity Facility of Horizon 2020 of the total EU investment in expansion and growth-stage investments regarding the financial instruments referred to in point 2 of Part II of Annex I.

3.   Part III ‘Societal challenges’ shall contribute to the priority ‘Societal challenges’ set out in Article 5(2)(c) of Regulation (EU) No XX/2012 [Horizon 2020] by pursuing research, technological development, demonstration and innovation actions which contribute to the following specific objectives:

| (a) | improving the lifelong health and wellbeing
  of all
  ; |
| --- | --- |

(a)

improving the lifelong health and wellbeing
  of all
  ;

| (b) | securing sufficient supplies of safe
  , healthy
  and high quality food and other bio-based products, by developing productive
  , sustainable
  and resource-efficient primary production systems, fostering related ecosystem services
  and the recovery of biological diversity
  , alongside competitive and low carbon supply
  , processing and marketing
  chains; |
| --- | --- |

(b)

securing sufficient supplies of safe
  , healthy
  and high quality food and other bio-based products, by developing productive
  , sustainable
  and resource-efficient primary production systems, fostering related ecosystem services
  and the recovery of biological diversity
  , alongside competitive and low carbon supply
  , processing and marketing
  chains;

| (c) | making the transition to a reliable,
  affordable, publicly accepted,
  sustainable and competitive energy system, aiming at reducing fossil fuel dependancy in the face of
  increasingly scarce resources
  , increasing energy needs and climate change; |
| --- | --- |

(c)

making the transition to a reliable,
  affordable, publicly accepted,
  sustainable and competitive energy system, aiming at reducing fossil fuel dependancy in the face of
  increasingly scarce resources
  , increasing energy needs and climate change;

| (d) | achieving a European transport system that is resource-efficient,
  climate- and
  environmentally-friendly, safe and seamless for the benefit of
  all
  citizens, the economy and society; |
| --- | --- |

(d)

achieving a European transport system that is resource-efficient,
  climate- and
  environmentally-friendly, safe and seamless for the benefit of
  all
  citizens, the economy and society;

| (e) | achieving a resource -
  and water-
  efficient and climate change resilient economy and
  society, protection and sustainable management of natural resources and ecosystems
  and a sustainable supply
  and use
  of raw materials, in order to meet the needs of a growing global population within the sustainable limits of the planet's natural resources
  and eco-systems
  ; |
| --- | --- |

(e)

achieving a resource -
  and water-
  efficient and climate change resilient economy and
  society, protection and sustainable management of natural resources and ecosystems
  and a sustainable supply
  and use
  of raw materials, in order to meet the needs of a growing global population within the sustainable limits of the planet's natural resources
  and eco-systems
  ;

| (f) | fostering
  a greater understanding of Europe, provide solutions and support
  inclusive, innovative and
  reflective
  European societies in a context of unprecedented transformations and growing global interdependencies; |
| --- | --- |

(f)

fostering
  a greater understanding of Europe, provide solutions and support
  inclusive, innovative and
  reflective
  European societies in a context of unprecedented transformations and growing global interdependencies;

| (g) | fostering secure European societies in a context of unprecedented transformations and growing global interdependencies and threats, while strengthening the European culture of freedom and justice. |
| --- | --- |

(g)

fostering secure European societies in a context of unprecedented transformations and growing global interdependencies and threats, while strengthening the European culture of freedom and justice.

The broad lines of the activities for those specific objectives are set out in Part III of Annex I.

3a.
     
  Part (IIIa) ‘Spreading excellence and widening participation’ shall fully exploit the potential of Europe's talent pool and ensure that the benefits of an innovation-led economy are both maximised and widely distributed across the Union in accordance with the principle of excellence.

3b.
     
  Part (IIIb) ‘Science with and for society’ shall build effective cooperation between science and society, recruit new talent for science and pair scientific excellence with social awareness and responsibility.

4.   Part IV ‘Non-nuclear direct actions of the Joint Research Centre’ shall contribute to all of the priorities set out in Article 5(2) of Regulation (EU) No XX/2012 [Horizon 2020] with the specific objective of providing customer-driven scientific and technical support to Union policies.

The broad lines of that specific objective are set out in Part IV of Annex I.

5.   The specific programme shall be assessed in relation to results and impact as measured against performance indicators ▌.

Further detail on the key performance indicators which correspond to the specific objectives set out in paragraphs 1 to 4 of this Article are set out in Annex II.

▌

Article 4

Budget

1.   In accordance with Article 6(1) of Regulation (EU) No XX/2012 [Horizon 2020], the financial envelope for the implementation of the specific programme shall be [EUR 86198 million].

2.   The amount referred to in paragraph 1 shall be distributed among the four Parts set out in Article 2(2) of this Decision in accordance with Article 6(2) of Regulation (EU) No XX/2012 [Horizon 2020]. The indicative budgetary breakdown for the specific objectives set out in Article 3 of this Decision and the maximum overall amount of the contribution to the actions of the Joint Research Centre are set out in Annex II to Regulation (EU) No XX/2012 [Horizon 2020].

3.   No more than 6 % of the amounts referred to in Article 6(2) of Regulation (EU) No XX/2012 [Horizon 2020] for the Parts I, II and III of the specific programme shall be for the Commission's administrative expenditure.

4.   Where necessary, appropriations may be entered in the budget beyond 2020 to cover technical and administrative expenses, in order to enable the management of activities not yet completed by 31 December 2020.

TITLE II

IMPLEMENTATION

Article 5

Work programmes

1.   The specific programme shall be implemented by work programmes.

2.   The Commission shall adopt common or separate work programmes for the implementation of the Parts I, II and III of this specific programme referred to in points (a), (b) and (c) of Article 2(2), except for the implementation of the actions under the specific objective ‘Strengthening ▌frontier research
  , through the activities of the European Research Council’ referred to in point (a) of Article 3(1)
  . Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 9(2).

3.   The work programmes for the implementation of the actions under the specific objective ‘Strengthening ▌frontier research,
  through the activities of the European Research Council
  ’ as established by the Scientific Council of the European Research Council under
  point (b)
  of Article 7(2) ▌, shall be adopted by the Commission, by means of an implementing act
  , in accordance with the advisory procedure referred to in Article 9(2a)
  . The Commission shall depart from the work programme established by the Scientific Council only when it considers that it is not in accordance with the provisions of this Decision. In that case, the Commission shall adopt the work programme by means of an implementing act in in accordance with the examination procedure referred to in Article 9(2). The Commission shall duly motivate this measure.

4.   The Commission shall adopt a separate multi-annual work programme, by means of an implementing act, for Part IV of the specific programme concerning the non-nuclear direct actions of the Joint Research Centre referred to in point (d) of Article 2(2).

This work programme shall take into account the opinion provided by the Board of Governors of the Joint Research Centre referred to in Decision 96/282/Euratom.

5.   The work programmes shall take account of the state of science, technology and, innovation at national, Union and international level and of relevant policy, market and societal developments. They shall contain
  , where appropriate,
  information on coordination with research and innovation activities carried out by ▌Member States
  (including their regions)
  , including in areas where there are joint programming initiatives. They shall be updated where appropriate.

6.   The work programmes for the implementation of the Parts I, II and III referred to in points (a), (b) and (c) of Article 2(2) shall set out the objectives pursued, the expected results, the method of implementation and their total amount, including indicative information on the amount of climate related expenditure, where appropriate. They shall also contain a description of the actions to be financed, an indication of the amount allocated to each action, an indicative implementation timetable, as well as a multi-annual approach and strategic orientations for the following years of implementation. They shall include for grants the priorities, the
  selection and award criteria and the relative weight of the different award
  criteria and the maximum rate of
  funding of the total eligible costs. They shall also indicate any additional exploitation and dissemination obligations for participants, in accordance with article 40 of Regulation (EU) No XX/2012 [Rules of Participation].
  They shall allow for
  strategic top-down as well as
  bottom-up approaches
  , as appropriate,
  that address the objectives in innovative ways.

In addition, those work programmes shall contain a section which identifies the cross-cutting actions as referred to in Article 13
  and in the box of cross-cutting issues and support measures in Annex I
  of Regulation (EU) No XX/2012 [Horizon 2020], across two or more specific objectives both within the same priority and across two or more priorities. Those actions shall be implemented in an integrated manner.

7.
     
  The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 9(2) the following measures:

| (a) | the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under this programme is equal to or more than EUR 2.5 million; with the exception of actions under the specific objective referred in point (a) of article 3(1) and with the exception of actions funded under the Fast Track to Innovation. |
| --- | --- |

(a)

the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under this programme is equal to or more than EUR 2.5 million; with the exception of actions under the specific objective referred in point (a) of article 3(1) and with the exception of actions funded under the Fast Track to Innovation.

| (b) | the decision on the approval of the funding of actions involving the use of human embryos and human embryonic stem cells and of actions under the specific objective referred in point (g) of article 3(3). |
| --- | --- |

(b)

the decision on the approval of the funding of actions involving the use of human embryos and human embryonic stem cells and of actions under the specific objective referred in point (g) of article 3(3).

| (c) | the decision on the approval of the funding of actions, where the estimated amount of the Union contribution under this programme is equal to or more than EUR 0.6 million for actions under the specific objective referred in point (f) of article 3(3) and for actions referred in article 3(3a) and article 3(3b). |
| --- | --- |

(c)

the decision on the approval of the funding of actions, where the estimated amount of the Union contribution under this programme is equal to or more than EUR 0.6 million for actions under the specific objective referred in point (f) of article 3(3) and for actions referred in article 3(3a) and article 3(3b).

| (d) | the drawing up of the terms of reference for the evaluations provided for in Article 26 of the Regulation (EU) No XX/2012 [Horizon 2020]. |
| --- | --- |

(d)

the drawing up of the terms of reference for the evaluations provided for in Article 26 of the Regulation (EU) No XX/2012 [Horizon 2020].

Article 6

European Research Council

1.   The Commission shall establish a European Research Council (‘ERC’), which shall be the means of implementing the actions under the Part I ‘Excellent science’ which relate to the specific objective ‘Strengthening ▌frontier research
  , through the activities of the European Research Council
  ’. The European Research Council shall succeed the European Research Council set up by Decision 2007/134/EC.

2.   The European Research Council shall be composed of the independent Scientific Council provided for in Article 7 and the dedicated implementation structure provided for in Article 8.

3.   The ERC shall have a President, who shall be chosen from among senior and internationally respected scientists.

The President shall be appointed by the Commission following a
  transparent
  recruitment process involving
  an independent
  dedicated search committee, for a term of office limited to four years, renewable once. The recruitment process and the candidate selected shall have the approval of the Scientific Council.

The President shall chair the Scientific Council and shall ensure its leadership and liaison with the dedicated implementation structure, and represent it in the world of science.

4.   The European Research Council shall operate according to the principles of scientific excellence, autonomy, efficiency, effectiveness, transparency and accountability. It shall ensure continuity with European Research Council actions conducted under Council Decision 2006/972/EC.

5.   The activities of the European Research Council shall support research carried out across all fields by individual and transnational teams in competition at the European level. European Research Council frontier research grants shall be awarded on the sole criterion of excellence.

6.   The Commission shall act as the guarantor of the autonomy and integrity of the European Research Council and shall ensure the proper execution of the tasks entrusted to it.

The Commission shall ensure that the implementation of the European Research Council actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy of the Scientific Council referred to in Article 7(2).

Article 7

Scientific Council

1.   The Scientific Council shall be composed of scientists, engineers and scholars of the highest repute and appropriate expertise,
  of both women and men in different age groups,
  ensuring a diversity of research areas and acting in their personal capacity, independent of extraneous interests.

The members of the Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the Scientific Council, including a consultation of the scientific community and a report to the European Parliament and Council.

Their term of office shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the Scientific Council.

2.   The Scientific Council shall establish:

| (a) | the overall strategy for the European Research Council; |
| --- | --- |

(a)

the overall strategy for the European Research Council;

| (b) | the work programme for the implementation of the European Research Council activities; |
| --- | --- |

(b)

the work programme for the implementation of the European Research Council activities;

| (c) | the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined; |
| --- | --- |

(c)

the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined;

| (d) | its position on any matter which from a scientific ▌perspective may enhance ▌achievements and impact of the European Research Council, and the quality of the research carried out; |
| --- | --- |

(d)

its position on any matter which from a scientific ▌perspective may enhance ▌achievements and impact of the European Research Council, and the quality of the research carried out;

| (e) | a code of conduct addressing, inter alia, the avoidance of conflict of interests. |
| --- | --- |

(e)

a code of conduct addressing, inter alia, the avoidance of conflict of interests.

The Commission shall depart from the positions established by the Scientific Council in accordance with points (a), (c), (d), and (e) of the first subparagraph only when it considers that the provisions of this Decision have not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the specific programme and the achievements of its objectives, setting out the points of departure from the Scientific Council positions and duly motivating them.

3.   The Scientific Council shall act in accordance with the mandate set out in point 1.1, Part I of Annex I.

4.   The Scientific Council shall act exclusively in the interest of achieving the objectives of the part of the specific programme relating to the specific objective ‘Strengthening ▌frontier research
  , through the activities of the European Research Council
  ’ according to the principles set out in Article 6(4). It shall act with integrity and probity and shall carry out its work efficiently and with the greatest possible transparency.

Article 8

Dedicated implementation structure

1.   The dedicated implementation structure shall be responsible for the administrative implementation and programme execution, as described in point 1.2 of Part I of Annex I and shall support the Scientific Council in the conduct of all of its tasks.

2.   The Commission shall ensure that the dedicated implementation structure follows strictly, efficiently and with the necessary flexibility the objectives and requirements of the European Research Council alone.

TITLE III

FINAL PROVISIONS

Article 8a

Monitoring and information on implementation

1.
     
  The Commission shall annually monitor and report on the implementation of Horizon 2020 in accordance with article 25 of Regulation (EU) No XX/2012 [Horizon 2020] and Annex III of this Decision.

2.
     
  The Commission shall regularly inform the Committee referred to in article 9 of the overall progress of the implementation of the indirect actions of the specific programme to allow the Committee to provide early appropriate input on the preparation of the work programmes in particular the multi-annual approach and strategic orientations, and shall provide it with timely information on all actions proposed or funded under Horizon 2020 as specified in Annex IV of this Decision.

Article 9

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.

1a.
     
  The Committee shall meet in different configurations as set out in annex V, having regard to the subject matter to be discussed.

2.   Where reference is made to this paragraph, the examination procedure in accordance with Article 5 of Regulation (EU) No 182/2011 shall apply.

2a.
     
  Where reference is made to this paragraph, the advisory procedure in accordance with Article 4 of Regulation (EU) No 182/2011 shall apply.

3.   Where the opinion of the committee referred to in paragraphs 2
  and 2a
  is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.

Article 10

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 3(2)
  shall be conferred on the Commission ▌from the entry into force of this Decision
  and for the duration of the Programme
  .

3.   The delegation of power
  referred to in Article 3(2)
  may be revoked at any time 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 to the Council.

5.   A delegated act
  adopted pursuant to Article 3(2)
  shall enter into force only if no objection has been expressed by the Council within a period of two months of notification of that act to the Council or if, before the expiry of that period, the Council has informed the Commission that it will not object. That period shall be extended by one month at the initiative of the Council.

6.   The European Parliament shall be informed of the adoption of delegated acts by the Commission, or any objection formulated to them, or of the revocation of the delegation of powers by the Council.

Article 11

Repeal and transitional provisions

1.   Decisions 2006/971/EC, 2006/972/EC, 2006/973/EC, 2006/974/EC and 2006/975/EC are repealed with effect from 1 January 2014.

2.   However, actions initiated under Decisions referred to in paragraph 1 and financial obligations related to actions pursued under those Decisions shall continue to be governed by those Decisions until their completion. Where necessary, any remaining tasks of the Committees established by the Decisions referred to in paragraph 1 shall be undertaken by the Committee referred to in Article 9 of this Decision.

3.   The financial allocation for the specific programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the specific programme and the measures covered by Decisions 2006/971/EC, 2006/972/EC, 2006/973/EC, 2006/974/EC and 2006/975/EC.

Article 12

Entry into force

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

Article 13

This Decision is addressed to the Member States.

Done at ...,

For the Council

The President

---

(1)  Position of the European Parliament of 21 November 2013.

1

(2)  OJ C , , p.

2

(3)  OJ C , , p.

3

(4)  OJ , , p.

4

(5)  OJ L 57, 24.2.2007, p. 14.

5

(6)  COM(2010)2020

6

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

7

(8)  OJ L 107, 30.4.1996, p. 12.

8

(9)  OJ L 400, 30.12.2006, p. 86.

9

(10)  OJ L 400, 30.12.2006, p. 243.

10

(11)  OJ L 400, 30.12.2006, p. 272.

11

(12)  OJ L 400, 30.12.2006, p. 299.

12

(13)  OJ L 400, 30.12.2006, p. 368.

13

(14)  OJ L [], [], p. []

14

ANNEX I

Broad lines of the activities

Common elements for the indirect actions

1.   PROGRAMMING

1.1.   General

Regulation (EU) No XX/2012 (Horizon 2020) provides a set of principles in order to foster a programmatic approach whereby activities contribute in a strategic and integrated way to its objectives and in order to ensure strong complementarities with other related policies and programmes across the Union.

The indirect actions of Horizon 2020 will be implemented through the forms of funding provided for in the Financial Regulation, in particular grants, prizes, procurement and financial instruments. All forms of funding will be used in a flexible manner across all of Horizon 2020's general and specific objectives, with their use being determined on the basis of the needs and the specificities of the particular specific objective.

Particular attention will be paid to ensuring a
  balanced
  approach to
  research and
  innovation, which is not only limited to the development of new products and services on the basis of scientific and technological breakthroughs, but which also incorporates aspects such as the use of existing technologies in novel applications, continuous improvement, non-technological and social innovation. Only a holistic approach to innovation can at the same time tackle societal challenges and give rise to new competitive businesses and industries.

For the societal challenges and the enabling and industrial technologies in particular, there will be a particular emphasis on
  research and innovation
  activities
  complemented with


  activities
  which operate close to the end-users and the market, such as demonstration, piloting or proof-of-concept. This will also include, where appropriate, activities in support of social innovation, and support to demand side approaches such as pre-standardisation or pre-commercial procurement, procurement of innovative solutions, standardisation and other user-centered measures to help accelerate the deployment and diffusion of innovative products and services into the market. In addition, there will be sufficient room for bottom-up approaches
  to call for proposals and activities in work programmes will be defined in broad terms. There will be
  open, light and fast schemes under each of the challenges and technologies to provide Europe's best researchers, entrepreneurs and enterprises with the opportunity to put forward breakthrough solutions of their choice.

Detailed priority setting during implementation of Horizon 2020 will entail a strategic approach to programming of research, using modes of governance aligning closely with policy development yet cutting across the boundaries of traditional sectoral policies. This will be based on sound evidence, analysis and foresight, with progress measured against a robust set of performance indicators. This cross-cutting approach to programming and governance will allow effective coordination between all of Horizon 2020's specific objectives and will allow to address challenges which cut across them, such as for instance sustainability, climate change
  , social sciences and humanities
  or marine sciences and technologies.

Priority setting will equally be based on a wide range of inputs and advice. It will include, where appropriate, groups of independent experts set up specifically to advise on the implementation of Horizon 2020 or any of its specific objectives. These experts

  groups
  shall show the appropriate level of expertise and knowledge in the covered areas and a variety of professional backgrounds, including
  academia
  , industry and civil society involvement.
  Advice on the identification and design of strategic priorities by the European Research Area Committee (ERAC), other ERA-related Groups and the Enterprise Policy Group (EPG) shall, where appropriate, also be taken into consideration.

Priority setting may also take into account the strategic research agendas of European Technology Platforms,
  Joint Programming Initiatives
  or inputs from the European Innovation Partnerships. Where appropriate, public-public partnerships and public-private partnerships supported through Horizon 2020 will also contribute to the priority setting process and to the implementation, in line with the provisions laid down in Horizon 2020. Regular interactions with end-users, citizens and civil society organisations, through appropriate methodologies such as consensus conferences, participatory technology assessments or direct engagement in research and innovation processes, will also be a cornerstone of the priority setting process.

As Horizon 2020 is a programme for seven years, the economic, societal and policy context in which it will operate may change significantly during its life-time. Horizon 2020 needs to be able to adapt to these changes. Under each of the specific objectives, there will therefore be the possibility to include support for activities beyond the descriptions set out below, where this is duly justified to address major developments, policy needs or unforeseen events.

Activities supported under the different Parts and their specific objectives should be implemented in a way that ensures complementarity and consistency among them, as appropriate.

▌

1.2.   Access to risk finance

Horizon 2020 will help companies and other types of organisation gain access to loans, guarantees and equity finance via two facilities.

The debt facility will provide loans to single beneficiaries for investment in research and innovation; guarantees to financial
  intermediaries
  making loans to beneficiaries; combinations of loans and guarantees, and guarantees or counter-guarantees for national ▌ regional
  and local
  debt-financing schemes. It will include an SME window targeting R&I-driven SMEs with loan amounts that complement finance to SMEs by the Loan Guarantee Facility under the Programme for the Competitiveness of Enterprises and SMEs
  (COSME)
  .

The equity facility will provide venture and/or mezzanine capital to individual enterprises in the early stage (start-up window). The facility will also have the possibility to make expansion and growth-stage investments in conjunction with the Equity Facility for Growth under the Programme for the Competitiveness of Enterprises and SMEs
  (COSME)
  , including in funds-of-funds.

These facilities will be central to the specific objective ‘Access to risk finance’ but may, where relevant, also be used across all other specific objectives of Horizon 2020.

The equity facility and the SME window of the debt facility will be implemented as part of two EU Financial Instruments that provide equity and debt to support SMEs' R&I and growth, in conjunction with the equity and debt facilities under the Programme for the Competitiveness of Enterprises and SMEs
  (COSME)
  .

1.3.
     Communication
  , exploitation
  and dissemination

A key added value of research and innovation funded at the Union level is the possibility to disseminate
  , exploit
  and communicate results on a continent wide scale to enhance their impact. Horizon 2020 will therefore include, under all of its specific objectives, dedicated support to dissemination (including through open access to
  scientific publications
  ), communication and dialogue actions, with a strong emphasis on communicating results to end-users, citizens,
  academia,
  civil society organisations, industry and policy makers. To this extent, Horizon 2020 may make use of networks for information transfer. Communication activities undertaken in the context of Horizon 2020
  will promote the fact that the results were obtained with the support of Union funding and
  will also seek to raise public awareness on the importance of research and innovation by means of publications, events, knowledge repositories, databases, websites or a targeted use of social media.

▌

2.
     COMPLEMENTARITIES AND CROSS-CUTTING ISSUES AND SUPPORT MEASURES

Horizon 2020 is structured around the objectives defined for its three major parts: generating excellent science, creating industrial leadership and tackling societal challenges. Particular attention will be paid to ensuring adequate coordination between these parts and fully exploiting the synergies generated between all specific objectives to maximise their combined impact on the higher level policy objectives of the Union. The objectives of Horizon 2020 will therefore be addressed through a strong emphasis on finding efficient solutions, going well beyond an approach based simply on traditional scientific and technological disciplines and economic sectors.

Cross-cutting actions will be promoted
  across
  Part I ‘Excellent Science’,
  Part II ‘Industrial Leadership’ and Part III ‘Societal Challenges’
  to develop jointly new knowledge, future and emerging technologies, research infrastructures and key competences. Research infrastructures will also be leveraged for broader usage in society, for example in public services, promotion of science, civil security and culture. Furthermore, priority setting during implementation for the direct actions of the Joint Research Centre and the activities of the European Institute of Innovation and Technology (EIT) will be adequately coordinated with the other parts of Horizon 2020.

Furthermore, in many cases, contributing effectively to the objectives of Europe 2020 and the Innovation Union will require solutions to be developed which are interdisciplinary in nature and therefore cut across multiple specific objectives of Horizon 2020 ▌. Horizon 2020 includes specific provisions to incentivise such cross-cutting actions, including by an efficient bundling of budgets. This includes also for instance the possibility for the societal challenges and enabling and industrial technologies to make use of the provisions for financial instruments and the dedicated SME instrument.

Cross-cutting
  actions
  will also be vital in stimulating the interactions between the societal challenges and the enabling and industrial technologies needed to generate major technological breakthroughs. Examples of where such interactions may be developed are: the domain of eHealth, smart grids, intelligent transport systems, mainstreaming of climate actions, nanomedicine, advanced materials for lightweight vehicles or the development of bio-based industrial processes and products. Strong synergies will therefore be fostered between the societal challenges and the development of generic enabling and industrial technologies. This will be explicitly taken into account in developing the multi-annual strategies and the priority setting for each of these specific objectives. It will require that stakeholders representing the different perspectives are fully involved in the implementation and in many cases, it will also require actions which bring together funding from the enabling and industrial technologies and the societal challenges concerned.

Particular attention will also be paid to the coordination of activities funded through Horizon 2020 with those supported under other Union funding programmes, such as
  those of
  the Common Agricultural Policy,
  and
  the Common Fisheries Policy
  , Life+
  or the Erasmus For All: the Union's programme for Education, Training, Youth and Sport or the Health for Growth Programme
  and the Union's external and development funding programmes
  . This includes an appropriate articulation with the Cohesion policy
  in the context of national and regional R&I strategies for smart specialisation
  , where support to capacity building for research and innovation at regional level may act as a ‘stairway to excellence’, the establishment of regional centres of excellence may help close the innovation divide in Europe or support to large-scale demonstration and pilot line projects may aid in achieving the objective of generating industrial leadership in Europe.

A.
     
  Social sciences and humanities

Social sciences and humanities research will be fully integrated into each of the general objectives of Horizon 2020. This will include ample opportunities for supporting such research through the European Research Council, the Marie Skłodowska-Curie actions or the Research Infrastructures specific objective.

To this end, social sciences and humanities will also be mainstreamed as an essential element of the activities needed to enhance industrial leadership and to tackle each of the societal challenges. For the latter, this includes: understanding the determinants of health and optimising the effectiveness of healthcare provisions, support to policies empowering rural areas, researching and preserving Europe's cultural heritage and richness, promoting informed consumer choices, creating an inclusive digital eco-system based on knowledge and information, robust decision making on energy policy and in ensuring a consumer friendly European electricity grid and a transition to a sustainable energy system, supporting evidence based transport policy and foresight, support to climate change mitigation and adaptation strategies, resource efficiency initiatives and measures towards a green and sustainable economy, and cultural and socio-economic aspects of security, risk and management issues (including legal and human rights aspects).

In addition, the specific objective ‘Europe in a changing world: Inclusive, innovative and reflective societies’ will support social sciences and humanities research into issues of a horizontal nature such as the creation of smart and sustainable growth, social, cultural and behavioural transformations in European societies, social innovation, innovation in the public sector or the position of Europe as a global actor.

B.
     
  Science and society

The relationship and interaction between science and society as well as the promotion of Responsible Research and Innovation and science education, science communication and culture shall be deepened and public confidence in science and innovation reinforced by activities of Horizon 2020 favouring an informed engagement of and a dialogue with citizens and civil society in research and innovation matters.

C.
     
  Gender

Promoting gender equality in science and innovation is a commitment of the EU. In Horizon 2020, gender will be addressed as a cross-cutting issue in order to rectify imbalances between women and men, and to integrate a gender dimension in research and innovation programming and content.

D.
     
  Small and medium-sized enterprises (SMEs)

Horizon 2020 will encourage and support the increased participation of SMEs in an integrated way across all specific objectives.

Further to the establishment of better conditions for SMEs to participate in Horizon 2020, in accordance with Article 18 of Horizon 2020, dedicated measures as set out in the specific objective ‘Innovation in SMEs’ (dedicated SME instrument) shall be applied in the specific objective ‘Leadership in enabling and industrial technologies’ and Part III ‘Societal challenges’. This integrated approach should lead to a minimum of 20 % of their total combined budgets going to SMEs.

Particular attention shall be paid to the adequate representation of SMEs in public-private partnerships.

DA.
     
  Fast Track to Innovation (FTI)

The Fast Track to Innovation will speed up time from idea to market significantly and is expected to increase industry participation in Horizon 2020 and first-time applicants.

Fast Track to Innovation in accordance with Art 18a of Horizon 2020 Framework Regulation will support Close-to-Market actions under the specific objective ‘Leadership in enabling and industrial technologies’ and under the societal challenges, with a bottom-up-driven logic on the basis of a continuously open call, and Time to Grant not exceeding six months. FTI will contribute to innovation in Europe, underpinning the Union's competitiveness.

E.
     
  Widening the participation

The research and innovation potential of the Member States, despite some recent convergence, remain very different, with large gaps between ‘innovation leaders’ and ‘modest innovators’. Activities shall help close the research and innovation divide in Europe by promoting synergies with the European Structural and Investment (ESI) Funds and also by specific measures shall be taken to unlock excellence in low performing RDI regions, thereby widening participation in Horizon 2020 and contributing to the realisation of the European Research Area.

F.
     
  International cooperation

International cooperation with partners in third countries is necessary to address effectively many specific objectives defined in Horizon 2020, in particular those relating to Union external and development policies and international commitments. This is the case for all the societal challenges addressed by Horizon 2020, which are common in nature. International cooperation is also essential for frontier and basic research in order to capture the benefits from emerging science and technology opportunities. Promoting researchers and innovation staff mobility at an international scale is therefore crucial to enhance this global cooperation. Activities at the international level are equally important to enhance the competitiveness of European industry by promoting the take-up and trade of novel technologies, for instance through the development of worldwide standards and interoperability guidelines, and by promoting the acceptance and deployment of European solutions outside Europe. All international activities should be supported by an efficient and fair knowledge transfer framework which is critical for innovation and growth.

The focus of international cooperation in Horizon 2020 will be on cooperation with three major country groupings:

| (1) | industrialised and emerging economies; |
| --- | --- |

(1)

industrialised and emerging economies;

| (2) | enlargement and neighbourhood countries; and |
| --- | --- |

(2)

enlargement and neighbourhood countries; and

| (3) | developing countries. |
| --- | --- |

(3)

developing countries.

Where appropriate, Horizon 2020 will promote cooperation at bi-regional or multilateral level. International cooperation in research and innovation is a key aspect of the Union’s global commitments and has an important role to play in the Union’s partnership with developing countries, such as progressing towards the achievement of the Millennium Development Goals.

Article 21 of Horizon 2020 sets out the general principles for participation of organisations from third countries and international organisations. As research and innovation in general benefit largely from an openness towards third countries, Horizon 2020 will continue with the principle of general openness, while encouraging reciprocal access to third country programmes. Where appropriate, and notably to safeguard European interest as regards intellectual property, a more cautious approach may be adopted.

In addition, a range of targeted actions will be implemented taking a strategic approach to international cooperation on the basis of common interest, priorities and mutual benefit and promoting coordination and synergies with Member States activities. This will include a mechanism for supporting joint calls and the possibility of co-funding programmes together with third countries or international organisations. Synergies with other Union policies will be sought.

Strategic advice from the Strategic Forum for International scientific and technological Cooperation (SFIC) will continue to be sought.

Without prejudice to other collaboration opportunities, examples of areas where such strategic international cooperation may be developed are:

| (a) | The continuation of the European and Developing Countries Clinical Trials Partnership (EDCTP2) on clinical trials for medical interventions against HIV, malaria, tuberculosis and neglected diseases; |
| --- | --- |

(a)

The continuation of the European and Developing Countries Clinical Trials Partnership (EDCTP2) on clinical trials for medical interventions against HIV, malaria, tuberculosis and neglected diseases;

| (b) | Support by way of an annual subscription to the Human Frontier Science Frontier Programme (HFSP) to allow non-G7 Member States of the Union to fully benefit from the funding provided by the HFSP; |
| --- | --- |

(b)

Support by way of an annual subscription to the Human Frontier Science Frontier Programme (HFSP) to allow non-G7 Member States of the Union to fully benefit from the funding provided by the HFSP;

| (c) | International consortium on rare diseases, with a number of Union Member States and third countries. The aim of this initiative is to develop by 2020, diagnostic tests for most rare diseases and 200 new therapies for rare diseases; |
| --- | --- |

(c)

International consortium on rare diseases, with a number of Union Member States and third countries. The aim of this initiative is to develop by 2020, diagnostic tests for most rare diseases and 200 new therapies for rare diseases;

| (d) | Support to the activities of the International Knowledge-Based Bio-Economy Forum and the EU-US Task Force on Biotechnology Research as well as collaborative links with relevant international organisations and initiatives (such as global research alliances on agricultural greenhouse gases and on animal health); |
| --- | --- |

(d)

Support to the activities of the International Knowledge-Based Bio-Economy Forum and the EU-US Task Force on Biotechnology Research as well as collaborative links with relevant international organisations and initiatives (such as global research alliances on agricultural greenhouse gases and on animal health);

| (e) | Contribution to multilateral processes and initiatives, such as the Intergovernmental Panel on Climate Change (IPCC), the Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES), and the Group on Earth Observations (GEO); |
| --- | --- |

(e)

Contribution to multilateral processes and initiatives, such as the Intergovernmental Panel on Climate Change (IPCC), the Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES), and the Group on Earth Observations (GEO);

| (f) | The Space Dialogues between the Union and the United States of America and Russia, the two major space faring nations, is an extremely valuable one and forms the basis for the establishment of strategic cooperation in space partnerships;. |
| --- | --- |

(f)

The Space Dialogues between the Union and the United States of America and Russia, the two major space faring nations, is an extremely valuable one and forms the basis for the establishment of strategic cooperation in space partnerships;.

| (g) | The implementing arrangement for cooperative activities between the European Union and the United States of America in the field of Homeland Security/Civil Security/Research, signed on 18 November 2010; |
| --- | --- |

(g)

The implementing arrangement for cooperative activities between the European Union and the United States of America in the field of Homeland Security/Civil Security/Research, signed on 18 November 2010;

| (h) | Cooperation with developing countries, including from Sub-Saharan Africa, in the field of decentralised energy production for poverty alleviation; |
| --- | --- |

(h)

Cooperation with developing countries, including from Sub-Saharan Africa, in the field of decentralised energy production for poverty alleviation;

| (i) | Continuation of research collaboration with Brazil on new generation of bio-fuels and other uses of biomass. |
| --- | --- |

(i)

Continuation of research collaboration with Brazil on new generation of bio-fuels and other uses of biomass.

In addition, dedicated horizontal activities will be supported in order to ensure the coherent and effective development of international cooperation across Horizon 2020.

G.
     
  Sustainable development and climate change

Horizon 2020 will encourage and support activities towards exploiting Europe's leadership in the race to develop new processes and technologies promoting sustainable development, in a broad sense, and combating climate change. Such horizontal approach, fully integrated in all Horizon 2020 priorities, will help the EU to prosper in a low-carbon, resource constrained world while building a resource efficient, sustainable and competitive economy.

H.
     
  Bridging from discovery to market application

Bridging actions throughout Horizon 2020 are aimed at bringing discovery to market application, leading to exploitation and commercialisation of ideas whenever appropriate. The actions should be based on a broad innovation concept and stimulate cross-sectoral innovation.

I
     
  Cross-cutting support measures

The cross-cutting issues will be supported by a number of transversal support measures, including support to: enhancing the attractiveness of the research profession, including the general principles of the European Charter for researchers; strengthening the evidence base and the development of and support for ERA (including the five ERA initiatives) and the Innovation Union; recognising top performing Horizon 2020 beneficiaries and projects in the different fields through symbolic awards; improving framework conditions in support of the Innovation Union, including the principles of the Commission Recommendation on the management of intellectual property

   (1)

  and exploring the possibility of setting up an European Intellectual Property Rights valorisation instrument; administration and coordination of international networks for excellent researchers and innovators (such as COST).

3.   PARTNERING

For achieving sustainable growth in Europe, the contribution of public and private players must be optimised. This is essential for consolidating the European Research Area and for delivering on the Innovation Union, the Digital Agenda and other Europe 2020 flagship initiatives. Furthermore, responsible research and innovation requires that best solutions be derived from interactions between partners having various perspectives but common interests.

Horizon 2020 includes scope and a clear set of criteria for setting up public-public and public-private partnerships. Public-private partnerships can be based on a contractual arrangement between public and private actors and can in limited cases be institutionalised public-private partnerships (such as Joint Technology Initiatives and other Joint Undertakings).

Existing public-public and public-private partnerships may receive support from Horizon 2020, provided they address Horizon 2020 objectives, they
  contribute to realising the ERA, they
  meet the criteria laid down in Horizon 2020 and they have shown to make significant progress under the Seventh Framework Programme for Research, Technological Development and Demonstration (FP7).

Initiatives under Article 185 of the Treaty supported under FP6 and/or FP7 for which further support may be provided under the above conditions include: the European and Developing Countries Clinical Trials Partnership (EDCTP), Ambient Assisted Living (AAL), Baltic Sea Research and Development Programme (BONUS), Eurostars and the European Metrology Research Programme. Further support may also be provided to the European Energy Research Alliance (EERA) established under the Strategic Energy Technology Plan (SET Plan).
  Joint Programming Initiatives may be supported by Horizon 2020 through the instruments referred to in Article 20 of [Framework Regulation], including through initiatives under Article 185 of the Treaty.

Joint Undertakings established in FP7 under Article 187 of the Treaty, for which further support may be provided under the above conditions are: the Innovative Medicines Initiative (IMI), Clean Sky, Single European Sky ATM Research (SESAR), Fuel Cells and Hydrogen (FCH), and Embedded computing systems (ARTEMIS) and Nanoelectronics (ENIAC). The latter two may be combined into a single initiative.

Other public-private partnerships supported under FP7 for which further support may be provided under the above conditions are: Factories of the Future, Energy-efficient Buildings, European Green Cars Initiative, Future Internet. Further support may also be provided to the European Industrial Initiatives (EIIs) established under the SET Plan.

Further public-public partnerships and public-private partnerships may be launched under Horizon 2020 where they meet the defined criteria. ▌

PART I

EXCELLENT SCIENCE

1.   EUROPEAN RESEARCH COUNCIL

The European Research Council (ERC) will promote world class frontier research. Research at and beyond the frontiers of current understanding is both of critical importance to economic and social welfare, and an intrinsically risky venture, progressing on new and most challenging research areas and characterised by an absence of disciplinary boundaries.

In order to stimulate substantial advances at the frontiers of knowledge, the ERC will support individual teams to carry out research in any field of basic scientific and technological research which falls within the scope of Horizon 2020, including engineering, social sciences and the humanities. As appropriate, specific ▌ target groups (e.g.
  starting
  researchers/emerging teams) may be taken into account, following the objectives of the ERC and needs for efficient implementation. Particular attention will be paid to emerging and fast-growing areas at the frontier of knowledge, and at the interface between disciplines.

Independent researchers of any age
  and gender
  , including starting researchers making the transition to being independent research leaders in their own right, from any country in the world will be supported to carry out their research in Europe.

The ERC shall give particular priority to assisting the best starting researchers with excellent ideas to make the transition to independence by providing adequate support at the critical stage when they are setting up or consolidating their own research team or programme. The ERC will also continue to provide appropriate levels of support for established researchers.

An ‘investigator-driven’ approach will be followed. This means that the ERC will support projects carried out by researchers on subjects of their choice within the scope of calls for proposals. Proposals will be evaluated on the sole criterion of excellence as judged by peer review, taking account of excellence in new groups,
  starting
  researchers, as well as established teams, and paying particular attention to proposals which are highly pioneering and involve correspondingly high scientific risks.

The ERC will operate as
  an autonomous
  science-led funding body consisting of an independent Scientific Council, supported by a lean and cost-effective dedicated implementation structure.

The ERC Scientific Council will establish the overall scientific strategy and will have full authority over decisions on the type of research to be funded.

The Scientific Council will establish the work programme to meet the ERC's objectives based on its scientific strategy as below. It will establish the necessary international cooperation initiatives in line with its scientific strategy, including outreach activities to increase the visibility of the ERC for the best researchers from the rest of the world.

The Scientific Council will continuously monitor the operation of the ERC
  and its evaluation procedures
  and consider how best to achieve its broader objectives. It will develop the ERC's mix of support measures as necessary to respond to emerging needs.

The ERC will aim for excellence in its own operations. The administrative and staffing costs for the ERC relating to the Scientific Council and dedicated implementation structure will be consistent with lean and cost-effective management. Administrative expenditure will be kept to a minimum, consistent with ensuring the resources necessary for world class implementation, in order to maximise funding for frontier research.

ERC awards will be made and grants operated according to simple
  , transparent
  procedures that maintain the focus on excellence, encourage initiative and combine flexibility with accountability. The ERC will continuously look for further ways to simplify and improve its procedures in order to ensure that these principles are met.

Given the unique structure and role of the ERC as a science-led funding body the implementation and management of the activities of the ERC will be reviewed and evaluated on an ongoing basis with the full involvement of the Scientific Council to assess its achievements and to adjust and improve procedures and structures on the basis of experience.

1.1.   The Scientific Council

In order to carry out its tasks, as set out in Article 7, the Scientific Council will:

| (1) | Scientific strategy:






  — | establish the overall scientific strategy for the ERC, in the light of scientific opportunities and European scientific needs; |
| --- | --- | --- |

(1)

Scientific strategy:

—

establish the overall scientific strategy for the ERC, in the light of scientific opportunities and European scientific needs;

| — | on a permanent basis, in accordance with the scientific strategy, ensure the establishment of the work programme and necessary modifications, including calls for proposals and criteria and, as may be required, the definition of specific ▌target groups (e.g. starting/emerging teams); |
| --- | --- |

—

on a permanent basis, in accordance with the scientific strategy, ensure the establishment of the work programme and necessary modifications, including calls for proposals and criteria and, as may be required, the definition of specific ▌target groups (e.g. starting/emerging teams);

| (2) | Scientific management, monitoring and quality control:






  — | as appropriate, from a scientific perspective, establish positions on implementation and management of calls for proposals, evaluation criteria, peer review processes including the selection of experts, the methods for peer review and proposal evaluation and the necessary implementing rules and guidelines, on the basis of which the proposal to be funded will be determined under the supervision of the Scientific Council; as well as any other matter affecting the achievements and impact of the ERC's activities, and the quality of the research carried out, including the principal provisions of the ERC Model Grant Agreement; |
| --- | --- | --- |

(2)

Scientific management, monitoring and quality control:

—

as appropriate, from a scientific perspective, establish positions on implementation and management of calls for proposals, evaluation criteria, peer review processes including the selection of experts, the methods for peer review and proposal evaluation and the necessary implementing rules and guidelines, on the basis of which the proposal to be funded will be determined under the supervision of the Scientific Council; as well as any other matter affecting the achievements and impact of the ERC's activities, and the quality of the research carried out, including the principal provisions of the ERC Model Grant Agreement;

| — | monitor quality of operations and evaluate implementation and achievements and make recommendations for corrective or future actions. |
| --- | --- |

—

monitor quality of operations and evaluate implementation and achievements and make recommendations for corrective or future actions.

| (3) | Communication and dissemination:






  — | assure
  transparency in
  communication with the scientific community, key stakeholders
  and the general public
  on the ERC's activities and achievements; |
| --- | --- | --- |

(3)

Communication and dissemination:

—

assure
  transparency in
  communication with the scientific community, key stakeholders
  and the general public
  on the ERC's activities and achievements;

| — | regularly report to the Commission on its own activities. |
| --- | --- |

—

regularly report to the Commission on its own activities.

The Scientific Council has full authority over decisions on the type of research to be funded and is the guarantor of the quality of the activity from the scientific perspective.

Where appropriate, the Scientific Council shall consult with the scientific, engineering and scholarly Community
  , regional and national research funding agencies and other stakeholders
  .

The members of the Scientific Council shall be compensated for the tasks they perform by means of an honorarium and, where appropriate, reimbursement of travel and subsistence expenses.

The ERC President will reside in Brussels for the duration of the appointment and devote most of his/her time (2) to ERC business. He/she will be remunerated at a level commensurate with the Commission's top management.

The Scientific Council shall elect from amongst its members three Vice-Chairs who shall assist the President in its representation and the organisation of its work. They may also hold the title of Vice-President of the European Research Council.

Support will be provided to the three Vice Chairs to ensure adequate local administrative assistance at their home institutes.

1.2.   Dedicated implementation structure

The dedicated implementation structure will be responsible for all aspects of administrative implementation and programme execution, as provided for in the work programme. It will, in particular, implement the evaluation procedures, peer review and selection process in accordance with the strategy established by the Scientific Council and will ensure the financial and scientific management of the grants.

The dedicated implementation structure will support the Scientific Council in the conduct of all of its tasks as set out above, provide access to the necessary documents and data in its possession, and keep the Scientific Council informed of its activities.

In order to ensure an effective liaison with the dedicated implementation structure on strategy and operational matters, the leadership of the Scientific Council and the Director of the dedicated implementation structure will hold regular coordination meetings.

The management of the ERC will be carried out by staff recruited for that purpose, including where necessary, officials from Union institutions, and will cover only the real administrative needs in order to assure the stability and continuity necessary for an effective administration.

1.3.   Role of the Commission

In order to fulfil its responsibilities as set out in Articles 6, 7 and 8 the Commission will:

| — | ensure the continuity and renewal of the Scientific Council and provide support for a standing Identification Committee for the identification of future Scientific Council members; |
| --- | --- |

—

ensure the continuity and renewal of the Scientific Council and provide support for a standing Identification Committee for the identification of future Scientific Council members;

| — | ensure the continuity of the dedicated implementation structure and the delegation of tasks and responsibilities to it taking into account the views of the Scientific Council; |
| --- | --- |

—

ensure the continuity of the dedicated implementation structure and the delegation of tasks and responsibilities to it taking into account the views of the Scientific Council;

| — | appoint the Director and the Senior Staff of the dedicated implementation structure taking into account the views of the Scientific Council; |
| --- | --- |

—

appoint the Director and the Senior Staff of the dedicated implementation structure taking into account the views of the Scientific Council;

| — | ensure the timely adoption of the work programme, the positions regarding implementing methodology and the necessary implementing rules as provided by the ERC Rules of Submission and the ERC Model Grant Agreement, taking into account the positions of the Scientific Council; |
| --- | --- |

—

ensure the timely adoption of the work programme, the positions regarding implementing methodology and the necessary implementing rules as provided by the ERC Rules of Submission and the ERC Model Grant Agreement, taking into account the positions of the Scientific Council;

| — | regularly inform
  and consult
  the programme committee on the implementation of the ERC activities. |
| --- | --- |

—

regularly inform
  and consult
  the programme committee on the implementation of the ERC activities.

2.   FUTURE AND EMERGING TECHNOLOGIES

Future and Emerging Technologies (FET) activities will concretise different logics of intervention, from completely open to varying degrees of structuring of topics, communities and funding, structured around three
  strands — FET Open, FET Proactive and FET Flagships
  .

2.1.   FET Open: fostering novel ideas

Supporting a large set of
  early stage
  , high risk visionary science and technology collaborative research projects is necessary for the successful exploration of new foundations for radically new future
  scientific knowledge and
  technologies. By being explicitly non-topical and non-prescriptive, this activity allows for new ideas, whenever they arise and wherever they come from, within the broadest spectrum of themes and disciplines
  and actively stimulate creative out-of-the-box thinking
  . Nurturing such fragile ideas requires an agile, risk-friendly and highly interdisciplinary research approach, going well beyond the strictly technological realms. Attracting and stimulating the participation of new high-potential actors in research and innovation, such as young researchers and high-tech SMEs is also important for nurturing the scientific and industrial leaders of the future.

2.2.   FET Proactive: nurturing emerging themes and communities

Novel areas and themes need to be matured, by working towards structuring emerging communities and supporting the design and development of transformative research themes. The main benefits of this structuring yet explorative approach are emerging novel areas that are not yet ready for inclusion in industry research roadmaps, and building up and structuring of research communities around them. It makes the step from collaborations between a small number of researchers, to a cluster of projects that each address aspects of a research theme and exchange results.
  This will be done in close association with the societal challenges and industrial leadership themes.

2.3.   FET Flagships:
  pursuing
  grand interdisciplinary science and technology challenges

Research initiatives within this challenge are science
  and technology
  -driven, large-scale, multidisciplinary and built around a visionary unifying goal. They tackle grand science and technology challenges requiring cooperation among a range of disciplines, communities and programmes. The scientific
  and technological
  advance should provide a strong and broad basis for future ▌ innovation and economic exploitation, as well as novel benefits for society
  of a potential high impact
  . The overarching nature and magnitude implies that they can only be realised through a
  collaborative long-term
  and sustained effort ▌.

Activities in the three FET
  strands
  are complemented, by
  ▌
  networking and community-based activities for creating a fertile and vibrant European base for science-driven research towards future technologies. They will support the future developments of the FET activities, foster the debate on implications of new technologies, and accelerate impact.

2.4.   Specific implementation aspects

A FET Advisory Board
  , including scientists and engineers of the highest repute and expertise,
  will provide stakeholder input on the overall scientific
  and technological
  strategy, including
  advice on
  the definition of the work programme.

FET will continue to be science-
  and-technology-
  led supported by a light and efficient implementation structure. Simple administrative procedures will be adopted to maintain the focus on excellence in science-driven technological innovation, encourage initiative and combine
  speed in decision-making and
  flexibility with accountability. The most appropriate approaches will be used for probing the FET research landscape (e.g., ▌portfolio analysis) and for involving communities of stakeholders (e.g., ▌consultations). The aim will be for continuous improvement, and the search for further ways to simplify and improve procedures in order to ensure that these principles are met. Assessments of the effectiveness and impact of the FET activities will be carried out, complementing those at programme level.

Given its mission of fostering science-driven research towards future technologies, FET strives to bring together actors from science, technology and innovation
  , where appropriate including users, and to the extent possible from both public and private sectors
  . FET should therefore play an active and catalytic role in stimulating new thinking, new practices and new collaborations.

FET-Open groups activities for an entirely bottom up search for promising new ideas. The high-risk implied by each such idea is countered by exploring many of them. Efficiency in terms of time and resources, low opportunity cost for the proposers, and undisputable openness to non-conventional and interdisciplinary ideas are the key characteristics for these activities. Light-and-fast continuously open submission schemes will seek for high-risk promising new research ideas and will include tracks for new and high potential innovation actors such as young researchers and high tech SMEs.
  To complement FET-Open activities, activities under the Industrial Leadership and Societal Challenges priorities may foster radically new use of knowledge and technologies.

The
  FET proactive ▌activity
  will
  regularly
  open
  calls on several high-risk, high-potential innovative themes, funded at such a level that several projects can be selected. These projects will be supported by community building actions that foster activities such as joint events, development of new curricula and research roadmaps. The selection of themes will take into account excellence in science-driven research towards future technologies, potential for creating a critical mass and impact on science and technology.

A number of large scale focused initiatives (FET Flagships)
  could
  be implemented
  subject to the positive outcome of FET preparatory projects
  . They
  should
  be based on
  open
  partnerships that enable
  the voluntary combination of
  Union, national and private contributions, with a balanced governance that allows programme owners to have appropriate influence, as well as a large degree of autonomy and flexibility in the implementation, enabling the flagship to follow closely a broadly supported research roadmap. The selection
  of topics to be implemented as Flagships will be based on scientific and technologial excellence and
  will take into account the unifying goal, the
  potential
  impact, integration of stakeholders and resources under a cohesive research roadmap and
  , where appropriate,
  support from stakeholders and national/regional research programmes.
  These activities shall be realised using the existing funding instruments.

3.   MARIE
  SKŁODOWSKA-
  CURIE ACTIONS

3.1.   Fostering new skills by means of excellent initial training of researchers

Europe needs a strong and creative human resource base, mobile across countries and sectors, with the right combination of skills to innovate and to convert knowledge and ideas into products and services for economic and social benefit.

This will be achieved in particular by structuring and raising excellence in a substantial share of the high-quality initial training of early stage researchers and doctoral candidates throughout Member states and associated countries
  including, where appropriate, participation from third countries
  . By equipping early stage researchers with a diversity of skills that will allow them to face current and future challenges, the next generation of researchers will benefit from enhanced career perspectives in both public and private sectors, thereby enhancing also the attraction of young people to research careers.

The action will be implemented through support to Union-wide competitively selected research training programmes implemented by partnerships of universities, research institutions,
  research infrastructures,
  businesses, SMEs and other socio-economic actors from different countries across Europe and beyond. Single institutions able to provide the same enriching environment will also be supported. Flexibility in the implementation of the objectives will have to be ensured in order to address the different needs. Typically, successful partnerships will take the form of research training networks
  that may offer innovative types of training such as joint or multiple doctoral degrees
  or industrial doctorates, while single institutions will usually be involved in innovative doctoral programmes.
  Industrial doctorates are an important element to foster an innovative spirit among researchers and create closer links between industry and academia
  . In this frame, support is foreseen for the best early stage researchers from any country to join these excellent programmes
  , which may include, inter alia, mentoring to transfer knowledge and experience.

These training programmes will address the development and broadening of core research competences, while equipping researchers with a creative mind, an entrepreneurial outlook and innovation skills that will match the future needs of the labour market. The programmes will also provide training in transferable competences such as team-work, risk-taking, project management, standardisation, entrepreneurship, ethics, IPR, communication and societal outreach which are essential for the generation, development, commercialisation and diffusion of innovation.

3.2.   Nurturing excellence by means of cross-border and cross-sector mobility

Europe has to be attractive for the best researchers, European and non-European. This will be achieved in particular by supporting attractive career opportunities for experienced researchers in both public and private sectors, and encouraging them to move between countries, sectors and disciplines to enhance their creative and innovative potential.

Funding will be given to the best or most promising experienced researchers, regardless of their nationality, who want to develop their skills through a trans-national or international mobility experience. They can be supported along all the different stages of their career, including the most junior ones just after their doctoral degree or equivalent experience. These researchers will receive funding on the condition that they move from one country to another to broaden or deepen their competences in universities, research institutions,
  research infrastructures,
  businesses, SMEs or other socio-economic actors of their choice
  (e.g. civil society organisations)
  , working on research and innovation projects fitting their personal needs and interests. They will be encouraged to move from public to private sector or vice-versa through the support of temporary postings.
  This should enhance the innovativeness of the private sector and promote cross-sector mobility.
  Part-time opportunities allowing combined positions in both public and private sectors will also be supported to enhance the transfer of knowledge between sectors and also encourage the creation of start-ups. Such tailor-made research opportunities will help promising researchers to become fully independent and to facilitate career moves between public and private sectors.

In order to fully exploit the existing potential of researchers, possibilities
  to be trained and to acquire new knowledge in a third-country high-level research institution,
  to restart a research career after a break
  and to (re)integrate researchers into a longer term research position in Europe, including their country of origin, after a trans-national/international mobility experience
  will also be supported.

3.3.   Stimulating innovation by means of cross-fertilisation of knowledge

Societal challenges are becoming more and more global and cross-border and cross-sector collaborations are crucial to successfully face them. Sharing of knowledge and ideas from research to market
  (and vice-versa)
  is therefore vital and can only be achieved through the connection of people. This will be promoted through the support of flexible exchanges of highly skilled research and innovation staff between sectors, countries and disciplines.

European funding will support ▌exchanges of research and innovation staff within partnerships of universities, research institutions,
  research infrastructures,
  businesses, SMEs and other socio-economic actors among Europe, as well as between Europe and third countries to reinforce international cooperation. It will be open to research and innovation staff at all career levels, from the most junior (post-graduate) to the most senior (management), including also administrative and technical staff.

3.4.   Increasing structural impact by co-funding the activities

Stimulating regional, national or international programmes to foster excellence and spread best practices of Marie
  Skłodowska-
  Curie Actions in terms of European-wide mobility possibilities for researchers training, career development and staff exchange will increase the numerical and structural impact of Marie
  Skłodowska-
  Curie Actions. This will also enhance the attractiveness of centres of excellence across Europe.

This will be achieved by co-funding new or existing regional, national, private and international programmes to open-up to and provide for international, intersectoral and interdicisplinary research training, as well as cross-border and cross-sector mobility of researchers and innovation staff at all stages of their career.

This will allow the exploitation of synergies between Union actions and those at regional and national level, combating fragmentation in terms of objectives, evaluation methods and working conditions of researchers.
  In the framework of co-funding activities, use of employment contracts will be strongly promoted.

3.5.   Specific support and policy actions

To efficiently meet the challenge it will be essential to monitor progress. The programme will support the development of indicators and the analysis of data related to researchers' mobility, skills, careers
  and gender equality
  with a view to identifying gaps
  and barriers
  in the Marie
  Skłodowska-
  Curie actions and to increasing the impact of these actions. These activities will be implemented seeking synergies and close coordination with the policy support actions on researchers, their employers and funders carried out under
  ‘Europe in a changing world -
  Inclusive, innovative and
  reflective
  societies’. Specific actions will be funded to support initiatives to raise awareness on the importance of the research career
  covering also return and reintegration aspects
  , and to disseminate research and innovation results emanating from work supported by Marie
  Skłodowska-
  Curie actions.

To further increase the impact of the Marie
  Skłodowska-
  Curie actions, the networking between Marie
  Skłodowska-
  Curie researchers (current and past) will be enhanced through a strategy of alumni services. These will range from supporting a forum for contact and exchange between the researchers, providing possibilities for exploring collaborations and job opportunities, to the organisation of joint events and the involvement of the fellows in outreach activities as ambassadors for Marie
  Skłodowska-
  Curie actions and for the European Research Area.

3.6.   Specific implementation aspects

The Marie
  Skłodowska-
  Curie actions will be open to training and career development activities within all domains of research and innovation addressed under the Treaty, from basic research up to market take-up and innovation services. Research and innovation fields as well as sectors will be chosen freely by the applicants.

To benefit from the worldwide knowledge base, the Marie
  Skłodowska-
  Curie actions will be open to researchers and innovation staff, as well as to universities, research institutions,
  research infrastructures
  , businesses and other socio-economic actors from all countries, including third countries under the conditions defined in Regulation (EU) XX/2012 (Rules for Participation).

Throughout all the activities described above, attention will be paid to encourage a strong participation of enterprises, in particular SMEs, as well as other socio-economic actors for the successful implementation and impact of the Marie
  Skłodowska-
  Curie actions. A long-term collaboration between higher education, research organisations and the
  public and
  private
  sectors
  , taking into account the protection of intellectual property rights, is promoted throughout all the Marie
  Skłodowska-
  Curie actions.

The Marie Skłodowska-Curie actions will be developed in close synergy with other programmes supporting these policy objectives, including the Erasmus for All programme and the Knowledge and Innovation Communities of the EIT.

The possibility is retained, if specific needs arise, to target certain activities under the programme regarding specific societal challenges, types of research and innovation institutions, or geographical locations in order to respond to the evolution of Europe's requirements in terms of skills, research training, career development and knowledge sharing.

In order to be open to all sources of talent, general measures to overcome any distortions in the access to the grants will be ensured, for example by encouraging equal opportunities
  for male and female researchers
  in all Marie
  Skłodowska-
  Curie actions and by benchmarking gender participation.. In addition, the Marie
  Skłodowska-
  Curie actions will support researchers to get established on a more stable career path and to ensure that they can achieve an appropriate work/life balance, taking into account their family situation, and to contribute to facilitate resuming a research career after a break. The principles of the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers promoting open recruitment and attractive working conditions
  are recommended
  to be endorsed and applied by all the funded participants.

To further enhance dissemination and public engagement, beneficiaries of the Marie
  Skłodowska-
  Curie actions
  may
  be required to plan suitable outreach activities to the general public. This plan will be assessed during the evaluation process as well as during the project follow-up.

4.   RESEARCH INFRASTRUCTURES

The activities will aim at developing
  excellent
  European research infrastructures for 2020 and beyond, fostering their innovation potential and human
  resources
  and reinforcing European policy. Coordination with the cohesion funding sources will be pursued to ensure synergies and a coherent approach for the development of the research infrastructures.
  Synergies with Marie Sklodowska-Curie actions will be encouraged
  .

4.1.   Developing the European research infrastructures for 2020 and beyond

4.1.1.   Developing new world-class research infrastructures▌

The aim is to
  facilitate and support the preparation,
  implementation, long-term sustainability and efficient operation of the research infrastructures identified by the European Strategy Forum on Research Infrastructures (ESFRI) and other world-class research infrastructures, which will help Europe to respond to grand challenges in science, industry and society. This objective will address specifically those infrastructures that are
  planning to set up, are
  setting up or that have set up their governance, e.g. on the basis of the European Research Infrastructure Consortium (ERIC) or any equivalent structure at European or international level.

The Union funding will contribute to, as appropriate:

| (a) | the preparatory phase of future infrastructures (e.g. detailed construction plans, legal arrangements, multiannual planning
  , early engagement of industry
  ); |
| --- | --- |

(a)

the preparatory phase of future infrastructures (e.g. detailed construction plans, legal arrangements, multiannual planning
  , early engagement of industry
  );

| (b) | the implementation phase (e.g. R&D and engineering work jointly with industry and users, development of regional partner facilities (3) aiming at a more balanced development of the European Research Area); and/or |
| --- | --- |

(b)

the implementation phase (e.g. R&D and engineering work jointly with industry and users, development of regional partner facilities (3) aiming at a more balanced development of the European Research Area); and/or

| (c) | the operation phase (e.g. access, data handling, outreach, training and international cooperation activities). |
| --- | --- |

(c)

the operation phase (e.g. access, data handling, outreach, training and international cooperation activities).

This activity will also support design studies for new research infrastructures through a bottom-up approach.

4.1.2.   Integrating and opening existing national
  and regional
  research infrastructures of
  European
  interest

The aim is to open up
  , where appropriate
  , key national
  and regional
  research infrastructures to all European researchers, from both academia and industry, and to ensure their optimal use and joint development.

The Union will support networks
  and clusters
  that bring together and integrate, on European scale, key national research infrastructures. Funding will be provided to support, in particular, the trans-national and virtual access of researchers and the harmonisation and improvement of the services the infrastructures provide. ▌

4.1.3.   Development, deployment and operation of ICT-based e-infrastructures (4)

The aim is to achieve by 2020
  a world-leading capability in networking, computing and scientific data in a
  single and open European space for online research where researchers enjoy leading-edge, ubiquitous and reliable services for networking and computing, and seamless and open access to e-Science environments and global data resources.

To achieve this goal, support will be given to: global research and education networks providing advanced, standardised and scalable inter-domain services on-demand; grid and cloud infrastructures providing virtually unlimited computational and data processing capacity; an ecosystem of supercomputing facilities, advancing towards exa-scale; a software and service infrastructure, e.g. for simulation and visualisation; real-time collaborative tools; and an interoperable, open and trusted scientific data infrastructure.

4.2.   Fostering the innovation potential of research infrastructures and their human resources

4.2.1.   Exploiting the innovation potential of research infrastructures

The goal is to stimulate innovation both in the infrastructures themselves and in
  industries, such as the
  supplier and user industry.

To this end, support will be provided to

| (a) | R&D partnerships with industry to develop Union capacities and industrial supply in high-tech areas such as scientific instrumentation or ICT; |
| --- | --- |

(a)

R&D partnerships with industry to develop Union capacities and industrial supply in high-tech areas such as scientific instrumentation or ICT;

| (b) | pre-commercial procurement by research infrastructure actors to drive forward innovation and act as early adopters
  or developers
  of
  cutting-edge
  technologies; |
| --- | --- |

(b)

pre-commercial procurement by research infrastructure actors to drive forward innovation and act as early adopters
  or developers
  of
  cutting-edge
  technologies;

| (c) | stimulate the use of research infrastructures by industry, e.g. as experimental test facilities or knowledge-based centres; and |
| --- | --- |

(c)

stimulate the use of research infrastructures by industry, e.g. as experimental test facilities or knowledge-based centres; and

| (d) | encourage the integration of research infrastructures into local, regional and global innovation ecosystems. |
| --- | --- |

(d)

encourage the integration of research infrastructures into local, regional and global innovation ecosystems.

The Union actions will also leverage the use of research infrastructures, in particular e-infrastructures, for public services, social innovation, culture and education
  and training
  .

4.2.2.   Strengthening the human capital of research infrastructures

The complexity of research infrastructures and the exploitation of their full potential require adequate skills for their managers, engineers and technicians, as well as users.

The Union funding will support the training of staff managing and operating research infrastructures of pan-European interest, the exchange of staff and best practices between facilities, and the adequate supply of human resources in key disciplines, including the emergence of specific education curricula.
  Synergies with Marie Skłodowska-Curie actions will be encouraged.

4.3.   Reinforcing European research infrastructure policy and international cooperation

4.3.1.   Reinforcing European policy for research infrastructures

The aims are to exploit synergies between national and Union initiatives by setting up partnerships between relevant policy makers, funding bodies
  or advisory groups
  (e.g. ESFRI, e-Infrastructure Reflection Group (e-IRG), EIROforum organisations, national public authorities), to develop complementarities and cooperation between research infrastructures and activities implementing other Union policies (such as regional, cohesion, industrial, health,
  environment
  , employment, or development policy), and to ensure coordination between different Union funding sources. Union actions will also support survey, monitoring and assessment of research infrastructures at Union level, as well as relevant policy studies and communication tasks.

Horizon 2020 will facilitate the efforts of Member States to optimise their research facilities by supporting an up-to-date EU-wide database on openly accessible research infrastructures in Europe.

4.3.2.   Facilitate strategic international cooperation

The aim is to facilitate the development of global research infrastructures i.e. research infrastructures that require funding and agreements on a global scale. The aim is also to facilitate the cooperation of European research infrastructures with their non-European counterparts, ensuring their global interoperability and reach, and to pursue international agreements on the reciprocal use, openness or co-financing of infrastructures. In this respect due account will be taken of the recommendations of the Carnegie Group of Senior Officials on Global Research Infrastructures. Attention will also be given to ensure adequate Union participation in coordination with international bodies such as the UN or the OECD.

4.4.   Specific implementation aspects

During implementation independent expert groups will be consulted, as well as stakeholders and advisory bodies, such as ESFRI and the e-IRG.

The implementation will follow a three-pronged approach: bottom-up where the exact content and partnership of projects are not known; targeted where the specific research infrastructures and/or communities addressed are well-defined; and named beneficiaries, for example where a contribution to operational costs is provided to (a consortium of) infrastructure operator(s).

The aims of the activity lines set under sections 4.2 and 4.3 shall be pursued by dedicated actions, as well as within the actions developed under section 4.1 whenever appropriate.

PART II

INDUSTRIAL LEADERSHIP

1.   LEADERSHIP IN ENABLING AND INDUSTRIAL TECHNOLOGIES

General

The successful mastering
  , integration
  and deployment of enabling technologies by European industry is a key factor in strengthening Europe's productivity and innovation capacity and ensuring Europe has an advanced, sustainable and competitive economy, global leadership in high-tech application sectors and the ability to develop
  effective and sustainable
  solutions for societal challenges
  taking into account, inter alia, user needs
  . Innovation activities will be combined with R&D, as an integral part of the funding.

| An integrated approach to Key Enabling Technologies
  A major component of ‘Leadership in Enabling and Industrial Technologies’ are Key Enabling Technologies (KETs), defined as micro- and nanoelectronics, photonics, nanotechnology, biotechnology, advanced materials and advanced manufacturing systems▌. Many innovative products incorporate several of these technologies simultaneously, as single or integrated parts. While each technology offers technological innovation, the accumulated benefit from
  the numerous interactions of KETs and other industrial enabling technologies and their combinations
  , can also lead to technological leaps. Tapping into cross-cutting key enabling technologies will enhance product competitiveness and impact
  and stimulate growth and jobs and provide new opportunities to tackle societal challenges
  . The numerous interactions of these technologies will therefore be exploited. Dedicated support will be provided for larger-scale pilot line and demonstrator projects
  to be implemented in various environments and conditions
  .
  This will include
  KETs and
  cross-cutting
  KET (multi KETs)
  activities that bring together and integrate various individual technologies, resulting in technology validation in an industrial environment to a complete and qualified system, ready
  or close to enter
  the market. Strong private sector involvement in such activities
  and the demonstration of how project results will contribute to market value for the EU
  will be a prerequisite and implementation
  could
  therefore
  take the form of
  public private partnerships. To this extent and through
  the Horizon 2020 implementation
  structure, a joint work programme for cross-cutting KETs activities will be developed. Taking into account market needs and the requirements of the societal challenges, it will aim at providing generic KETs
  and multi KETs
  building blocks for different application areas, including societal challenges.
  In addition, synergies will be sought, where appropriate, between KET activities and the activities under the Cohesion Policy framework in the context of national and regional R&I strategies for smart specialisation, as well as with the European Institute of Innovation and Technology (EIT), the European Investment Bank (EIB) and, where appropriate, with the Member States driven activities under the Joint Programming Initiatives. |
| --- |

An integrated approach to Key Enabling Technologies

A major component of ‘Leadership in Enabling and Industrial Technologies’ are Key Enabling Technologies (KETs), defined as micro- and nanoelectronics, photonics, nanotechnology, biotechnology, advanced materials and advanced manufacturing systems▌. Many innovative products incorporate several of these technologies simultaneously, as single or integrated parts. While each technology offers technological innovation, the accumulated benefit from
  the numerous interactions of KETs and other industrial enabling technologies and their combinations
  , can also lead to technological leaps. Tapping into cross-cutting key enabling technologies will enhance product competitiveness and impact
  and stimulate growth and jobs and provide new opportunities to tackle societal challenges
  . The numerous interactions of these technologies will therefore be exploited. Dedicated support will be provided for larger-scale pilot line and demonstrator projects
  to be implemented in various environments and conditions
  .

This will include
  KETs and
  cross-cutting
  KET (multi KETs)
  activities that bring together and integrate various individual technologies, resulting in technology validation in an industrial environment to a complete and qualified system, ready
  or close to enter
  the market. Strong private sector involvement in such activities
  and the demonstration of how project results will contribute to market value for the EU
  will be a prerequisite and implementation
  could
  therefore
  take the form of
  public private partnerships. To this extent and through
  the Horizon 2020 implementation
  structure, a joint work programme for cross-cutting KETs activities will be developed. Taking into account market needs and the requirements of the societal challenges, it will aim at providing generic KETs
  and multi KETs
  building blocks for different application areas, including societal challenges.
  In addition, synergies will be sought, where appropriate, between KET activities and the activities under the Cohesion Policy framework in the context of national and regional R&I strategies for smart specialisation, as well as with the European Institute of Innovation and Technology (EIT), the European Investment Bank (EIB) and, where appropriate, with the Member States driven activities under the Joint Programming Initiatives.

Specific implementation aspects

Innovation activities will include the integration of individual technologies; demonstrations of capacities to make and deliver innovative products
  , systems, processes
  and services; user and customer pilots to prove feasibility and added value; and large-scale demonstrators to facilitate market take-up of the research results.
  Adequate focus will be given to small and medium scale projects. Furthermore, implementation under this Part will encourage the involvement of small and medium sized research teams, also contributing to a more active participation of SMEs.

Various individual technologies will be integrated, resulting in technology validation in an industrial environment to a complete and qualified system, ready for the market. Strong private sector involvement in such activities will be a prerequisite,
  including
  public-private partnerships.

Demand-side actions will complement the technology push of the research and innovation initiatives. These include making the best use of public procurement of innovation; developing appropriate technical standards
  and technical activities in support of standardisation and regulation
  ; private demand and engaging users to create more innovation-friendly markets.

For nanotechnology and biotechnology in particular engagement with stakeholders and the general public will aim to raise the awareness of benefits and risks. Safety assessment and the management of overall risks in the deployment of these technologies will be systematically addressed.
  Where appropriate, social sciences and humanities will contribute to taking into account user needs preferences and acceptance as well as ensuring societal engagement and informed consumers’ choice.

The
  activities
  supported under this Part
  will complement support for research and innovation in enabling technologies, which may be provided by national or regional authorities under the Cohesion Policy funds, within the framework of smart specialisation strategies.

This programme shall, as part of the funding of actions, also support technology transfer activities (both at national and regional level), including the development of international and regional innovation clusters, to promote more effective linkages between universities and the industry.

Strategic international cooperation initiatives will be pursued in areas of mutual interest and benefit with leading partner countries. Of particular, but not exclusive, interest for enabling and industrial technologies are:

| — | access to world-leading scientific and technological expertise; |
| --- | --- |

—

access to world-leading scientific and technological expertise;

| — | the development of global standards; |
| --- | --- |

—

the development of global standards;

| — | the removal of
  bottlenecks in industrial exploitation
  , R&D collaboration
  and conditions for trade; |
| --- | --- |

—

the removal of
  bottlenecks in industrial exploitation
  , R&D collaboration
  and conditions for trade;

| — | the safety of nanotechnology-based and biotechnology-based products
  and the long-term impact of their use
  ; |
| --- | --- |

—

the safety of nanotechnology-based and biotechnology-based products
  and the long-term impact of their use
  ;

| — | the development of materials and methods to reduce energy and resource consumption; |
| --- | --- |

—

the development of materials and methods to reduce energy and resource consumption;

| — | industry-led, collaborative international initiatives within the manufacturing community; and |
| --- | --- |

—

industry-led, collaborative international initiatives within the manufacturing community; and

| — | the interoperability of systems |
| --- | --- |

—

the interoperability of systems

1.1.   Information and Communication Technologies (ICT)

A number of activity lines will target ICT industrial and technological leadership challenges

  along the whole value chain
  and cover generic ICT research and innovation agendas, including notably:

1.1.1.   A new generation of components and systems: Engineering of advanced ▌embedded
  and energy and resource efficient
  components and systems

The objective is to maintain and reinforce European leadership in technologies related to
  advanced
  , embedded
  and energy and resource efficient and robust
  components and systems. It also includes micro-nano-bio systems, organic electronics, large area integration, underlying technologies for the Internet of Things (IoT) (5) including platforms to support the delivery of advanced services
  , sensors,
  smart integrated systems,
  embedded and distributed systems,
  systems of systems and complex systems engineering.

1.1.2.   Next generation computing: Advanced
  and secure
  computing systems and technologies, including cloud computing

The objective is to leverage European assets in processor and system architecture, interconnect and data localisation technologies, cloud computing, parallel computing,
  modelling
  and simulation software for all market segments,
  including engineering applications (such as, inter alia, uncertainty quantification, risk analysis and decision in engineering).

1.1.3.   Future Internet:
  Software, hardware,
  infrastructures, technologies and services

The objective is to reinforce the competitiveness of European industry in developing, mastering and shaping the next generation Internet that will gradually replace and surpass the current Web, fixed and mobile networks and service infrastructures, and enable the interconnection of trillions of devices (IoT) across multiple operators and domains that will change the way we communicate, access and use knowledge. This includes R&I on networks, software, processes and services, cyber security, privacy
  , reliability
  and trust, wireless (6) communication and all optical networks, immersive interactive multimedia and on the connected enterprise of the future.

1.1.4.   Content technologies and information management: ICT for digital content
  , cultural and creative industries

The objective is to
  strenghten Europe’s position as provider of products and services based on individual and business creativity. It will do so by providing
  professionals and citizens with new tools to create,
  access,
  exploit, preserve
  and re-use
  all forms of digital content in any language and to model, analyse, and visualise vast amounts of data (
  big data)
  , including linked data. This includes new technologies for
  arts,
  language, learning, interaction, digital preservation,
  web design
  , content access, analytics
  and media
  ; intelligent
  and adaptive
  information management systems based on advanced data mining, machine learning, statistical analysis and visual computing technologies.

1.1.5.   Advanced interfaces and robots: Robotics and smart spaces

The objective is to reinforce European scientific and industrial leadership in industrial and service robotics, cognitive
  and communicative
  systems, advanced interfaces and smart spaces, and sentient machines, building on increases in computing and networking performance and progress in the ability to
  design and
  build systems that can learn,
  self-assemble,
  adapt and react
  or that optimise human-machine interactions. Where appropriate, the systems developed and advancements in the state-of-the-art should be validated in real-world environments.

1.1.6.   Micro- and nanoelectronics and photonics:
  Key enabling technologies related to micro-and nanoelectronics and to photonics, covering also quantum technologies

The objective is to take advantage of the excellence of Europe in
  these
  key enabling
  technologies
  and support
  and further enhance
  the competitiveness and market leadership of its industry. Activities will also include research and innovation on design, advanced processes, pilot lines for fabrication, related production technologies and demonstration actions to validate technology developments and innovative business models
  as well as underlying next generation technologies exploiting advances in quantum physics
  .

These six major activity lines are expected to cover the full range of needs
  taking into account the competitiveness of European industry on a global scale
  . These would include industrial leadership in generic ICT-based solutions, products and services needed to tackle major societal challenges as well as application-driven ICT research and innovation agendas which will be supported together with the relevant societal challenge.
  In view of the ever increasing advancement of technology in all areas of life, the interaction between humans and technology will be important in this respect, and part of the application-driven ICT research mentioned above. Research with a user-centred perspective will contribute to the development of competitive solutions.

Included under each of the six big activity lines are also ICT-specific research infrastructures such as living labs for ▌experimentation and infrastructures for underlying key enabling technologies and their integration in advanced products and innovative smart systems, including equipment, tools, support services, clean rooms and access to foundries for prototyping.

This should be implemented in a way that ensures complementarity and consistency with the Research Infrastructures work supported under the ‘Excellent Science’ pillar.

Activities will support research and development of systems in full respect of the fundamental rights and freedoms of natural persons and in particular their right to privacy.

1.2.   Nanotechnologies

1.2.1.   Developing next generation nanomaterials, nanodevices and nanosystems

Development and integration of knowledge
  of nanoscale phenomena
  at the cross-roads of different scientific disciplines, aiming at fundamentally new products
  and systems
  enabling sustainable solutions in a wide range of sectors.

1.2.2.   Ensuring the safe
  and sustainable
  development and application of nanotechnologies

Advancing scientific knowledge of their potential impact on health or on the environment for pro-active, science-based governance of nanotechnologies, and providing validated scientific tools
  , methods
  and platforms for hazard, exposure and risk assessment and management along the entire life cycle of nanomaterials and nanosystems
  , including standardisation issues.

1.2.3.   Developing the societal dimension of nanotechnology

Addressing the human and physical ▌needs of nanotechnology deployment and focussing on governance of nanotechnology for societal
  and environmental
  benefit
  , including communication strategies to ensure social engagement.

1.2.4.   Efficient
  and sustainable
  synthesis and manufacturing of nanomaterials, components and systems

Focusing on new flexible, scalable and repeatable unit operations, smart integration of new and existing processes,
  including technology convergence such as nanobiotechnology,
  as well as up-scaling to
  enable sustainable high precision large scale
  production of products and
  flexible and
  multi-purpose plants that ensures the efficient transfer of knowledge into industrial innovation.

1.2.5.   Developing
  and standardisation of
  capacity-enhancing techniques, measuring methods and equipment

Focusing on the underpinning technologies, supporting the development and market introduction of
  safe
  complex nanomaterials and nanosystems, including
  nanometrology,
  characterisation and manipulation of matter at the nano-scale, modelling, computational design and advanced engineering at the atomic level.

1.3.   Advanced materials

1.3.1.   Cross-cutting and enabling materials technologies

Research
  on materials by design,
  functional materials, multifunctional materials
  with higher knowledge content, new functionalities and improved performance,
  such as self-repairing or biocompatible materials
  , self-assembling materials, novel magnetic materials
  and structural materials, for innovation in all industrial sectors particularly for high value markets
  and including the creative industries.

1.3.2.   Materials development and transformation

Research and development to ensure efficient
  , safe
  and sustainable
  development and
  scale up to enable industrial manufacturing of future
  design based
  products
  towards a ‘no-waste’ management of materials in Europe
  e.g. in the metal, chemical
  or biotechnological
  industries
  , and to improve the understanding of material degradation mechanisms (wear, corrosion, mechanical reliability)
  .

1.3.3.   Management of materials components

Research and development for new and innovative techniques
  for materials, components
  and systems, joining, adhesion, separation, assembly, self-assembly and
  the
  disassembling, decomposition and deconstruction
  of material components, and management of life cycle costs and environmental impacts through novel use of advanced materials technology
  .

1.3.4.   Materials for a sustainable
  , resource-efficient and low-emission
  industry

Developing new products and applications
  , business models
  and
  responsible
  consumer behaviour that
  increase the use of the renewable resources for sustainable applications,
  reduce energy demand
  in the product’s entire life cycle
  and facilitate low
  emission
  production, as well as process intensification, recycling, depollution
  , materials for energy storage and materials with potential for
  high-added value from waste and remanufacture.

1.3.5.   Materials for creative industries
  , including heritage

Applying design and the development of converging technologies to create new business opportunities, including the preservation
  and restoration
  of Europe's
  heritage and
  materials with historical or cultural value,
  as well as novel materials
  .

1.3.6.   Metrology, characterisation, standardisation and quality control

Promoting technologies such as characterisation, non-destructive evaluation
  , continuous assessing and monitoring
  and predictive modelling of performance for progress
  and impact
  in materials science and engineering.

1.3.7.   Optimisation of the use of materials

Research and development to investigate
  substitution and
  alternatives to the use of materials
  , including addressing the challenge of raw materials through tailor-made materials or the substitution of scarce, or critical or dangerous materials
  , and innovative business model approaches
  and identification of critical resources
  .

1.4.   Biotechnology

1.4.1.   Boosting cutting-edge biotechnologies as a future innovation drivers

The objective is to lay the foundations for the European industry to stay at the front line of innovation, also in the medium and long term. It encompasses the development of emerging
  technology areas
  such as synthetic biology, bioinformatics
  and
  systems biology
  , as well as
  exploiting the convergence with other enabling technologies such as nanotechnology (e.g. bionanotechnology) and ICT (e.g. bioelectronics)
  and engineering technology
  . These and other cutting-edge fields deserve appropriate measures in terms of research and development to facilitate effective transfer and implementation into new applications ▌.

1.4.2.   Biotechnology-based industrial
  products and
  processes

The objective is twofold: on the one hand, enabling the European industry (e.g. chemical, health, mining, energy, pulp and paper
  , fibre-based products and wood,
  textile, starch, food processing) to develop new products and processes meeting industrial and societal demands
  using preferably environmentally-friendly and sustainable production methods
  ; and competitive and enhanced biotechnology-based alternatives to replace established ones; on the other hand, harnessing the potential of biotechnology for detecting, monitoring, preventing and removing pollution. It includes R&I on
  novel enzymes with optimised biocatalyst functions,
  enzymatic and metabolic pathways,
  industrial scale
  bio-processes design,
  integration of bio-processes in industrial production processes,
  advanced fermentation, up- and down-stream processing, gaining insight on the dynamics of microbial communities. It will also encompass the development of prototypes for assessing the techno-economic feasibility
  as well as the sustainability
  of the developed products and processes.

1.4.3.   Innovative and competitive platform technologies

The objective is to develop platform technologies (e.g. genomics, meta-genomics, proteomics,
  metabolomics,
  molecular tools
  , expression systems, phenotyping platforms and cell based platforms)
  triggering leadership and competitive advantage on a wide number of ▌sectors
  having econonomic impact
  . It includes aspects such as underpinning the development of bio-resources with optimised properties and applications beyond conventional alternatives; enabling exploration, understanding and exploitation in a sustainable manner of terrestrial and marine biodiversity for novel applications
  , bio-based products and processes
  ; and sustaining the development of biotechnology-based healthcare solutions (e.g. diagnostics, biologicals, bio-medical devices).

1.5.   Advanced Manufacturing and Processing

1.5.1.   Technologies for Factories of the Future

Promoting sustainable, industrial growth by facilitating a strategic shift in Europe from cost-based manufacturing to an approach based on the creation of high added value
  products and ICT-enabled intelligent and high performance manufacturing in an integrated system
  . This requires addressing the challenge of producing more, while consuming less material, using less energy and
  generating
  less waste and pollution
  aiming at high ecological efficiency
  . The focus will be on the development and integration of the adaptive production systems of the future, with particular emphasis on the needs of European SMEs, in order to achieve advanced and sustainable manufacturing systems and processes.
  Focus shall also be on methodologies for enhancing flexible, safe and smart production where adequate levels of automation are applied in worker-friendly environments.

1.5.2.   Technologies enabling Energy-efficient, low enviromental impact
  buildings
  and systems

Reducing energy consumption and CO2 emissions by the development and deployment of sustainable construction technologies
  and systems
  , implementation and replication of measures for an increased uptake of energy-efficient systems and materials in new, renovated and retrofitted buildings. Life-cycle considerations and the growing importance of design-build-operate concepts will be key in addressing the challenge of a transition to nearly zero energy buildings in Europe by 2020 and the realisation of energy-efficient districts through the engagement with the wide stakeholder community.

1.5.3.   Sustainable
  , resource-efficient
  and low-carbon technologies in energy-intensive process industries

Increasing the competitiveness of process industries, such as chemical,
  cement,
  pulp and paper, glass,
  minerals
  or non-ferrous metals and steel, by drastically improving resource and energy efficiencies and reducing the environmental impact of such industrial activities. Focus will be on the development, and validation of enabling technologies for innovative substances, materials and technological solutions for low-carbon products and less energy-intensive processes and services along the value chain, as well as
  on
  the adoption of ultra-low carbon production technologies and techniques, to achieve specific GHG emission intensity reductions.

1.5.4.   New sustainable business models

Cross-sectoral cooperation in concepts and methodologies for ‘knowledge-based’, specialised production can boost
  organisational learning,
  creativity and innovation with a focus on business models in customised approaches that can adapt to the requirements of globalised value chains and networks, changing markets, and emerging and future industries.
  This includes addressing sustainable business models by covering the whole lifecycle of the product and process.

1.6.   Space

In the field of space research, action at Union level will be carried out in conjunction with the space research activities of the Member States and European Space Agency (ESA), aiming at building up complementarity among different actors.

1.6.1.   
  Enabling
  European competitiveness, non-dependence and innovation
  of the European
  space
  sector

The objective is to maintain a globally leading role in space by safeguarding and
  further
  developing a
  cost-effective and
  competitive
  and innovative
  space industry
  (including SMEs)
  and research community and by fostering space-based innovation.

1.6.1.1.   Safeguard
  and further develop
  a competitive
  , sustainable and entrepreneurial
  space industry and research community
  and strenghten European non-dependance in space systems

Europe is playing a leading role in space research and in the development of space technologies, and
  is continually developing
  its own
  operational
  space infrastructures (e.g. Galileo,
  Copernicus
  ). In fact, European industry has established itself as an exporter of first class satellites
  and other space related technologies
  . Nevertheless, ▌this position
  is challenged by
  competition from
  other
  major space powers ▌. The
  objective of this measure is the
  development of a research-base by providing continuity in space research
  and innovation
  programmes, for example by a sequence of smaller and more frequent in-space demonstration projects. This will allow Europe to develop its industrial base and space RTD community, thereby contributing to
  advancing beyond the current state of the art and to
  its non-dependence from imports of critical technologies.

Standardisation should be supported in order to optimise the investments and develop access to market.

1.6.1.2.   Boost innovation between space and non-space sectors

A number of challenges in space technologies have parallels to terrestrial challenges, for example in the fields of
  aeronautics,
  energy,
  environment,
  telecommunications
  and ICTs
  , natural resource exploration,
  sensors
  , robotics,
  advanced materials
  , security and health. These commonalities offer opportunities for early co-development, in particular by SMEs, of technologies across space and non-space communities
  including non-space industries
  , potentially resulting in breakthrough innovations more rapidly than achieved in spin-offs at a later stage. Exploitation of existing European space infrastructure should be stimulated by promoting
  the
  development of innovative products and services based on remote sensing, geo-positioning
  or other types of satellite enabled data
  . Europe should furthermore reinforce the incipient development of an entrepreneurial space sector
  , where appropriate,
  by well targeted measures
  , including support for space technology transfer initiatives
  .

1.6.2.   Enabling advances in space technologies

The objective is to
  develop advanced and enabling space technologies and operational concepts from idea to demonstration in space
  .

The ability to access space and to
  develop
  , maintain and operate ▌space systems in Earth orbit and beyond, are vital to the future of European society. The necessary capabilities require r
  esearch and innovation
  investments in a multitude of space technologies (e.g.
  for
  launchers
  and other vehicles
  , satellites, robotics, instruments and sensors), and in operational concepts from idea to demonstration in space. Europe is currently one of the three leading space powers
  mainly driven by investments by Member States through ESA and national programmes
  , but compared to the level of investment in space R&D in the United States of America (e.g. about 20 % of the total NASA budget), the European
  focus
  in future space technologies ▌and
  applications
  needs to be strengthened along the entire chain:

| (a) | low technology readiness level (TRL)
  research, often relying heavily on key enabling technologies, with the potential of generating breakthrough technologies with terrestrial applications; |
| --- | --- |

(a)

low technology readiness level (TRL)
  research, often relying heavily on key enabling technologies, with the potential of generating breakthrough technologies with terrestrial applications;

| (b) | improvement of existing technologies, e.g. through miniaturisation, higher energy efficiency, and higher sensor sensitivity; |
| --- | --- |

(b)

improvement of existing technologies, e.g. through miniaturisation, higher energy efficiency, and higher sensor sensitivity;

| (c) | demonstration and validation of new technologies and concepts in the space and terrestrial analogue environments; |
| --- | --- |

(c)

demonstration and validation of new technologies and concepts in the space and terrestrial analogue environments;

| (d) | mission context, e.g. analysis of the space environment, ground stations, protecting space systems
  and infrastructure against damage or destruction
  from collision with debris
  or other space objects, as well as the
  effects of
  space weather events including
  solar flares (Space Situational Awareness, SSA), fostering innovative data
  gathering and transmission
  and sample archiving infrastructure; |
| --- | --- |

(d)

mission context, e.g. analysis of the space environment, ground stations, protecting space systems
  and infrastructure against damage or destruction
  from collision with debris
  or other space objects, as well as the
  effects of
  space weather events including
  solar flares (Space Situational Awareness, SSA), fostering innovative data
  gathering and transmission
  and sample archiving infrastructure;

| (e) | Satellite communication, advanced
  navigation and remote sensing technologies, covering the research essential for future generations of Union space systems (e.g. Galileo and
  Copernicus
  ). |
| --- | --- |

(e)

Satellite communication, advanced
  navigation and remote sensing technologies, covering the research essential for future generations of Union space systems (e.g. Galileo and
  Copernicus
  ).

1.6.3.   Enabling exploitation of space data

The objective is to ensure more extensive utilisation of space data from existing
  , archived
  and future European missions in the scientific, public and commercial domain.

Space systems produce information which often cannot be acquired in any other way. Despite world class European missions, publication figures show that data from European missions are not as likely to be used as data from US missions. A considerably increased exploitation of data
  from European satellites (scientific, public or commercial) can
  be achieved if
  further
  effort
  is
  made
  for
  the processing,
  archiving,
  validation, standardisation
  and sustainable availability
  of space data from European missions
  as well as to support the development of new information products and services resulting from those data and, where appropriate, in combination with data from ground based observations
  . Innovations in data acquisition and processing, data fusion, and data dissemination
  and interoperability, in particular promotion of access to and exchange of earth science data and metadata,
  utilising also innovative ICT enabled forms of collaboration, can ensure a higher return on investment of space infrastructure
  and contribute to tackling societal challenges
  . Calibration and validation of space data (for individual instruments, between instruments and missions, and with respect to in-situ objects) are key to efficient use of space data in all domains
  and there is a need to enhance
  the standardisation of space-derived data and reference frames. Data access and exploitation of space missions is a matter that requires global coordination. For Earth observation data, harmonised approaches and best practices are partly achieved in coordination with the intergovernmental organization Group on Earth Observation
  (GEO)
  , aiming to sustain a Global Earth Observation System of Systems
  (GEOSS)
  , in which the Union participates,
  namely by fully exploting the Copernicus programme. A fast introduction of these innovations into the relevant application and decision-making processes will be supported. This includes as well the exploitation of data for further scientific investigation.

1.6.4.   Enabling European research in support of international space partnerships

The objective is to support the European research and innovation contribution to long term international space partnerships.

Although space information provides great local benefits, space undertakings have a fundamentally global character. This is particularly clear for the cosmic threat to Earth and space systems. The loss of satellites due to space weather and space debris is estimated to
  cost around
  EUR 100 million per annum. Equally global are
  many
  space science and exploration
  projects
  . The development of cutting edge space technology is increasingly taking place within such international
  partnerships
  , making access to such international projects an important success factor for European researchers and industry. The Union contribution to such global space endeavours needs to be defined in long-term strategic roadmaps (10 years and more), aligning with the Union's space policy priorities, and in coordination with
  Member States and
  internal European partners, such
  as
  ESA
  and National Space Agencies and when relevant
  with international partners ▌and with the space agencies of space-faring nations ▌.

1.6.5.   Specific implementation aspects

The implementation priorities of space research and innovation under Horizon 2020 are in line with the Union's space policy priorities as defined by the Space Council and the Communication Towards a space strategy for the European Union that benefits its citizens. The implementation will
  , where appropriate,
  be
  based on strategic research agendas
  developed in consultation with
  Member States and National Space Agencies, ESA,
  stakeholders from European space industry
  (including
  SMEs), academia, ▌technology institutes
  and
  the Space Advisory Group ▌. As regards the participation in international undertakings, the research and innovation agenda will be defined in collaboration with
  European stakeholders and
  international partners (e.g. NASA, ROSCOSMOS, JAXA).

The application of space technologies shall be supported through the respective Societal Challenges, where appropriate.

2.   ACCESS TO RISK FINANCE

Horizon 2020 will set up two facilities (the ‘Equity facility’ and the ‘Debt facility’), composed of various windows. The Equity facility and the SME window of the Debt facility will be implemented
  in interdependence with COSME,
  as part of two EU Financial Instruments that provide equity and debt to support SMEs' R&I and growth.

The Equity facility and the Debt facility may, where appropriate, allow pooling of financial resources with Member States
  or regions
  willing to contribute part of the
  European
  Structural
  and Investment
  Funds allocated to them, in accordance with Article
  33
  (1)(a) of the
  European
  Structural
  and Investment
  Funds Council Regulation.

Instead of providing loans, guarantees or equity, etc. directly to final beneficiaries, the Commission will delegate financial institutions to provide support via, in particular, risk-sharing, guarantee schemes and equity and quasi-equity investments.

2.1.   Debt facility

The Debt facility will provide loans to single beneficiaries for investment in R&I;
  (counter)
  guarantees to financial intermediaries making loans to beneficiaries; combinations of loans and
  (counter)
  guarantees; and guarantees and/or counter-guarantees for national or regional debt-financing schemes. The Debt facility will undertake maturity enhancement activities, and it will support the dedicated SME Instrument
  , subject to the level of demand
  (see Part II, section ▌3. ‘Innovation in SMEs’ of this Annex). Provisions from the debt facility may be combined, with the possible addition of grants (including lump sums), with provisions from the equity financial instrument in one or more integrated schemes. Soft loans, convertible loans
  , subordinated loans, participating loans, leasing loans and securitisation
  may also be possible.

As well as providing loans and guarantees on a market-driven, first-come, first-served basis, the debt facility will target, under a series of compartments, particular policies and sectors. Ring-fenced budgetary contributions for this purpose may
  , where appropriate,
  come from:

| (a) | Other parts of Horizon 2020, notably Part III ‘Societal challenges’; |
| --- | --- |

(a)

Other parts of Horizon 2020, notably Part III ‘Societal challenges’;

| (b) | Other frameworks, programmes and budget lines in the Union budget; |
| --- | --- |

(b)

Other frameworks, programmes and budget lines in the Union budget;

| (c) | Particular regions and Member States that wish to contribute with resources available from the Cohesion Policy funds; |
| --- | --- |

(c)

Particular regions and Member States that wish to contribute with resources available from the Cohesion Policy funds;

| (d) | Specific entities (such as ▌Joint Technology Initiatives) or initiatives. |
| --- | --- |

(d)

Specific entities (such as ▌Joint Technology Initiatives) or initiatives.

Such budgetary contributions may be made or topped up at any time during the course of Horizon 2020.

Risk-sharing and other parameters may vary within policy or sector compartments, provided their values or states comply with the common rules for debt instruments. Furthermore, compartments may have specific communications strategies within the overall promotional campaign for the Debt facility. In addition, specialist intermediaries at national level may be used if specific expertise is needed to assess prospective loans in the domain of a particular compartment.

The SME window under the Debt facility shall target R&I-driven SMEs and small mid-caps with loan amounts exceeding EUR 150 000, thus complementing finance to SMEs by the Loan Guarantee Facility under the Programme for the Competitiveness of Enterprises and SMEs.
  The SME window of the Debt Facility shall also cover loans below EUR 150 000 for R&I-driven SMEs and small mid-caps.

The leverage of the Debt facility — defined as the total funding (i.e. Union funding plus contribution from other financial institutions) divided by the Union financial contribution — is expected to range from an average 1,5 to 6,5, depending on the type of operations involved (level of risk, target beneficiaries, and the particular debt financial instrument facility concerned). The multiplier effect — defined as the total of investments made by supported beneficiaries divided by the Union financial contribution — is expected to be 5 to 20, again depending on the type of operations involved.

2.2.   Equity facility

The Equity facility will focus on early-stage venture capital funds
  and public and private funds-of-funds
  providing venture capital and/or mezzanine capital to individual portfolio enterprises. These enterprises may, in addition, seek debt financing from financial intermediaries implementing the Debt facility.
  Furthermore, the Equity facility will also explore possibilities to support business angels and other potential sources of equity finance. This could also include support at the phase 3 stage of the SME instrument subject to the level of demand, as well as to technology transfer (including the transfer of research results and inventions stemming from the sphere of public research to the productive sector, for example through proof-of-concept).

The facility will also have the possibility to make expansion and growth-stage investments in conjunction with the Equity Facility for Growth (EFG) under the Programme for the Competitiveness of Enterprises and SMEs (this includes investments in funds-of-funds with a broad investor base and includes private institutional and strategic investors as well as national public and semi-public financial institutions). In the latter case, the investment from the Equity Facility of Horizon 2020 shall not exceed 20 % of the total EU investment except in cases of multi-stage funds, where funding from EFG and the equity facility for RDI will be provided on a pro rata basis, based on the funds' investment policy. Like the EFG, the Equity Facility shall avoid buy-out or replacement capital intended for the dismantling of an acquired enterprise. The Commission may decide to amend the 20 % threshold in light of changing market conditions.

The EU Equity Financial Instrument for SMEs' R&I and Growth referred to in the first paragraph of Section 2 should be of an appropriate size and scale to back innovative companies from the earliest stage through to growth and expansion, in an integrated approach.

Investment parameters will be set in such a way that specific policy objectives, including the targeting of particular groups of potential beneficiaries, can be achieved while still preserving the market-oriented, demand-driven approach of this instrument.

The Equity facility may be supported by budgetary contributions from other parts of Horizon 2020; other frameworks, programmes and budget lines in the Union budget; particular regions and Member States; and specific entities or initiatives.

The leverage of the Equity facility — defined as the total funding (i.e., Union funding plus contribution from other financial institutions) divided by the Union financial contribution — is expected to be around 6, depending on market specificities, with an expected multiplier effect — defined as the total of investments made by supported beneficiaries divided by the Union financial contribution — of, on average, 18.

2.3.   Specific implementation aspects

The implementation of the two facilities will be delegated to the European Investment Bank Group (EIB, EIF) and/or to other financial institutions that may be entrusted with the implementation of financial instruments in compliance with the Financial Regulation. Their design and implementation will be aligned with the general provisions for financial instruments set out in the Financial Regulation and with more specific operational requirements to be set out in Commission guidance.
  The use of financial instruments must have a clear European added-value and should provide leverage and function as a complement to national instruments.

Financial intermediaries, selected by entrusted entities for the implementation of financial instruments pursuant to Article 139(4) of 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

   (7)

  on the basis of open, transparent, proportionate and non-discriminatory procedures, may include private financial institutions as well as governmental and semi-governmental financial institutions, national and regional public banks as well as national and regional investment banks.

Their elements may be combined, with the possible addition of grants (including lump sums), in one or more integrated schemes supporting particular categories of beneficiary or special-purpose project, such as SMEs and mid-caps with growth potential, or the large-scale demonstration of innovative technologies.

Their implementation will be supported by a set of accompanying measures. These may include, amongst other measures, technical assistance for financial intermediaries involved in assessing the eligibility of loan applications or the value of knowledge assets; investment-readiness schemes covering incubating, coaching and mentoring SMEs and fostering their interaction with potential investors; measures to raise the awareness of venture capital firms and business angels about the growth potential of innovative SMEs involved in Union funding programmes; schemes to attract private investors to support the growth of innovative SMEs and mid-caps;
  actions to improve cross-border and multi-country debt and equity financing;
  schemes for encouraging philanthropic foundations and individuals to support R&I; and schemes to foster corporate venturing and encourage the activities of family offices and business angels.

Bodies such as regional authorities, SMEs associations, chambers of commerce and relevant financial intermediaries, may be consulted, as appropriate, in relation to the preparation and implementation of these activities.

Complementarity will be ensured with the facilities of the Programme for the Competitiveness of Enterprises and SMEs
  (COSME)
  .

3.   INNOVATION IN SMES

3.1.   Mainstreaming SME support
  , especially through a dedicated instrument

SMEs will be supported across Horizon 2020. For this purpose
  , to participate in Horizon 2020, better conditions for SMEs shall be established. In addition,
  a dedicated SME instrument is targeted at all types of innovative SMEs showing a strong ambition to develop, grow and internationalise. It will be provided for all types of innovation, including non-technological
  , social
  and service innovations
  , given each activity has a clear European added-value
  . The objective is to help filling the gap in funding for early stage high risk research and innovation, stimulate break-through innovations and increase private-sector commercialisation of research results.

All of the societal challenges and the enabling and industrial technologies shall apply the dedicated SME instrument and allocate an
  appropriate
  amount to it
  , to reach the minimum goal of 20 % of total combined budgets for all specific objectives on societal challenges and the specific objective ‘Leadership in enabling and industrial technologies’ being devoted to SMEs
  .

Only SMEs will be allowed to apply for funding and support. They can form collaborations according to their needs, including for subcontracting research and development work. Projects must be of clear interest and potential benefit to SMEs and have a
  clear
  European dimension.

The SME instrument will cover all fields of science, technology and innovation in a bottom-up approach within a given societal challenge or enabling technology so as to leave sufficient room for all kinds of promising ideas, notably cross-sector and inter-disciplinary projects, to be funded.

The SME instrument will provide simplified and staged support. Its three phases will cover the whole innovation cycle. Transition from one phase to the next will be seamless provided the SME project has proven to be worth further funding during a previous phase.
  There is no obligation for applicants to sequentially cover all three phases.
  At the same time each phase will be open to all SMEs:

| — | Phase 1: Concept and feasibility assessment:
  SMEs will receive funding to explore the scientific or technical feasibility and the commercial potential of a new idea (proof of concept) in order to develop an innovation project. A positive outcome of this assessment
  , in which the linkage between project-topic and potential user/buyer needs is an important issue,
  will allow for funding under the following phase(s). |
| --- | --- |

—

Phase 1: Concept and feasibility assessment:

SMEs will receive funding to explore the scientific or technical feasibility and the commercial potential of a new idea (proof of concept) in order to develop an innovation project. A positive outcome of this assessment
  , in which the linkage between project-topic and potential user/buyer needs is an important issue,
  will allow for funding under the following phase(s).

| — | Phase 2: R&D, demonstration, market replication:


  With due attention to the innovation voucher concept,
  research and development will be supported with a particular focus on demonstration activities (testing, prototype, scale-up studies, design, piloting innovative processes, products and services,
  validation,
  performance verification etc.) and market replication
  encouraging the involvement of end users or potential clients.


  Innovation Vouchers will promote the participation of young entrepreneurs. |
| --- | --- |

—

Phase 2: R&D, demonstration, market replication:

With due attention to the innovation voucher concept,
  research and development will be supported with a particular focus on demonstration activities (testing, prototype, scale-up studies, design, piloting innovative processes, products and services,
  validation,
  performance verification etc.) and market replication
  encouraging the involvement of end users or potential clients.


  Innovation Vouchers will promote the participation of young entrepreneurs.

| — | Phase 3: Commercialisation:
  This phase will not provide direct funding other than support activities, but aims to facilitate access to private capital and innovation enabling environments. Links to the financial instruments (see Part II, section 2 ‘Access to Risk Finance’ of this Annex) are foreseen, for example by giving SMEs that have successfully completed phases 1 and/or 2 priority within a ring-fenced volume of financial resources. SMEs will also benefit from support measures like networking, training, coaching and advice. In addition, this part may connect to measures promoting pre-commercial procurement and procurement of innovative solutions. |
| --- | --- |

—

Phase 3: Commercialisation:

This phase will not provide direct funding other than support activities, but aims to facilitate access to private capital and innovation enabling environments. Links to the financial instruments (see Part II, section 2 ‘Access to Risk Finance’ of this Annex) are foreseen, for example by giving SMEs that have successfully completed phases 1 and/or 2 priority within a ring-fenced volume of financial resources. SMEs will also benefit from support measures like networking, training, coaching and advice. In addition, this part may connect to measures promoting pre-commercial procurement and procurement of innovative solutions.

Uniform promotion, implementation and monitoring of the SME instrument across Horizon 2020 will ensure easy access for SMEs. Relying on existing SME support networks,

  such as the Europe Enterprise Network and other innovation service providers,
  a mentoring scheme for the beneficiary SMEs shall be established to accelerate impact from the support provided.
  In addition, links will be explored with relevant national and/or regional intermediaries to ensure an efficient implementation of the mentoring scheme.

A dedicated body of stakeholders and experts in SME research and innovation will be set up with view to promoting and accompanying the specific SME measures of Horizon 2020.

3.2.   Specific support

3.2.1.   Support for research intensive SMEs

A specific action will promote
  transnational
  market-oriented innovation of R&D performing SMEs. It targets research intensive SMEs in
  any
  sectors that also need to demonstrate their capability to commercially exploit the project results.

The action will cover the entire field of science and technology with a bottom-up approach to fit the
  need
  of R&D performing SMEs.

The action will be implemented by an Article 185 TFEU initiative building on the Eurostars Joint Programme and reorienting it along the lines stated in its interim evaluation.

3.2.2.   Enhancing the innovation capacity of SMEs

Transnational activities
  assisting the implementation and complementing the SME specific measures across Horizon 2020 will be supported, notably to enhance the innovation capacity of SMEs. Activities may include awareness raising, information and dissemination, training and mobility activities, networking and exchange of best practices, developing high quality innovation support mechanisms and services with strong Union added value for SMEs (e.g. intellectual property and innovation management, knowledge transfer, innovative use of ICT and e-skills in SMEs), as well as assisting SMEs to connect to research and innovation partners across the Union, allowing them to spin in technology and develop their innovation capacity. Intermediary organisations representing groups of innovative SMEs shall be invited to conduct cross-sectoral and cross-regional innovation activities with SMEs having mutually reinforcing competences, in order to develop new industrial value chains.

These activities shall be coordinated with similar national measures when appropriate. Close cooperation with the National Contact Point (NCP) Network is envisaged.
  Synergies with Union cohesion policy will be sought in the context of national and regional innovation strategies for smart specialisation.

A reinforced link with the Enterprise Europe Network (under the Programme for the Competitiveness of Enterprises and SMEs) is envisaged
  ensuring its coordination with the National Contact Points
  . The support could range from improved information and advisory services through mentoring, coaching and partner search activities for SMEs wishing to develop cross-border innovation projects, to providing innovation support services. This will consolidate the ‘one stop shop’ approach of the Enterprise Europe Network to supporting SMEs, together with a strong regional and local presence of the network.

3.2.3.   Supporting market-driven innovation

This will support
  transnational
  market-driven innovation in view of enhancing the innovation capacity of
  SMEs
  by improving the framework conditions for innovation as well as tackling the specific barriers preventing the growth of innovative ▌SMEs ▌with potential for fast growth. Specialised innovation support (on e.g. IP exploitation, networks of procurers, support to technology transfer offices, strategic design) and reviews of public policies in relation to innovation will be supported.

PART III

SOCIETAL CHALLENGES

1.   HEALTH, DEMOGRAPHIC CHANGE AND WELLBEING

Effective health promotion, supported by a robust evidence base, prevents disease
  , contributes to wellbeing and to contain costs. Promotion of health, active ageing,
  wellbeing and ▌disease prevention also depend on an understanding of the determinants of health, on effective preventive tools, such as vaccines, on effective health and disease surveillance and preparedness, and on effective screening programmes.

Successful efforts to prevent,
  early detect,
  manage, treat and cure disease, disability
  , frailty
  and reduced functionality are underpinned by the fundamental understanding of their causes, processes and impacts, as well as factors underlying good health and wellbeing.
  Improved understanding of health and disease will demand close linkage between fundamental, clinical, epidemiological and socio-economic research.
  Effective sharing of data and the linkage of these data with real-world large scale cohort studies is also essential, as is the translation of research findings into the clinic, in particular through the conduct of clinical trials.

It is a societal challenge to adjust to
  the ▌further demands on health and care sectors
  due to the ageing population
  . If effective health and care is to be maintained for all ages, efforts are required to improve
  and speed up
  decision making in prevention and treatment provision, to identify and support the dissemination of best practice in the healthcare sector,
  to raise awareness
  and to support integrated care.
  A better understanding of ageing processes
  and the
  prevention of age-related illnesses are the basis for keeping European citizens healthy and active throughout the course of their lives. Similarly important is the wide
  uptake of technological, organisational and social innovations empowering older persons
  , persons with chronic diseases as well as disabled persons,
  to remain active and independent. Doing so will contribute to increasing, and lengthening the duration of their physical, social, and mental well-being.

The programme should address in the relevant activities chronic conditions and diseases including but not limited to: cardiovascular disease (CVD), cancer, metabolic diseases and risk factors including diabetes, chronic pain, neurological, neurodegenerative, mental health and substance use disorders, rare diseases, overweight and obesity, autoimmune diseases, rheumatic and musculo-skeletal disorders and various diseases affecting different organs as well as acute conditions and various functional limitations. Likewise infectious diseases including but not limited to HIV/AIDS, tuberculosis and malaria, neglected and poverty related diseases and animal-borne diseases, emerging epidemics as well as the threat of increasing anti-microbial resistance and occupational diseases and work related disorders should be addressed.

Personalised medicine should be developed in order to suit preventive and therapeutic approaches to patient requirements, and must be underpinned by the early detection of disease.

All of these activities will be undertaken in such a way as to provide support throughout the research and innovation cycle, strengthening the competitiveness of the European based industries and development of new market opportunities.
  Support will be given to translational approaches that integrate several steps of the innovation process in the health care industry.

Specific activities are described below.

1.1.   
  Understanding health, wellbeing and disease

1.1.1.
     Understanding the determinants of health, improving health promotion and disease prevention

A better understanding of the determinants of health is required in order to provide evidence for effective health promotion and disease prevention, and will also allow the development of comprehensive health and wellbeing indicators in the Union
  based on existing data sources and indicator systems
  . Environmental, behavioural (including life-style),
  psychological, organisational, cultural,
  socio-economic
  , biological
  and genetic factors, in their broadest senses will be studied. Approaches will include the long term study of cohorts and their linkage with data derived from ‘-omics’ research
  , systems bio-medicine including relevant applications of systems biology
  and other methods.

In particular, a better understanding of the environment as a determinant of health will require
  an inter-disciplinary approach integrating amongst others, human-relevant
  molecular biological, epidemiological and toxicological approaches
  and resultant data to study the
  modes of action of
  various
  chemicals, combined exposures to
  pollutants
  and other environmental and climate related stressors
  ; to perform
  integrated toxicological testing
  and to seek
  alternatives to animal testing. Innovative approaches to exposure assessment are needed using new-generation biomarkers based on ‘omics’ and epigenetics, human biomonitoring, personal exposure assessments and modelling to understand combined, cumulative and emerging exposures, integrating socio-economic
  , cultural, occupational, psychological
  and behavioural factors. Improved links with environmental data using advanced information systems will be supported.

In this way, existing and planned policies and programmes can be assessed and policy support provided. Similarly, improved behavioural interventions, prevention and education programmes can be developed including those pertaining to health literacy in nutrition,
  physical activity,
  vaccination and other primary care interventions.

1.1.2.
     Understanding disease

There is a need for an improved understanding of health and disease,
  throughout the human life cycle
  , so that new and better prevention measures, diagnosis, treatments
  and rehabilitation measures
  can be developed. Interdisciplinary,
  basic and
  translational research on the patho-physiology of disease is essential to improve the understanding of all aspects of disease processes, including a re-classification of normal variation and disease based on molecular data, and to validate and use research results in clinical applications.

Underpinning research will encompass and encourage development and use of new tools and approaches for the generation of biomedical data and include
  bio-imaging,
  ‘-omics’, high throughput and systems medicine approaches. These activities will demand close linkage between fundamental and clinical research and with long term cohort studies (and the corresponding research domains) as described above. Close links with research and medical infrastructures (databases, bio-banks etc.) will also be required, for standardisation, storage, sharing and access to data, which are all essential for maximising data utility and for stimulating more innovative and effective ways of analysing and combining datasets.

1.1.3.
     
  Improving surveillance and preparedness

Human populations are under threat from new and emerging infections, including of zoonotic origin, as well as those which result from drug resistance to existing pathogens and from other direct and indirect consequences of climate change and from the international movement of people. New or improved methods for surveillance, diagnosis, early warning networks, health service organisation and preparedness campaigns are needed for the modelling of epidemics, for effective pandemic response as are efforts to maintain and enhance capabilities to combat drug resistant infectious disease.

1.2.
     
  Preventing disease

1.2.1.
     
  Developing effective prevention and screening programmes and improving the assessment of disease susceptibility

The development of prevention and screening programmes depends on the identification of early biomarkers (including functional and behavioural) of risk and of disease onset, and their design should be informed by internationally accepted criteria. Their deployment depends on the testing and validation of screening methods and programmes. Knowledge should be generated and methods developed for identifying individuals and populations at a clinically relevant increased risk of disease. Identifying individuals and populations at high-risk of disease will allow personalised, stratified and collective strategies for efficacious and cost effective disease prevention to be developed.

1.2.2.
     Improving diagnosis
  and prognosis

An improved understanding of health, disease and disease processes
  throughout the life cycle
  is needed to develop new and more effective diagnostics
  and theranostics
  . Innovative and existing
  methods
  , technologies
  and tools
  will be developed with the goal of significantly improving disease outcomes through earlier, more accurate diagnosis and
  prognosis and
  by allowing for
  accessible,
  more patient-adapted, treatment.

1.2.3.
     
  Developing better preventive and therapeutic vaccines

There is a need for more effective preventive and therapeutic interventions and vaccines and evidence-based vaccination schemes for an expanded range of diseases, including poverty-related diseases such as HIV/AIDS, tuberculosis, malaria and neglected infectious diseases and also for other major diseases. This relies on a better understanding of disease and disease processes and their consequent epidemics, and that clinical trials and associated studies are undertaken.

1.3.
     Treating
  and managing
  disease

1.3.1.
     
  Treating disease, including developing regenerative medicine

There is a need to support the improvement of cross-cutting support technologies for drugs,
  biotherapies,
  vaccines and other therapeutic approaches, including transplantation,
  surgery,
  gene and cell therapy
  and nuclear medicine
  ; to increase success in the drug and vaccine development process (including alternative methods to replace classical safety and effectiveness testing e.g. the development of new methods); to develop regenerative medicine approaches, including approaches based on stem cells; to develop
  new biopharmaceuticals, including therapeutic vaccines; to develop
  improved medical and assistive devices and systems;
  to improve palliative therapies; to
  maintain and enhance our ability to combat ▌diseases and undertake medical interventions that depend on the availability of effective
  and safe
  antimicrobial drugs; and to develop comprehensive approaches to treat co-morbidities at all ages and avoid poly-pharmacy. These improvements will facilitate the development of new, more efficient, effective, sustainable
  and personalised
  treatments for disease and for the management of disability
  and frailty, including advanced therapies and cellular therapies for the treatment of chronic diseases
  .

1.3.2.
     Transferring knowledge to clinical practice and scalable innovation actions

Clinical trials are
  an important
  means to transfer biomedical knowledge to application in patients and support for these will be provided, as well as for the improvement of their practice. Examples include the development of better methodologies to allow trials to focus on relevant population groups, including those suffering from other concomitant diseases and/or already undergoing treatment, the determination of comparative effectiveness of interventions and solutions, as well as enhancing the use of databases and electronic health records as data sources for trials and knowledge transfer.
  Pre-clinical and/or clinical development of designated orphan drugs will be supported.
  Similarly, support for the transfer of other types of interventions such as those related to independent living into real world environments will be provided.

▌

1.4.
     
  Active ageing and self-management of health

1.4.1.
     Active ageing, independent and assisted living

Multidisciplinary advanced and applied research and innovation with
  socioeconomic,
  behavioural, gerontological, digital and other sciences is needed for cost effective user-friendly solutions for active, independent and assisted daily living (in the home, the workplace
  , public spaces,
  etc.) for the ageing population and people with disabilities
  taking into account gender differences
  . This applies in a variety of settings and for technologies and systems and services enhancing quality of life and human functionality including mobility, smart personalised assistive technologies, service and social robotics, and ambient assistive environments. Research and innovation pilots to assess implementation and wide uptake of solutions will be supported.
  Involvement of end-users, user communities and formal/informal carers will be emphasised.

1.4.2.
     Individual
  awareness and
  empowerment for self-management of health

Empowering individuals to improve and manage their health throughout life will result in
  more cost-effective
  healthcare systems by enabling the management of chronic disease outside institutions and improve health outcomes. This requires research into
  socio-economic factors and cultural values,
  behavioural and social models, ▌attitudes and aspirations in relation to personalised health technologies, mobile and/or portable tools, new diagnostics
  , sensors and devices for monitoring
  and personalised services
  including but not limited to nanomedicine-based tools
  which promote a healthy lifestyle, wellbeing,
  mental health,
  self-care, improved citizen/healthcare professional interaction, personalised programmes for disease and disability management
  to, inter alia, enhance patients' autonomy
  , as well as support for knowledge infrastructures.
  Solutions will be developed and tested with the use of open innovation platforms such as large scale demonstrators for social and service innovation.

1.5.
     
  Methods and data

1.5.1.
     
  Improving health information and better use of health data

The integration of infrastructures and information structures and sources (including those derived from cohort studies, protocols, data collections, indicators, health examination surveys, etc.) as well as the standardisation, interoperability, storage, sharing of and access to data, will be supported to enable such data to be sustainable in the long-term and properly exploited. Attention should be given to data processing, knowledge management, modelling, visualisation, ICT-security and privacy related issues. In particular, availability of information and data on negative results and adverse effects of treatment need to be improved.

1.5.2.
     
  Improving scientific tools and methods to support policy making and regulatory needs

There is a need to support research, development, integration and use of scientific tools, methods and statistics for rapid, accurate and predictive assessment of the safety, efficacy and quality of health interventions and technologies including new drugs, biologics, advanced therapies and medical devices. This is particularly relevant for new developments in domains including those concerning biopharmaceuticals, vaccines, antimicrobials, cell/tissue and gene therapies, organs and transplantation, specialist manufacturing, bio banks, new medical devices, combination products, diagnostic/treatment procedures, genetic testing, interoperability and e-health, including privacy aspects. Similarly, support for improved risk assessment methodologies, compliance frameworks, testing approaches and strategies relating to environment and health are required. There is also a need to support the development of relevant methods for assisting the assessment of ethical aspects of the above domains.

1.5.3.
     
  Using in-silico medicine for improving disease management and prediction

Computer simulation-based medical systems using patient specific data and building on systems medicine approaches and physiological modelling can be used to predict susceptibility to disease, disease evolution and the likely success of medical treatments. Model based simulation can be used to support clinical trials, predictability of treatment response, and the personalisation and optimisation of treatment.

1.6.
     
  Health care provision and integrated care

1.6.1.
     Promoting integrated care

Supporting the management of chronic disease
  , including patients with disabilities,
  outside institutions also depends on improved cooperation between the providers of health and social or informal care. Research and innovative applications will be supported for decision making based on distributed information
  addressing both physical and mental health, including psychosocial aspects,
  and for providing evidence for large scale deployments and market exploitation of novel solutions, including interoperable tele-health and tele-care services.
  Particularly in the context of demographic change, research
  and innovation to improve the organisation of long-term care delivery
  as well as policy and management innovation
  will also be supported.
  Implementing new and integrated care solutions shall aim at personal empowerment and enhancement of existing capabilities as well as concentrate on compensation of deficits.

1.6.2
  .   Optimising the efficiency and effectiveness of healthcare
  provision
  and reducing inequalities
  by
  evidence based decision making and dissemination of best practice, and innovative technologies and approaches

There is a need to support the development of
  a systemic approach
  to health technology assessment and health economics, as well as the ▌gathering
  of
  evidence and dissemination of best practice and innovative technologies and approaches in the healthcare sector, including ICT and e-health applications. Comparative analyses of the reform of public health systems in Europe and in third countries and assessments of their mid to long-term economic and social impacts will be supported. Analyses of future health workforce needs both in terms of numbers and required skills in relation to new patterns of care will be supported. Research on the evolution of health inequalities, of their interplay with other economic and social inequalities and on the effectiveness of policies aiming to reduce them in Europe and beyond will be supported. Finally, there is a need to support the assessment of patient safety solutions and quality assurance systems, including the role of patients on safety and quality of care.

1.7.
     Specific implementation aspects

Implementation of the programme will include support for knowledge and technology transfer and other forms of dissemination, for large-scale piloting and demonstration actions, and for standardisation. In this way, market deployment of products and services will be accelerated, and scalable solutions for Europe and beyond will be validated. Such actions will not only support European industrial competitiveness and the involvement of innovative SMEs but will require the active involvement of all stakeholders. Synergies with other relevant programmes and activities, both public and private at Union, national and international levels will be sought. In particular, synergies with activities developed in the context of the Health for Growth Programme will be sought.

The Scientific Panel for Health will be a science-led stakeholder platform which elaborates scientific input concerning this Societal Challenge. It will provide a coherent scientific focused analysis of research and innovation bottlenecks and opportunities related to this Societal Challenge, contribute to the definition of its research and innovation priorities, encourage EU-wide scientific participation in it. Through active cooperation with stakeholders, it will help to build capabilities and to foster knowledge sharing and stronger collaboration across the Union in this field.

Consideration may be given to support relevant Joint Programming Initiatives (JPIs) and relevant public-public and public-private partnerships.

Appropriate links with the actions of relevant European Innovation Partnerships and the relevant aspects of the research and innovation agendas of European Technology Platforms will also be established.

2.   FOOD SECURITY, SUSTAINABLE AGRICULTURE AND FORESTRY, MARINE AND MARITIME AND INLAND WATER RESEARCH AND THE BIOECONOMY

2.1.   Sustainable agriculture and forestry

Appropriate knowledge, tools, services and innovations are necessary to support more productive,
  environmentally-friendly
  resource-efficient and resilient agriculture and forestry systems that supply sufficient food, feed, biomass and other raw-materials and deliver ecosystems services while at the same time
  protecting biodiversity and
  supporting the development of thriving rural livelihoods. Research and innovation will provide options for integrating agronomic and environmental goals into sustainable production, thus: increasing productivity and resource efficiency
  , including water use efficiency,
  of agriculture
  ; increasing the safety of animal and plant production;
  reducing agricultural greenhouse gases (GHGs) emissions; reducing
  the production of waste; reducing
  leaching of nutrients
  and other chemical inputs
  from cultivated lands into terrestrial and aquatic environments; decreasing dependence from international plant derived protein imports to Europe; increasing the level of
  diversity
  in primary production systems
  as well as fostering the recovery of biological diversity
  .

2.1.1.   Increasing production efficiency and coping with climate change, while ensuring sustainability and resilience

Activities will enhance productivity as well as the adaptive capacity of plants, animals and production systems to cope with rapidly changing environmental/climatic conditions and increasingly scarce natural resources. The resulting innovations will help to move towards a low energy, low emission and low waste economy
  , and to reduced natural resources demand
  along the entire food and feed supply chain. In addition to contributing to food security, new opportunities will be created for the use of biomass and by-products from agriculture ▌ for a wide range of non-food applications.

Multi-disciplinary approaches will be sought to improve the performance of plants, animals, micro-organisms, while ensuring efficient resource use (water,
  land, soil,
  nutrients, energy
  and other inputs
  ) and the ecological integrity of rural areas. Emphasis will be placed on integrated and diverse production systems and agronomic practices, including the use of precision technologies and ecological intensification approaches to benefit both conventional and organic agriculture.
  Also urban greening will be promoted, with new forms of agriculture, horticulture and forestry in urban and peri-urban areas. These shall be considered by addressing new requirements for plant characteristics, cultivation methods, technologies, marketing and urban design, in relation with human health and well-being, environment and climate change.
  Genetic improvement of plants and animals for adaptation
  , health
  and productivity traits will call for all
  appropriate
  conventional and modern breeding approaches and for
  preservation and
  better use of genetic resources. Due attention will be given to ▌soil
  management for increasing the
  productivity
  of crops. Bearing in mind the overall objective of ensuring high quality and safe food production, plant and animal health will be promoted. Activities in the area of plant health and plant protection will increase knowledge and support the development of integrated environmentally-friendly pest management strategies, products and tools to prevent the introduction of pathogens, control pest and diseases and reduce yield losses at pre- and post-harvest levels. In the area of animal health, strategies
  for the eradication
  or effective management of
  diseases including zoonoses
  and
  research on antimicrobial resistance
  will be promoted. Integrated control of disease, parasites and pests will be strengthened, starting from a better understanding of host-pathogen interactions, to surveillance, diagnostics and treatments.
  Studying the effects of practices on animal welfare will help meet societal concerns. The above listed areas will be underpinned by more fundamental research to address relevant biological questions as well as to support the development and implementation of Union policies
  and supported by adequate assessment of their economic and market potential
  .

2.1.2.   Providing ecosystem services and public goods

Agriculture and forestry are unique systems delivering commercial products but also wider societal public goods (including cultural and recreational value) and important ecological services such as functional and in-situ biodiversity, pollination,
  water storage and
  regulation,
  soil functions,
  landscape, erosion reduction
  , resilience to flooding and droughts
  and carbon sequestration/GHG mitigation. Research activities
  will contribute to a better understanding of the complex interactions between primary production systems and ecosystems services and
  will support the provisions of these public goods and services, through the delivery of management solutions, decision-support tools and the assessment of their
  market and
  non-market value. Specific issues to be dealt with include the identification of
  rural and (peri-)urban
  farming/forest systems and landscape patterns likely to achieve these goals. Shifts in the active management of agricultural systems — including the use of technologies and change of practices — will increase GHG mitigation and the adaptive capacity of the agriculture sector to the adverse effects of climate change.

2.1.3.   Empowerment of rural areas, support to policies and rural innovation

Development opportunities for rural communities will be mobilised by strengthening their capacity for primary production and delivery of eco-systems services as well as by opening avenues for the production of new and diversified products (
  including
  food, feed, materials, energy), which meet the increasing demand for low-carbon short-chain delivery systems. Socio-economic research
  and science and society studies
  along with the development of new concepts and institutional innovations is needed to ensure cohesion of rural areas and prevent economic and social marginalisation, foster diversification of economic activities (including service sector), ensure appropriate relations between rural and urban areas, as well as facilitate knowledge exchange, demonstration, innovation and dissemination and foster participatory resource management. Also, there is a need to look at ways in which public goods in rural areas can be converted into local/regional socio-economic benefits. Innovation needs defined at regional and local levels will be complemented by cross-sectoral research actions at
  international,
  inter-regional and European levels. By providing the necessary analytical tools, indicators,
  integrated
  models and forward looking activities, research projects will support policy makers and other actors in the implementation, monitoring and assessment of relevant strategies, policies and legislation, not only for rural areas but for the whole bio-economy. Tools and data are also required to allow for proper assessment of potential trade-offs between various types of resource use (land, water
  , soil, nutrients, energy
  and other inputs) and bio-economy products. Socio-economic and comparative assessment of farming/forestry systems and their sustainability performance will be addressed.

2.1.4.
     
  Sustainable forestry

The aim is to sustainably produce bio-based products ecosystems, services (including water-related and climate-mitigation services) and sufficient biomass, with due consideration to economical, ecological and social aspects of forestry as well as to regional differences. Overall, activities in the forestry sector will seek to promote multi-functional forests which deliver a variety of ecological, economic, and social benefits. Activities will focus on the further development of sustainable forestry systems which can address societal challenges and demands, including forest owners' needs, by putting in place multifunctional approaches that reconcile the need for delivering smart, sustainable and inclusive growth taking into account climate change. These sustainable forestry systems are instrumental in the strengthening of forest resilience and biodiversity protection and the need to meet the increased biomass demand. This will need to be underpinned by research on tree health and on forest protection and restoration from fire.

2.2.   Sustainable and competitive agri-food sector for a safe and healthy diet

Consumer needs for safe, healthy
  , high quality
  and affordable food have to be addressed, while considering the impacts of food consumption behaviour and food and feed production on human health
  , the environment
  and the
  global
  ecosystem. Food and feed security and safety, the competitiveness of the European agri-food industry and the sustainability of food production, supply
  and consumption
  will be addressed, covering the whole food chain and related services, whether conventional or organic, from primary production to consumption. This approach will contribute to (a) achieving food safety and security for all Europeans and eradication of hunger in the world (b) decreasing the burden of food- and diet-related diseases by promoting the shift towards healthy and sustainable diets, via consumer education and innovations in
  agriculture and
  the food industry (c) reducing water and energy consumption in food processing, transport and distribution and (d) reducing food waste by 50 % by 2030
  and (e) achieving a broad diversity of healthy, high quality and safe food for all
  .

2.2.1.   Informed consumer choices

Consumer preferences, attitudes, needs, behaviour, lifestyle
  , education and the cultural component of food quality
  will be addressed, and communication between consumers and the food chain research community and its
  stakeholders
  will be enhanced in order to improve
  public understanding of food production generally and enable
  informed choice, sustainable
  and healthy consumption
  and their impacts on production, inclusive growth and quality of life, especially of vulnerable groups. Social innovation will respond to societal challenges, and innovative
  predictive
  models and methodologies in consumer science will deliver comparable data and lay the ground for responses to Union policy needs.

2.2.2.   Healthy and safe foods and diets for all

Nutritional needs
  , a balanced diet
  and the impact of food on physiological functions, physical and mental performance will be addressed as well as the links between diet,
  demographic trends (such as
  ageing
  ) and
  chronic diseases and disorders ▌. Dietary solutions and innovations leading to improvements in health and well-being will be identified. Chemical and microbial food and feed contamination, risks and exposures
  as well as allergens
  will be
  analysed,
  assessed, monitored, controlled and traced throughout the food
  , feed
  and drinking water supply chains from production and storage to processing, packaging, distribution, catering, and preparation at home. Food safety innovations, improved
  tools for risk and risk-benefit assessment and for
  risk communication ▌and improved food safety standards
  to be implemented throughout the food chain
  will lead to enhanced consumer trust and protection in Europe. Globally improved food safety standards will also help to strengthen the competitiveness of the European food industry.

2.2.3.   A sustainable and competitive agri-food industry

The needs for the food and feed industry to cope with social, environmental, climate and economic change from local to global will be addressed at all stages of the food and feed production chain, including food design, processing, packaging, process control, waste reduction, by-product valorisation and the safe use or disposal of animal by-products. Innovative and sustainable resource-efficient
  technologies and
  processes
  as well as
  diversified, safe,
  healthy,
  affordable and high quality products will be generated
  and underpinned with science-based evidence
  . This will strengthen the innovation potential of the European food supply chain, enhance its competitiveness, create economic growth and employment and allow the European food industry to adapt to changes. Other aspects to address are traceability, logistics and services, socio-economic
  and cultural
  factors,
  animal welfare and other ethical issues,
  the resilience of the food chain against environmental and climate risks, ▌the limitation of negative impacts of food chain activities and of changing diets and production systems on the environment.

2.3.   Unlocking the potential of aquatic living resources

One of the main features of living aquatic resources is that they are renewable and their sustainable exploitation relies on in depth understanding and a high degree of quality and productivity of the aquatic ecosystems. The overall objective is to
  manage
  aquatic living resources to maximise social and economic benefits/returns from Europe's oceans, seas
  and inland waters
  .

This includes the need to optimise the sustainable contribution of fisheries and aquaculture to food security in the context of the global economy and reduce the heavy Union's dependence on seafood imports (approximately 60 % of total European sea food consumption depends on import and the Union is the world's largest importer of fisheries products), and to boost marine
  and maritime innovation through
  biotechnologies to fuel
  smart
  ‘blue’ growth. In line with current policy frameworks,
  in particular the Integrated Maritime Policy and the Marine Strategy Framework Directive
  , research activities will underpin the ecosystem approach to the management and exploitation of natural resources,
  while enabling sustainable use of marine goods and services,
  and the ‘greening’ of the sectors involved. ▌

2.3.1.   Developing sustainable and environmentally-friendly fisheries

The new Common Fisheries Policy, the Marine Strategy Framework Directive and the Union's Biodiversity Strategy call for European fisheries to be more sustainable, competitive, and environmentally-friendly. The move towards an ecosystem approach to fisheries management will require an in depth understanding of marine ecosystems. New insights, tools and models will be developed to improve understanding of what makes marine ecosystems healthy and productive and to assess, evaluate and mitigate the impact of fisheries on marine ecosystems (including deep sea). New harvest strategies
  and technologies
  will be developed which provide services to society while maintaining healthy marine ecosystems. The socio-economic effects of management options will be measured. The effects and adaptation to environmental changes, including climate change, will also be investigated along with new
  assessment and
  management tools to deal with risk and uncertainty. Activities will support research on the biology, genetic and dynamics of fish populations, on the role of key species in the ecosystems, on fishing activities and their monitoring, on fishing sector behaviours and adaptation to new markets (e.g. eco-labelling) on fishing industry involvement in decision making. The shared use of maritime space with other activities,
  particularly
  in the coastal zone, and its socio-economic impact will also be addressed.

2.3.2.   Developing competitive
  and environmentally-friendly
  European aquaculture

Sustainable aquaculture
  has a large potential for the development of healthy, safe and competitive products tailored to consumer needs and preferences as well as for environmental services (bioremediation, land and water management, etc) and energy production but it needs to be fully realised in Europe. Knowledge and technologies will be strengthened in all aspects of domestication of established species and diversification for new species while taking into account the interactions between aquaculture and the aquatic ecosystems
  in order to reduce its impact on the environment
  , and the effects of climate change and how the sector can adapt to them.
  Continuation of research efforts is particularly needed on health and diseases of farmed aquatic organisms (including prevention and mitigation tools and methods), on nutrition issues (including development of alternative tailor-made ingredients and feeds for aquaculture), and on reproduction and breeding which are among the main obstacles in the sustainable development of European aquaculture.
  Innovation will also be promoted for sustainable production systems inland, on the coastal zone and offshore.
  The specificities of the European ultra-periphery will also be taken into account.
  Emphasis will also be given to understanding the social and economic dimensions of the sector to underpin cost and energy efficient production matching with the market and consumer demands, while ensuring competitiveness and attractive prospects for investors and producers.

2.3.3.   Boosting marine
  and maritime
  innovation through biotechnology

More than 90 % of the marine biodiversity remains unexplored, offering a huge potential for discovery of new species and applications in the field of marine biotechnologies, which is foreseen to generate a 10 % annual growth for this sector. Support will be given to further explore and exploit the large potential offered by marine biodiversity and aquatic biomass to bring new innovative
  and sustainable
  processes, products and services on the markets with potential applications in sectors including chemical and material industries, pharmaceutical, fisheries and aquaculture, energy supply and cosmetic.

2.4.   Sustainable and competitive bio-based industries
  and supporting the development of a European bio-economy

The overall objective is to accelerate the conversion of fossil-based European industries to low carbon, resource efficient and sustainable ones. Research and innovation will provide the means to reduce the Union's dependency on fossil fuels and contribute to meeting its energy and climate change policy targets for 2020 (10 % of transport fuels from renewables and a 20 % reduction of greenhouse gases emissions). Estimates conclude that a shift to biological raw materials and biological processing methods could save up to 2.5 billion tons of CO2 equivalent per year by 2030, increasing markets for bio-based raw materials and new consumer products several-fold. Reaping these potentials requires building a broad knowledge base and developing relevant (bio)technologies, focussing mainly on three essential elements: a) transforming current fossil-based processes by resource and energy efficient biotechnology based ones; b) establishing reliable, sustainable
  and appropriate supply chains of biomass,
  byproducts
  and waste streams and a wide network of bio-refineries throughout Europe; and c) supporting market development for bio-based products and processes
  , taking account of the associated risks and benefits
  . Synergies will be sought with the ‘Leadership in Enabling and Industrial Technologies’ specific objective.

2.4.1.   Fostering the bio-economy for bio-based industries

Major progress towards low carbon, resource efficient and sustainable industries will be supported through discovery and exploitation of terrestrial and aquatic biological resources, while minimising adverse environmental impacts
  and water footprint, for example through the establishment of closed circuits of nutrients, including between urban and rural areas.
  Potential trade-offs between the various uses of biomass should be examined.
  Activities should focus on non-food-competitive biomass and also consider the sustainability of related land use systems.
  The development of bio-based products and biologically active compounds for industries and consumers with novel qualities, functionalities and improved sustainability will be targeted. The economic value of renewable resources, bio-waste and by-products will be maximised through new and resource efficient processes
  , including the transformation of urban bio-waste into agricultural inputs.

2.4.2.   Developing integrated biorefineries

Activities will be supported to boost sustainable bioproducts, intermediates and bioenergy/biofuels, predominantly focussing on a cascade approach, prioritising the generation of high added-value products. Technologies and strategies will be developed to assure the raw material supply. Enhancing the range of types of biomass for use in second and third generation biorefineries, including forestry, biowaste and industrial by-products, will help avoid food/fuel conflicts and support economic
  and environmentally-friendly
  development of rural and coastal areas in the Union.

2.4.3.   Supporting market development for bio-based products and processes

Demand-side measures will open new markets for biotechnology innovation. Standardisation
  and certification
  at Union and international levels is needed for, amongst others, determination of bio-based content, product functionalities and biodegradability. Methodologies and approaches to life-cycle analysis need to be further developed and continuously adapted to scientific and industrial advances. Research activities supporting product and process standardisation
  (including harmonisation of international standards)
  and regulatory activities in the field of biotechnology are considered essential for supporting the creation of new markets and for realising trade opportunities.

2.5.
     
  Cross-cutting marine and maritime research

The aim is to increase the impact of EU seas and oceans on society and economic growth through the exploitation of marine resources as well as the use of different sources of marine energy and the wide range of different uses that is made of the seas. Activities shall focus on cross-cutting marine and maritime scientific and technological challenges with a view to unlocking the potential of seas and oceans across the range of marine and maritime industries, while protecting the environment and adapting to climate change. A strategic coordinated approach for marine and maritime research across all challenges and pillars of Horizon 2020 will also support the implementation of relevant Union policies to help deliver key blue growth objectives.

Due to the multidisciplinary nature of marine and maritime research, close coordination and joint activities with other parts of Horizon 2020, especially Societal Challenge 5, will be pursued.

2.5.1.
     
  Climate change impact on marine ecosystems and maritime economy

Activities will be supported to increase the current understanding of the functioning of marine ecosystems, the interactions between oceans and the atmosphere. This will increase the ability to assess the role of the oceans on climate and the impact of climate change and ocean acidification on marine ecosystems and coastal areas.

2.5.2.
     
  Develop the potential of marine resources through an integrated approach

Boosting long-term, sustainable maritime growth and create synergies across all the maritime sectors requires an integrated approach. Research activities will focus on preserving the marine environment as well as the impact of maritime activities and products on non-maritime sectors. This will allow advances in the field of eco-innovation such as new products, processes and the application of management concepts, tools and measures to assess and mitigate the impact of human pressures on the marine environment in order to advance towards a sustainable management of maritime activities.

2.5.3.
     
  Cross-cutting concepts and technologies enabling maritime growth

Advances in cross-cutting enabling technologies (e.g. ICT, electronics, nanomaterials, alloys, biotechnologies, etc.) and new developments and concepts in engineering will continue to enable growth. Activities will allow major breakthroughs in the field of marine and maritime research and ocean observation (e.g. deep-sea research, observing systems, sensors, automated systems for monitoring of activities and surveillance, screening marine biodiversity, marine geohazards, Remotely Operated Vehicles, etc.). The aim is to reduce the impact on the marine environment (e.g. underwater noise, introduction of invasive species and pollutants from sea and land, etc.) and minimise the carbon foot-print of human activities. Cross-cutting enabling technologies will underpin the implementation of marine and maritime Union policies.

2.6.   Specific implementation
  aspects

Beyond the general sources of external advice, specific consultations will be sought from the Standing Committee on Agricultural Research (SCAR) on a range of issues, including on strategic aspects through its foresight activity and on the coordination of agricultural research between national and Union levels. Appropriate links ▌with the actions of
  relevant
  European Innovation
  Partnerships
  and
  the relevant aspects of the research and innovation agendas of European Technology Platforms will also be established.

The impact and dissemination of research results will be actively supported through specific actions on communication, knowledge exchange and the involvement of various actors all along the projects. Implementation will combine a wide range of activities, including substantial demonstration and pilot activities. Easy and open access to research results and best practices will be fostered ▌.

The specific support to SMEs will allow for an increased participation of farms, fishermen and other types of
  SMEs
  in research and demonstration activities. The specific needs of the primary production sector for innovation support services and outreach structures will be taken into account. Implementation will combine a wide range of activities, including knowledge exchange actions where the involvement of farmers
  or other primary producers
  and intermediaries will be actively ensured in view of summarising the research needs of end-users. Easy and open access to research results and best practices will be fostered.

Support to
  standardisation and regulatory aspects
  will be used to help accelerate market deployment for novel bio-based goods and services.

Consideration may be given to support
  relevant
  Joint Programming Initiatives (JPIs)
  and relevant public-public and
  public-private partnerships ▌.

Synergies with and further deployment by other Union funds related to this societal challenge, such as the Rural Development Funds and Fisheries Funds will be sought.

Forward looking activities will be undertaken across the sectors of the bio-economy, including the development of data bases, indicators and models addressing global, European, national and regional dimensions. A European bio-economy observatory shall be developed for mapping and monitoring Union and global research and innovation activities
  including technology assessment
  , developing key performance indicators, and monitoring innovation policies in the bio-economy.

3.   SECURE, CLEAN AND EFFICIENT ENERGY

3.1.   Reducing energy consumption and carbon footprint
  by
  smart and sustainable
  use

The energy sources and consumption patterns of Europe's industries, transport
  systems
  , buildings,
  districts,
  towns and cities are largely unsustainable, leading to significant environmental and climate change impacts.
  Real-time energy management for new and existing
  near-zero-emission
  , near-zero energy and positive energy buildings, retrofitted buldings as well as active
  buildings, highly efficient industries and mass take-up of energy-efficient approaches by companies, individuals, communities, cities
  and districts
  will require not only technological advances, but also non-technological solutions such as new advisory, financing and demand management services
  and input from the behavioural and social sciences while at the same time taking into account questions of public acceptance
  . In this way
  improved
  energy efficiency may provide one of the most cost effective ways to reduce energy demand, thereby enhancing security of energy supply, reducing environmental and climate impacts and boosting competitiveness.
  To meet these challenges the further development of renewable energies and the tapping of energy efficiency potentials are important.

3.1.1.   Bring to mass market technologies and services for a smart and efficient energy use

Reducing energy consumption and eliminating energy waste, while providing the services that society and economy need, requires not only that more, efficient, cost-competitive, environmentally-friendly, and smarter
  equipment,
  products and services are brought to mass market but also the integration of components and devices in such a way that they cooperate to optimise the overall energy use of buildings, services and industry.

To ensure full adoption and full benefits for consumers (including the possibility for them to monitor their own consumption), energy performance of these technologies and services needs to be customised and optimised for and in their application environments. This requires ▌researching, developing and testing innovative Information and Communication Technologies (ICT) and monitoring and control techniques
  as well as
  demonstration projects and pre-commercial deployment activities to ensure interoperability and scalability. Such projects should aim to
  contribute to significantly reduce or optimize the overall energy consumption and energy costs by developing
  common procedures to collect, collate and analyse energy consumption and emissions data to improve the measurability, transparency,
  public
  acceptability, planning and visibility of energy use and its environmental impacts.
  Security and privacy by design to protect monitoring and control techniques should be safeguarded in these processes. Developing platforms and applying them for verifying the stability of such systems will help to ensure reliability.

3.1.2.   Unlock the potential of efficient and renewable heating-cooling systems

A substantial share of energy is consumed for heating or cooling purposes across the Union and the development of cost-effective and efficient technologies, system integration techniques e.g. network connectivity with standardised languages and services in this area would have a major impact in reducing energy demand. This requires research and demonstration of new
  design techniques and
  systems and components for industrial,
  commercial and
  residential applications, for example in decentralised and district supply of hot water, space heating and cooling. This should encompass different technologies: solar thermal, geothermal, biomass, heat pumps, combined heat and power
  , recovery of waste energy,
  etc, and meet the requirements of near-zero energy buildings and districts
  and support smart buildings
  . Further breakthroughs are needed, in particular, in
  storage for
  thermal
  energy
  from renewable energy sources and to foster the development and deployment of efficient combinations of hybrid heating and cooling systems, for centralised and de-centralised applications.

3.1.3.   Foster European Smart cities and Communities

Urban areas are one of the largest consumers of energy in the Union and emit a correspondingly large share of greenhouse gases, while generating a substantial amount of air pollutants. At the same time, urban areas are affected by decreasing air quality and climate change and have to develop their own mitigation and adaptation strategies. Finding innovative energy solutions (
  e.g.
  energy efficiency, electricity and heating and cooling supply systems
  , and integration of renewables in the built environment
  ), integrated with transport
  systems, smart construction and urban planning solutions
  , waste and water treatment as well as ICT solutions for the urban environment are therefore crucial in the transformation towards a low carbon society. Targeted initiatives in support to the convergence of industrial value chains of the energy, transport and ICT sector for smart urban applications need to be envisaged. At the same time, new technological, organisational, planning and business models need to be developed and tested at full scale according to the needs and means of cities and communities
  and their citizens
  . Research is also needed to understand the social,
  environmental
  , economic and cultural issues that are involved in this transformation.

3.2.   Low-cost, low-carbon electricity supply

Electricity will play a central role in the establishment of an environmentally sustainable low-carbon economy.
  Renewable energy sources lie at the core of this development.
  The uptake of low-carbon electricity generation is too slow due to the high costs involved. There is a pressing need to find solutions that reduce costs significantly, with enhanced performance, sustainability
  and public acceptance
  to accelerate the market deployment of low-
  cost, reliable and low
  carbon electricity generation.
  Activities shall focus on research, development and full scale demonstration of innovative renewables, including small and micro-scale energy systems
  ,
  efficient, flexible and low-carbon emission fossil power plants and carbon capture and storage, or CO2 re-use technologies.

3.2.1.   Develop the full potential of wind energy

The objective for wind energy is to reduce the cost of electricity production of onshore and offshore wind by up to about 20 % by 2020 compared to 2010, to increasingly move offshore, and to enable proper integration in the electricity grid. The focus will be on the development, testing and demonstration of next generation wind energy conversion systems of larger scale
  (including innovative energy storage systems)
  , higher conversion efficiencies and higher availabilities for both on- and off-shore (including remote locations and hostile weather environments) as well as new serial manufacturing processes.
  Environmental and biodiversity aspects of wind energy development will be taken into account.

3.2.2.   Develop efficient, reliable and cost-competitive solar energy systems

The cost of solar energy, covering photovoltaics (PV) and concentrating solar power (CSP), should be halved by 2020 compared to 2010, if it is to
  substantially increase its
  share of the electricity market.

For PV, this will need
  further
  research on
  , inter alia,
  novel concepts and systems
  as well as
  demonstration and testing of mass production with a view to large-scale deployment
  and building integration of PV.

For CSP, the focus will be on developing ways to increase efficiency while reducing costs and environmental impact, enabling industrial up-scaling of demonstrated technologies by building first-of-a-kind power plants. Solutions to efficiently combine the production of solar electricity with water desalination will be tested.

3.2.3.   Develop competitive and environmentally safe technologies for CO2 capture, transport, storage
  and re-use

Carbon capture and storage (CCS) is a key option that has to be widely deployed on a commercial scale at global level to meet the challenge of a decarbonised power generation and low carbon industry by 2050. The objective is to minimise the extra-cost of CCS in the power sector for coal-fired, gas-fired
  and oil-shale fired
  power plants compared to equivalent plants without CCS and energy intensive industrial installations.

Support will be given, in particular, to demonstrate the full CCS chain for a representative portfolio of different capture, transport, storage
  and re-use
  technology options. This will be accompanied by research to further develop these technologies and to deliver more competitive capture technologies, improved components, integrated systems and processes, safe geological storage and rational solutions
  and public acceptance
  for the ▌re-use of captured CO2 to enable the commercial deployment of CCS technologies for fossil fuel power plants and other carbon-intensive industries going into operation after 2020.
  Support will also be given to clean coal technologies as technologies complementary to CCS.

3.2.4.   Develop geothermal, hydro, marine and other renewable energy options

Geothermal, hydro, and marine energy as well as other renewable energies can contribute to the decarbonisation of the European energy supply while enhancing its flexibility to variable production and use of energy. The objective is to
  further develop and
  bring to commercial maturity cost-effective and sustainable technologies, enabling large-scale deployment at an industrial scale including grid integration.
  Enhanced geothermal systems is a technology that should be further researched, developed and demonstrated notably in the fields of exploration, drilling and heat production.
  Ocean energies such as tidal, current or wave energy
  and osmotic power
  offer ▌zero-emission, predictable energy
  and can also contribute to the development of the full potential of off-shore wind energy (combination of marine energies)
  . Research activities should include laboratory scale innovative research into low-cost reliable components and materials in a high corrosion, biofouling environment as well as demonstrations under the varied conditions found in European waters.

3.3.   Alternative fuels and mobile energy sources

Meeting Europe's energy and CO2 reduction goals also requires the development of new fuels and mobile energy sources. This is particularly important to meet the challenge of smart, green and integrated transport. Value chains for these technologies and alternative fuels are not sufficiently developed and must be accelerated to demonstration scale.

3.3.1.   Make bio-energy
  more
  competitive and sustainable

The objective for bio-energy is to bring to commercial maturity the most promising technologies, to permit large-scale, sustainable production of advanced ▌biofuels of different value chains
  in a bio-refinery approach
  for
  surface, maritime and air
  transport, and highly efficient combined heat and power
  and green gas
  from biomass
  and waste
  , including CCS. The aim is to develop and demonstrate the technology for different bio-energy pathways at different scales, taking account of differing geographical and climate conditions and logistical constraints
  , while minimising negative environmental and social impacts linked to land use
  . Longer term research will support the development of a sustainable bio-energy industry beyond 2020. These activities will complement upstream (
  e.g
  . feedstock, bio-resources) and downstream (
  e.g
  . integration into vehicle fleets) research activities carried out in other relevant Societal Challenges.

3.3.2.   Reducing time to market for hydrogen and fuel cells technologies

Fuel cells and hydrogen have a great potential to contribute to addressing energy challenges facing Europe. Bringing these technologies to market competitiveness will require significant cost decrease. As an illustration the cost of fuel cell systems for transportation will have to be reduced by a factor 10 over the next 10 years. To do so, support will be given to ▌demonstrations and pre-commercial deployment activities for portable, stationary
  and micro-stationary
  , transport applications and the related services, as well as long-term research and technology development to build up a competitive fuel cell chain and a sustainable hydrogen production and infrastructure across the Union. Strong national and international cooperation is needed to enable market breakthroughs of a sufficient scale, including the development of appropriate standards.

3.3.3.   New alternative fuels

There is a range of new options with long term potential, such as powdered metal fuel, fuel from photosynthetic microorganisms (in water and land environments) and from artificial photosynthesis mimics
  and solar fuels
  . These new paths may offer potential for more efficient energy conversion
  and
  more cost-competitive and sustainable technologies ▌. Support will be given notably to bring these new and other potential technologies from laboratory to demonstration scale size in view of pre-commercial demonstration by 2020.

3.4.   A single, smart European electricity grid

Electricity networks have to respond to three interrelated challenges to enable a consumer friendly and increasingly decarbonised electricity system: creating a pan-European market; integrating a massive increase of renewable energy sources; and managing interactions between millions of suppliers and customers (where increasingly households will be both), including owners of electrical vehicles. Future electricity networks will play a key role for the transition to a ▌decarbonised
  energy
  system, while providing additional flexibility and cost benefits to the consumers. The overriding goal by 2020 is to transmit and distribute about 35 % (8) of electricity from dispersed and concentrated renewable energy sources.

A strongly integrated research and demonstration effort will support the development of new components, technologies
  , and procedures
  which will respond to the particularities of both the transmission and distribution side of the grid, as well as
  flexible energy
  storage.

All options to successfully balance energy supply and demand must be considered to minimise emissions and costs.
  New smart energy grid technologies, back-up and balancing technologies enabling higher flexibility and efficiency, including conventional power plants, Nnew grid components to improve the transmisstion capacity and quality as well as the reliability of grids have to be developed.
  New power systems technologies and a bi-directional digital communication infrastructure must be researched and integrated into the electricity grid
  as well as used to establish smart interactions with other energy grids
  . This will contribute to better plan, monitor, control and securely operate networks in normal and emergency conditions as well as to manage the interactions between suppliers and customers and to transport, manage and trade energy flow. For the deployment of future infrastructure, indicators and cost benefit analysis should take into account energy system-wide considerations. In addition, synergies between smart grids and telecommunication networks will be maximised in order to avoid duplication of investments
  , to increase safety
  and to accelerate the take up of smart energy services.

Novel energy storage means (including both ▌batteries
  and large scale such as power-to-gas
  ) and vehicle systems will provide the required flexibility between production and demand. Improved ICT technologies will further increase the flexibility of electricity demand by providing customers (industrial, commercial and residential) with the necessary automation tools.
  Security, reliability and privacy are important issues here as well.

New planning, market and regulatory designs need to drive the overall efficiency and cost-effectiveness of the electricity supply chain and interoperability of infrastructures as well as the emergence of an open and competitive market for smart
  energy
  grid technologies, products and services. Large-scale demonstration projects are needed to test and validate solutions and assess the benefits for the system and for individual stakeholders, before deploying them across Europe. This should be accompanied by research to understand how consumers and businesses react to economic incentives, behavioural changes, information services and other innovative opportunities provided by smart grids.

3.5.   New knowledge and technologies

Novel, more efficient and cost-competitive
  as well as clean, safe and sustainable energy
  technologies will be required for the long term. Progress should be accelerated through multi-disciplinarily research to achieve scientific breakthroughs in energy related concepts and enabling technologies (e.g. nano-science, material science, solid state physics, ICT, bio-science,
  geosciences
  , computation, space);
  where appropriate safe and environmentally sustainable unconventional gas and oil resources exploration and production
  as well as the development of innovations in future and emerging technologies.

Advanced research will also be needed to provide solutions to adapt energy systems to changing climatic conditions. Priorities may be adjusted to new scientific and technological needs and opportunities or newly-observed phenomena which could indicate promising developments or risks to society and that may emerge during the course of implementation of Horizon 2020.

3.6.   Robust decision making and public engagement

Energy research should support and be strongly aligned with the energy policy. Extensive knowledge
  and research on the uptake and use
  of energy technologies and services, infrastructure, markets (including regulatory frameworks) and consumer behaviour is required to provide policy makers with robust analyses. Support will be given, in particular in the frame of the European Commission's Information System of the SET-Plan, to develop robust and transparent
  theories
  , tools, methods and models to assess the main economic and social issues related to energy; to build databases and scenarios for an enlarged Union and the assessment of the impact of energy and energy-related policies on security of supply,
  consumption,
  the environment
  , natural resources,
  and climate change, society and competitiveness of the energy industry; to carry out socio-economic research activities
  as well as science in society studies
  .

Taking advantage of the possibilities offered by web and social technologies, consumer behaviour including that of vulnerable consumers like persons with disabilities and behavioural changes will be studied in open innovation platforms such as the Living Labs and large scale demonstrators for service innovation
  as well as through panel surveys, while ensuring privacy
  .

3.7.   Market uptake of energy innovation ▌

Innovative market uptake and replication solutions are essential to rollout new energy technologies in time and through a cost effective implementation. In addition to technology-driven research and demonstration, this requires actions with clear Union added value aiming to develop, apply, share and replicate non-technological innovations with a high leverage factor in Union's sustainable energy markets across disciplines and levels of governance.

Such innovations will focus on creating favourable market conditions at the regulatory, administrative and financing level for low-carbon, renewable and energy efficiencies technologies and solutions. Support will be given to measures facilitating the energy policy implementation, preparing the ground for rollout of the investments, supporting the capacity building and acting on public acceptance.
  Attention will also be given to innovation for the smart and sustainable use of existing technologies.

Research and analysis repeatedly confirms the crucial role of the human factor in the success and failure of sustainable energy policies. Innovative organisational structures, the dissemination and exchange of good practices and specific training and capacity building actions will be encouraged.

3.8.   Specific implementation aspects

The priority setting for the implementation of the activities in this challenge is led by the need to strengthen ▌energy research and innovation
  at the European level
  . A main aim will be to support the implementation of the research and innovation agenda of the Strategic Energy Technology Plan (SET Plan) (9) to achieve the objectives of the Union's energy and climate change policy. The SET-Plan roadmaps and implementation plans will therefore provide a valuable input for the formulation of the work programmes. The SET Plan governance structure will be used as a principle basis for strategic priority setting and the coordination of Energy Research and innovation across the Union.

The non-technological agenda will be guided by the Union's energy policy and legislation. The enabling environment for mass deployment of demonstrated technological and service solutions, processes and policy initiatives for low-carbon technologies and energy efficiency across the Union shall be supported. This may involve support to technical assistance for development and roll-out of energy efficiency and renewable energy investments.

In the field of market uptake, activities should also build on the experience of the Intelligent Energy Europe (IEE) initiative.

Partnering with European stakeholders will be important to share resources and implement jointly. It may be envisaged, on a case by case basis, that existing European Industrial Initiatives of the SET Plan are turned into formalised public-private partnerships, if considered appropriate, to increase the level and coherence of ▌ funding and to stimulate joint research and innovation actions among
  both public and private stakeholders.
  Consideration will be given to provide support, including with Member States, to alliances of public research performers, in particular, the European Energy Research Alliance established under the SET Plan to pool public research resources and infrastructures to address critical research areas of European interest. International coordination actions shall support the SET Plan priorities according to the variable geometry principle, taking account of countries capabilities and specificities.
  Appropriate links with the actions of relevant European Innovation Partnerships and the relevant aspects of the research and innovation agendas of European Technology Platforms will also be established.

Consideration may be given to support relevant Joint Programming Initiatives (JPIs) and relevant public-public and public-private partnerships. Activities shall also focus on increasing the support and promoting the involvement of SMEs.

The European Commission's Information System of the SET-Plan
  (SETIS)
  will be mobilised to develop, together with stakeholders, key performance indicators (KPIs) to monitor the progress of implementation and which will be revised on a regular basis to account of the latest developments. More broadly, implementation under this Challenge will seek to improve the coordination of relevant Union Programmes, initiatives and policies, such as Cohesion policy, in particular through the national and regional strategies for smart specialisation, and the Emission Trading Scheme mechanisms, for example concerning support to demonstration projects.

4.   SMART, GREEN AND INTEGRATED TRANSPORT

4.1.   Resource efficient transport that respects the environment

Europe has set a policy target of achieving a 60 % reduction of CO2 by 2050
  compared to 1990 levels
  . It aims at halving the use of ‘conventionally-fuelled’ cars in cities and achieving virtually CO2-free city logistics in major urban centres by 2030. Low-carbon fuels in aviation should reach 40 % by 2050, and CO2 emissions from maritime bunker fuels should be reduced by 40 % by 2050 (10)

  compared to 2005 levels
  .

It is essential to reduce this environmental impact through targeted technological improvement, bearing in mind that each mode of transport faces varying challenges and is characterised by specific technology integration cycles.

Research and innovation will substantially contribute to the development and take up of the necessary solutions for all transport modes, which will drastically reduce transport's emissions that are harmful to the environment (such as CO2, NOx, SOx

  and noise
  ), lower its dependence on fossil fuels, and hence reduce transport impact on biodiversity and
  climate change and
  preserve natural resources.

This will be done through work on the following specific activities:

4.1.1.   Making aircraft, vehicles and vessels cleaner and quieter will improve environmental performance and reduce perceived noise and vibration

The activities in this domain will focus on the end products, but will also address lean and ecological design and manufacturing processes, considering the entire life cycle process and
  with recyclability integrated in the design phase.
  Activities will also cover the upgrading of existing products and services by integration of new technologies.

| (a) | Developing and accelerating the take-up of cleaner
  and quieter
  propulsion technologies is important for reducing or eliminating
  impacts on climate and health of European citizens, e.g
  . CO2

  , noise
  and pollution from transport. New and innovative solutions are necessary, based on electric engines and batteries,
  hydrogen and
  fuel cells,
  gas-powered engines, advanced architectures and technologies in engines
  or hybrid propulsion. Technological breakthroughs will also help improve the environmental performance of traditional
  and new
  propulsion systems. |
| --- | --- |

(a)

Developing and accelerating the take-up of cleaner
  and quieter
  propulsion technologies is important for reducing or eliminating
  impacts on climate and health of European citizens, e.g
  . CO2

  , noise
  and pollution from transport. New and innovative solutions are necessary, based on electric engines and batteries,
  hydrogen and
  fuel cells,
  gas-powered engines, advanced architectures and technologies in engines
  or hybrid propulsion. Technological breakthroughs will also help improve the environmental performance of traditional
  and new
  propulsion systems.

| (b) | Exploring options for the use of low emission alternative energies will help reduce the consumption of fossil fuels. This includes using sustainable fuels and electricity from renewable energy sources in all modes of transport including aviation, reducing fuel consumption through energy harvesting or diversified energy supply and other innovative solutions. New holistic approaches will be pursued encompassing vehicles, energy storage, energy supply
  , fuelling and charging
  infrastructure, including vehicle-to-grid interfaces and innovative solutions for the use of alternative fuels. |
| --- | --- |

(b)

Exploring options for the use of low emission alternative energies will help reduce the consumption of fossil fuels. This includes using sustainable fuels and electricity from renewable energy sources in all modes of transport including aviation, reducing fuel consumption through energy harvesting or diversified energy supply and other innovative solutions. New holistic approaches will be pursued encompassing vehicles, energy storage, energy supply
  , fuelling and charging
  infrastructure, including vehicle-to-grid interfaces and innovative solutions for the use of alternative fuels.

| (c) | Improving the overall performance
  of aircraft, vessels and vehicles
  by reducing their weight
  and lowering their aerodynamic hydrodynamic or rolling resistance by using lighter materials, leaner structures and innovative design, will contribute to lower fuel consumption. |
| --- | --- |

(c)

Improving the overall performance
  of aircraft, vessels and vehicles
  by reducing their weight
  and lowering their aerodynamic hydrodynamic or rolling resistance by using lighter materials, leaner structures and innovative design, will contribute to lower fuel consumption.

4.1.2.   Developing smart equipment, infrastructures and services

This will help optimise transport operations and reduce resource consumption. The focus will be on
  solutions for
  the efficient
  planning, design
  , use and management of airports, ports, logistic platforms and surface transport infrastructures, as well as on autonomous and efficient maintenance,
  monitoring
  and inspection systems.
  New policies, business models, concepts, technologies and IT solutions are to be adopted to increase capacity
  . Particular attention will be given to the climate resilience of
  equipment and
  infrastructures, cost-efficient solutions based on a life-cycle approach, and the wider take-up of new materials
  and technologies
  allowing for more efficient and lower cost maintenance. Attention will also be paid to accessibility,
  user friendliness
  and social inclusiveness.

4.1.3.   Improving transport and mobility in urban areas

This will benefit a large and increasing share of the population which lives and works in cities or uses them for services and leisure. New mobility concepts, transport organisation,
  multimodal accessibility models
  , logistics,
  provision of innovative vehicles and urban public services
  and planning solutions need to be developed and tested, which will contribute to reduce
  congestion
  , air pollution and noise, and improve
  the
  efficiency
  of urban transport
  . Public and non-motorised transport as well as other resource-efficient transport options
  for passengers and freight
  should be developed as a real alternative to the use of private motor vehicles, supported by greater use of intelligent transport systems as well as by innovative
  supply and
  demand management.
  Special emphasis shall be given to the interaction between the transport system and other urban systems.

4.2.   Better mobility, less congestion, more safety and security

Relevant European transport policy goals aim to optimise performance and efficiency in the face of growing demands for mobility, to make Europe the safest region for aviation
  , railways and waterbone transport
  and to move towards the target of zero fatalities in road transport by 2050
  and of halving the road casualties by 2020
  . By 2030, 30 % of road freight transport over 300 kilometres should shift to rail and waterborne transport. A
  seamless, accessible, affordable, user-oriented and
  efficient pan-European transport of people and goods, also internalising external costs, requires a new European multimodal transport management, information and payment system,
  as well as efficient interfaces between long distance and urban mobility networks.

A better European transport system will contribute to a more efficient use of transport, and will improve the quality of life of citizens and support a healthier environment.

Research and innovation will make important contributions to these ambitious policy goals through activities in the following specific activities:

4.2.1.   A substantial reduction of traffic congestion

This can be achieved by implementing
  an intelligent, multi-modal and
  fully intermodal ‘door-to-door’ transport system and by avoiding unnecessary use of transport. This means promoting greater integration between transport modes, the optimisation of transportation chains and better integrated transport
  operations and
  services. Such innovative solutions will also facilitate accessibility and
  passenger choices
  , including for the ageing population and vulnerable users
  and provide opportunities to reduce congestion by improving incident management and the development of traffic optimisation schemes.

4.2.2.   Substantial improvements in the mobility of people and freight

This can be achieved through the development,
  demonstration
  and widespread use of intelligent transport applications and management systems. This entails: planning demand
  analysis and
  management, information and payment systems that are interoperable Europe-wide; and the full integration of information flows, management systems, infrastructure networks and mobility services into a new common multi-modal framework based on open platforms. This will also ensure flexibility and rapid responses to crisis events and extreme weather conditions by reconfiguring travel
  and haulage
  across modes. New positioning, navigation and timing applications, made possible through the Galileo and EGNOS satellite navigation systems, will be instrumental in achieving this objective.

| (a) | Innovative air traffic management technologies will contribute to a step-change in safety and efficiency with rapidly increasing demand, to achieve improved punctuality, to reduce time spent in travel-related procedures at airports and to achieve resilience in the air transport system. The implementation and further development of the ‘Single European Sky’ will be supported with
  research and innovation activities providing
  solutions for increased automation and autonomy in air traffic management and aircraft
  operation and
  control, better integration of air and ground components, and novel solutions for the efficient and seamless handling of passengers and freight throughout the transport system. |
| --- | --- |

(a)

Innovative air traffic management technologies will contribute to a step-change in safety and efficiency with rapidly increasing demand, to achieve improved punctuality, to reduce time spent in travel-related procedures at airports and to achieve resilience in the air transport system. The implementation and further development of the ‘Single European Sky’ will be supported with
  research and innovation activities providing
  solutions for increased automation and autonomy in air traffic management and aircraft
  operation and
  control, better integration of air and ground components, and novel solutions for the efficient and seamless handling of passengers and freight throughout the transport system.

| (b) | For waterborne transport, improved and integrated planning and management technologies will contribute to the emergence of a ‘Blue Belt’ in the seas around Europe, improving port operations, and to a suitable framework for inland waterways. |
| --- | --- |

(b)

For waterborne transport, improved and integrated planning and management technologies will contribute to the emergence of a ‘Blue Belt’ in the seas around Europe, improving port operations, and to a suitable framework for inland waterways.

| (c) | For rail and road, the optimisation of network management
  and interoperability
  will improve efficient use of infrastructure and make cross-border operations easier. Comprehensive cooperative road traffic management and information systems will be developed, relying on vehicle to vehicle and vehicle to infrastructure communication. |
| --- | --- |

(c)

For rail and road, the optimisation of network management
  and interoperability
  will improve efficient use of infrastructure and make cross-border operations easier. Comprehensive cooperative road traffic management and information systems will be developed, relying on vehicle to vehicle and vehicle to infrastructure communication.

4.2.3.   Developing ▌new concepts of freight transport and logistics

This can reduce pressure on the transport system and
  the environment, and
  improve safety and freight capacity. They can, for example, combine high performance and low environmental impact vehicles with smart, secure on-board and infrastructure-based systems ▌.
  This should be based on an integrated logistics approach in the field of transport.
  Activities will also support the development of the e-Freight vision of a paperless freight transport process, where electronic information flows, services and payments are linked to physical freight flows across transport modes.

4.2.4.   Reducing accident rates
  , fatalities
  and ▌casualties and improving security

This will be achieved by addressing aspects inherent to the organisation, management and monitoring of performance and risk of transport systems; and by focusing on the design,
  manufacturing
  and operations of aircraft, vehicles and vessels, infrastructures and terminals. The focus will be on passive and active safety, preventive safety, and enhanced automation and training processes to reduce the
  risk and
  impact of human errors. To better anticipate, assess and mitigate the impact of weather, natural hazards
  and other crisis situations
  , special tools and techniques will be devised. Activities will also focus on the integration of security aspects in the planning and management of passenger and freight flows, on the conception of aircraft, vehicles and vessels, on traffic and system management and on the design of
  transport infrastructures and of freight and passenger
  terminals.
  Intelligent transport and connectivity applications may also provide useful tools for enhanced security. Activities will also focus on improving the safety of all road users especially those at greatest risk, particularly in urban areas.

4.3.   Global leadership for the European transport industry

By staying ahead in
  technological development
  and
  improving
  the
  competitiveness
  of existing manufacturing processes, research and innovation will contribute to growth and highly skilled jobs in the European transport industry, in the face of growing competition. At stake is the
  further development
  of the competitiveness of a major economic sector that directly represents 6.3 % of the Union GDP and employs nearly 13 million people in Europe. Specific objectives include the development of the next generation of innovative
  and environmentally friendly air, waterborne and land
  transport means
  , ensuring sustainable manufacturing of innovative systems and equipment and preparing
  the ground for
  future transport means
  , by working on novel
  technologies,
  concepts and designs, smart control systems, efficient
  development and
  production processes
  , innovative services and certification procedures
  . Europe aims at becoming the world-leader in efficiency
  , environmental performance
  and safety in all modes of transport
  and at enhancing its leadership in global markets both for end-products as well as for sub-systems.

Research and innovation will focus on the following specific activities:

4.3.1.   Developing the next generation of transport means as the way to secure market share in the future

It will help enhance European leadership in aircraft, high speed trains,
  conventional and
  (sub)urban rail transport, road vehicles, electromobility, passenger cruise ships, ferries and specialised high technology ships and
  maritime
  platforms. It will also spur the competitiveness of European industries in upcoming technologies and systems and support their diversification towards new markets, including in sectors other than transport. This includes the development of innovative safe
  and environmentally friendly
  aircraft, vehicles and vessels that incorporate efficient propulsion
  systems
  , high performance and intelligent
  operation and
  control systems.

4.3.2.   On board, smart control systems

These are needed to realise higher levels of performance and system integration in transport. Appropriate interfaces for communications between aircraft, vehicles, vessels and infrastructures in all relevant combinations will be developed,
  taking into account impacts of electromagnetic fields,
  with a view to defining common operational standards.
  They may include delivering traffic management and user information direct to in-vehicle devices, supported by reliable real-time traffic data on road conditions and congestion from the same devices.

4.3.3.   Advanced production processes

These will allow customization, lower lifecycle cost and development time and facilitate the standardisation and certification of aircraft, vehicles and vessels
  as well as their components, equipment
  and related infrastructure. Activities in this area will develop fast and cost efficient design and manufacturing techniques, including assembly, construction, maintenance and recycling, through digital tools and automation, and capacity to integrate complex systems. This will foster competitive supply chains able to deliver with short time-to-market and reduced costs
  without compromising operational safety and security. Transport applications of innovative materials are also a priority both for environmental and competitiveness goals as well as for increased safety and security.

4.3.4.   Exploring entirely new transport concepts

This will help enhance Europe's competitive edge in the longer term perspective. Strategic
  multidisciplinary
  research and proof of concept activities shall address innovative transport systems
  solutions. This will include
  fully automated and other new types of aircraft, vehicles and vessels with long term potential
  and high environmental performance


  as well as new services.

4.4.   Socio-economic
  and behavioural
  research and forward looking activities for policy making

Actions to support policy analysis and development including
  gathering evidence to understand behaviour on spatial, socio-economic
  and wider societal
  aspects of transport are necessary to promote innovation and
  create a shared evidence base to
  meet the challenges raised by transport. Activities will target the development and implementation of European research and innovation policies for transport
  and mobility
  , prospective studies and technology foresight, and strengthening of the European Research Area.

Understanding
  local and regional specificities,
  user behaviour
  and perceptions
  , social acceptance, impact of policy measures, mobility
  , changing needs and
  patterns
  , evolution of future demand,
  business models and their implications are of paramount importance for the evolution of the European transport system. Scenario development taking into account societal trends,
  evidence on causalities,
  policy objectives and technology foresight in a 2050 perspective will be carried out. In view of better understanding the links between territorial development
  , social cohesion
  and the European transport system, robust models are needed on which sound policy decisions can be taken.

Research will focus on how to
  reduce
  social
  and territorial
  inequalities in access to mobility, and how to improve the position of vulnerable
  transport
  users. Economic issues must also be addressed, focusing on ways to internalise the externalities from transport across modes, as well as taxation and pricing models. Prospective research is needed to assess future requirements for skills and jobs
  , research and innovation development and uptake as well as transnational cooperation
  .

4.5.   Specific implementation aspects

The activities will be organised in such a way as to allow for an integrated and mode-specific approach as appropriate. Multiannual visibility and continuity will be necessary in order to take into account the specificities of each transport mode and the holistic nature of challenges as well as relevant aspects of the strategic research and innovation agendas of European Technology Platforms.

Consideration may be given to support relevant Joint Programming Initiatives (JPIs) and the relevant public-public and public-private partnerships. Appropriate links with the actions of relevant European Innovation Partnership will also be established. Activities shall also focus on increasing the support and promoting the involvement of SMEs.

5.   CLIMATE ACTION,
  ENVIRONMENT,
  RESOURCE EFFICIENCY AND RAW MATERIALS

5.1.   Fighting and adapting to climate change

Current CO2 concentrations in the atmosphere are close to 40 % higher than those at the start of the industrial revolution and at the highest levels experienced in the last 2 million years. Non-CO2 greenhouse gases also contribute to climate change and are playing an increasingly significant role. Without decisive action, climate change could cost the world at least 5 % of GDP each year; and up to 20 % under some scenarios. In contrast, with early and effective action the net costs could be limited to around 1 % of GDP per year. Meeting the 2 oC target and avoiding the worst impacts of climate change will require developed countries to cut greenhouse gas emissions by 80-95 % by 2050 compared to 1990 levels.

The aim of this activity is therefore to develop and assess innovative, cost-effective and sustainable adaptation and mitigation measures
  and strategies
  , targeting both CO2 and non-CO2 greenhouse gases
  and aerosols
  , and underlining both technological and non-technological green solutions, through the generation of evidence for informed, early and effective action and the networking of the required competences.

To achieve this, research and innovation will focus on the following:

5.1.1.   Improve the understanding of climate change and the provision of reliable climate projections

Better understanding of the causes and evolution of climate change and more accurate climate projections are crucial for society to protect lives, goods and infrastructures and ensure effective decision making
  and adequate mitigation and adaptation options
  . It is essential to further improve the scientific knowledge-base of climate drivers, processes, mechanisms, feedbacks
  and thresholds
  associated with the functioning of ▌terrestrial
  , marine and polar
  ecosystems and the atmosphere. Improved
  understanding will also allow more accurate detection of
  climate
  change and attribution to natural and anthropogenic causal factors. Improved reliability of


  climate projections and
  predictions at pertinent temporal and spatial scales will be supported via the
  improvement of measurements and via the
  development of more accurate scenarios and models, including fully coupled Earth-system models
  taking into account paleoclimate history
  .

5.1.2.   Assess impacts, vulnerabilities and develop innovative cost-effective adaptation and risk prevention
  and management
  measures

There is incomplete knowledge on the ability of society, the economy
  and ecosystems
  to adapt to climate change. Effective, equitable and socially acceptable measures towards a climate resilient environment
  , economy
  and society require the integrated analysis of current and future impacts, vulnerabilities, population exposure, risks
  and their management, second order effects such as migration and conflicts
  , costs and opportunities associated with climate change and variability, taking into account extreme events and related climate-induced hazards and their recurrence. This analysis will also be developed on the adverse impacts of climate change on biodiversity, ecosystems and ecosystem services,
  water resources
  , infrastructures and economic and natural assets. Emphasis will be placed on the most valuable natural ecosystems and built environments, as well as key societal, cultural and economic sectors across Europe. Actions will investigate the impacts and growing risks for human health stemming from climate change
  , climate induced hazards
  and increased greenhouse gases
  concentrations
  in the atmosphere. Research will evaluate innovative, equitably distributed and cost-effective adaptation responses to climate change, including the protection and adaptation of natural resources and ecosystems, and related effects, to inform and support their development and implementation at all levels and scales. This will also include the potential impacts, costs, risks
  and benefits,
  of geo-engineering options. The complex inter-linkages, conflicts and synergies of adaptation and risk-prevention policy choices with other climate and sectoral policies will be investigated, including impacts on employment and the living standards of vulnerable groups.

5.1.3.   Support mitigation policies
  , including studies that focus on impact from other sectoral policies

The Union's transition to a competitive, resource efficient and climate change resilient economy
  and society
  by 2050 requires the design of effective, long-term, low-emission strategies and major advancements in our capacity to innovate. Research will assess the environmental and socio-economic risks, opportunities and impacts of climate change mitigation options.
  It will also assess impact from other sectoral policies.
  Research will support the development and validation of new climate-energy-economy models, taking into account economic instruments and relevant externalities, with the aim of testing mitigation policy options and low carbon technology pathways at different scales and for the key economic and societal sectors at Union and global level. Actions will facilitate technological, institutional and socio-economic innovation by improving the links between research and application and between entrepreneurs, end users, researchers,
  policy makers
  and knowledge institutions.

5.2.   
  Protection of the environment,
  sustainable
  management of
  natural resources, water, biodiversity
  and ecosystems

Societies face a major challenge to establish a sustainable balance between human needs and the environment. Environmental resources, including water, air, biomass, fertile soils, biodiversity, ecosystems and the services they provide, underpin the functioning of the European and global economy and quality of life. Global business opportunities related to natural resources are expected to amount to over EUR 2 trillion by 2050 (11). Despite this, ecosystems in Europe and globally are being degraded beyond nature's ability to regenerate them and environmental resources are being over-exploited
  and even destroyed
  . For example, 1 000 km2 of some of the most fertile soils and valuable ecosystems are lost every year in the Union, while a quarter of fresh water is wasted. Continuing these patterns is not an option. Research must contribute to reversing the trends that damage the environment and to ensuring that ecosystems continue to provide the resources, goods and services that are essential for well-being and economic prosperity
  and sustainable development
  .

The aim of this activity is therefore to provide knowledge
  , and tools
  for the management
  and protection
  of natural resources that achieves a sustainable balance between limited resources and the
  present and future
  needs of society and the economy.

To achieve this, research and innovation will focus on the following:

5.2.1.   Further our understanding of
  biodiversity and
  the functioning of ecosystems, their interactions with social systems and their role in sustaining the economy and human well-being

Society's actions risk triggering changes in the environment that are irreversible and which alter the character of ecosystems
  and their biodiversity
  . It is vital to anticipate these risks by assessing, monitoring and forecasting the impact of human activities on the environment,
  including land use change,
  and environmental changes on human well-being. Research on marine, (from coastal zones to the deep sea
  including the sustainability of marine resources), polar
  , fresh-water, terrestrial and urban ecosystems, including groundwater dependent ecosystems, will improve our understanding of the complex interactions between natural resources and social, economic, and ecological systems, including natural tipping points, and the resilience, or fragility, of human and biological systems. It will examine how
  biodiversity and
  ecosystems function and react to anthropogenic impacts, how they can be restored, and how this will affect economies and human well-being. It will also investigate solutions for addressing resource challenges
  in the European and international context
  . It will contribute to policies and practices that ensure that social and economic activities operate within the limits of the sustainability and adaptability of ecosystems and biodiversity.

5.2.2.   
  Developing integrated approaches to address water-related challenges and the transition to sustainable management and use of water resources and services

Freshwater availability and quality have become global issues with far-reaching economic and social implications. With ever-growing demand for different and often conflicting uses (e.g. agriculture, industry, recreational activities, public services, ecosystems and landscape maintenance, environmental restoration and enhancement), increased resource vulnerability exacerbated by climate and global change, urbanisation, pollution and over exploitation of freshwater resources, maintaining and improving water quality and availability, and mitigating the impact of human activities on fresh water ecosystems is becoming a critical challenge for the users of water in various sectors as well as for aquatic ecosystems.

Research and innovation will address these pressures and will provide integrated strategies, tools, technologies and innovative solutions to meet current and future needs. It will aim to develop appropriate water management strategies, improve water quality, cope with imbalances between water demand and availability or supply at different levels and scale, close the water cycle, promote sustainable end-user behaviour and address water related risks whilst sustaining the integrity, structure and functioning of the aquatic ecosystems in line with the prevailing EU policies.

5.2.3.   Provide knowledge and tools for effective decision making and public engagement

Social, economic and governance systems still need to address both resource depletion and the damage to ecosystems. Research and innovation will underpin policy decisions needed to manage natural resources and ecosystems so as to avoid, or adapt to, disruptive climate and environmental change and to promote institutional, economic, behavioural and technological change that ensure sustainability.
  Research will thus underpin the development of systems to value biodiversity and ecosystem services, including understanding the stock of natural capital and the flow of ecosystems services.
  Emphasis will be put on critical policy relevant ecosystems and ecosystem services, such as fresh water, seas and oceans
  (including coastal areas), forests, polar regions
  , air quality, biodiversity, land use and soil. The resilience of societies and ecosystems to
  pollutants and pathogens and to
  catastrophic events, including natural hazards
  (such as seismic and volcanic, flooding and droughts) and forest fires
  , will be supported through improving capacities for forecasting, early warning, and assessing vulnerabilities and impacts, including the multi-risk dimension. Research and innovation will thus provide support for environmental and resource efficiency policies, and options for effective evidence-based governance within safe operating limits. Innovative ways will be developed to increase policy coherence, resolve trade-offs and manage conflicting interests, and improve public awareness of research results and the participation of citizens in decision-making.

5.3.   Ensuring the sustainable supply of non-energy and non-agricultural raw materials

Sectors such as construction, chemicals, automotive, aerospace, machinery and equipment, which have a combined added value in excess of EUR 1,000 billion and provide employment for some 30 million people, all depend on access to raw materials. The Union is self-sufficient in construction minerals. Nonetheless, whilst the Union is one of the world's largest producers of certain industrial minerals, it remains a net importer of most of them. Furthermore, the Union is highly dependent on imports of metallic minerals and is totally import dependent for some critical raw materials.

Recent trends indicate that demand for raw materials will be driven by the development of emerging economies and by the rapid diffusion of key enabling technologies. Europe has to ensure a sustainable management and secure a sustainable supply of raw materials from inside and outside its borders for all sectors that depend on access to raw materials. Policy targets for critical raw materials are outlined in the Commission's Raw Materials Initiative (12).

The aim of this activity is therefore to improve the knowledge base on raw materials and develop innovative solutions for the cost-effective and environmentally friendly exploration, extraction, processing,
  re-use,
  recycling and recovery of raw materials and for their substitution by economically attractive
  and environmentally sustainable
  alternatives with a lower environmental impact.

To achieve this, research and innovation will focus on the following:

5.3.1.   Improve the knowledge base on the availability of raw materials

The assessment of the long-term availability of global and Union resources, including access to urban mines (landfills and mining waste),
  coastal-sea and
  deep-sea resources (e.g., the sea-bed mining of rare earth minerals) and the associated uncertainties will be improved. This knowledge will help society reach a more efficient use, recycling and reuse of scarce or environmentally harmful raw materials. It will also develop global rules, practices and standards governing economically viable, environmentally sound and socially acceptable resource exploration, extraction and processing, including practices in land use and marine spatial planning
  on the basis of an ecosystems approach.

5.3.2.   Promote the sustainable supply and use of raw materials,
  including mineral resources, from land and sea,
  covering exploration, extraction, processing,
  re-use,
  recycling and recovery

Research and innovation is needed over the entire life cycle of materials, in order to secure an affordable, reliable, and sustainable supply and management of raw materials essential for European industries. Developing and deploying economically viable, socially acceptable and environmentally friendly exploration, extraction and processing technologies will boost the efficient use of resources.
  This will include mineral resources, from land and sea, and
  will also exploit the potential of urban mines. New and economically viable
  and resource efficient
  recycling and materials recovery technologies, business models and processes
  , including closed-loop processes and systems,
  will also contribute to reducing the Union’s dependence on the supply of primary raw materials. This will include the need for longer use, high-quality recycling and recovery, and the need to drastically reduce resource wastage. A full life-cycle approach will be taken, from the supply of available raw materials to end of life, with minimum energy and resources requirements.

5.3.3.   Find alternatives for critical raw materials

In anticipation of the possible reduced global availability of certain materials, due for example to trade restrictions, sustainable substitutes and alternatives for critical raw materials, with similar functional performance, will be investigated and developed. This will reduce the Union's dependence on primary raw materials and improve the impact on the environment.

5.3.4.   Improve societal awareness and skills on raw materials

The necessary move to a more self-reliant and resource efficient economy will require cultural, behavioural, socio-economic
  , systemic
  and institutional change. In order to address the growing problem of skills shortage in the Union's raw materials sector, (including the European mining industry), more effective partnerships between universities, geological surveys
  , industry
  and
  other stakeholders
  will be encouraged. It will also be essential to support the development of innovative green skills. In addition there is still limited public awareness of the importance of domestic raw materials for the European economy. To facilitate the necessary structural changes, research and innovation will aim to empower citizens, policy-makers, practitioners and institutions.

5.4.   Enabling the transition towards a green economy
  and society
  through eco-innovation

The Union cannot prosper in a world of ever increasing resource consumption, environmental degradation and biodiversity loss. Decoupling growth from the use of natural resources requires structural changes in how such resources are used, re-used and managed, while safeguarding our environment. Eco-innovations will enable us to reduce pressure on the environment, increase resource efficiency, and put the Union on the path to a resource and energy efficient economy. Eco-innovation also creates major opportunities for growth and jobs, and increases European competitiveness within the global market, which is estimated to grow to a trillion Euro market after 2015 (13). Already 45 % of companies have introduced some type of eco-innovation. It has been estimated that around 4 % of eco-innovations led to more than a 40 % reduction of material use per unit of output (14), highlighting the great future potential.
  However, it is not uncommon that highly promising and technically advanced eco-innovative technologies, processes, services and products do not reach the market due to pre-commercialisation challenges and do not realise their full environmental and economic potential as their scaling up and market introduction are perceived as too risky by private investors.

The aim of this activity is therefore to foster all forms of eco-innovation that enable the transition to a green economy.

To achieve this, research and innovation will focus on the following:

5.4.1.   Strengthen eco-innovative technologies, processes, services and products
  including exploring ways to reduce the quantities of raw materials in production and consumption, and overcoming barriers in this context
  and boost their market uptake ▌

All forms of
  eco-
  innovation, both incremental and radical, combining technological, organisational, societal, behavioural, business and policy innovation, and strengthening the participation of civil society, will be supported. This will underpin a more circular economy, while reducing environmental impacts
  , increasing environmental resilience
  and taking account of rebound effects on the environment
  and potentially on other sectors
  . This will include
  user-driven innovation,
  business models, industrial symbiosis, product service systems, product design, full life cycle and cradle-to-cradle approaches
  as well as exploring ways to reduce the quantities of raw materials in production and consumption, and overcoming barriers in this context. The potential to move to more sustainable patterns of consumption will be addressed
  . The aim will be to improve resource efficiency by reducing, in absolute terms, inputs, waste and the release of harmful substances (e.g. those indicated under the REACH Regulation

   (15)

  and others)
  along the value chain and foster re-use, recycling and resource substitution. Emphasis will be given to facilitate the transition from research to market, involving industry and notably
  start-ups and innovative
  SMEs,
  civil society organisations and end-users,
  from the development of prototypes
  and demonstration of technical, social and environmental performance, up
  to
  the first application and
  market ▌replication
  of eco-


  innovative techniques, products, services or practices of Union relevance
  .
  Actions will contribute to


  removing barriers to the development and wide application of eco-innovation, creating or enlarging markets for the solutions concerned and improving the competitiveness of Union enterprises, especially SMEs, on world markets.
  Networking among eco-innovators will also seek to enhance the dissemination
  and exploitation
  of knowledge and better link supply with demand.

5.4.2.   Support innovative policies and societal changes

Structural and institutional changes are needed to enable the transition towards a green economy
  and society
  . Research and innovation will address the main barriers to societal and market change and will aim to empower consumers, business leaders and policy makers to adopt innovative and sustainable behaviour
  , with contributions from Social Sciences and Humanities
  . Robust and transparent tools, methods and models to assess and enable the main economic, societal
  , cultural
  and institutional changes needed to achieve a paradigm shift towards a green economy
  and society
  will be developed. Research will explore how to promote sustainable
  lifestyles and
  consumption patterns, encompassing socio-economic research, behavioural science, user engagement and public acceptance of innovation, as well as activities to improve communication and public awareness. Full use will be made of demonstration actions.

5.4.3.   Measure and assess progress towards a green economy

It is necessary to develop robust indicators at all appropriate spatial scales that are complementary to GDP, methods and systems to support and assess the transition towards a green economy and the effectiveness of relevant policy options. Driven by a life-cycle approach, research and innovation will improve the quality and availability of data, measurement methods and systems relevant to resource efficiency and eco-innovation and facilitate the development of innovative offset schemes. Socio economic research will provide a better understanding of the root causes of producer and consumer behaviour and thus contribute to the design of more effective policy instruments to facilitate the transition to a resource efficient and climate change resilient economy. Moreover, technology assessment methodologies and integrated modelling will be developed to support resource efficiency and eco-innovation policies at all levels, while increasing policy coherence and resolving trade-offs. The results will enable the monitoring, assessment and reduction in material and energy flows involved in production and consumption, and will enable policy-makers and businesses to integrate environmental costs and externalities into their actions and decisions.

5.4.4.   Foster resource efficiency through digital systems

Innovations in information and communication technologies can constitute a key tool to support resource efficiency. To achieve this objective, modern and innovative ICT will contribute to significant efficiency gains in productivity, notably through automated processes, real time monitoring and decision support systems. The use of ICT will look to accelerate a progressive dematerialisation of the economy, by increasing the shift towards digital services, and to facilitate changes of consumption behaviours and business models through the use of the ICT of the future.

5.5.   Developing comprehensive and sustained global environmental observation and information systems

Comprehensive environmental observation and information systems are essential to ensure the delivery of the long-term data and information required to address this challenge. These systems will be used to
  monitor,
  assess and predict the condition, status and trends of the climate, natural resources including raw materials,
  terrestrial and marine (from coastal zones to deep sea)
  ecosystems and ecosystem services, as well as to evaluate low-carbon and climate mitigation and adaptation policies and options across all sectors of the economy. Information and knowledge from these systems will be used to stimulate the smart use of strategic resources; to support the development of evidence-based policies; to foster new environmental and climate services; and to develop new opportunities in global markets.

Capabilities, technologies and data infrastructures for Earth observation and monitoring must build on advances in ICT, space technologies and enabled networks, remotely sensed observations, novel in situ sensors, mobile services, communication networks, participatory web-service tools and improved computing and modelling infrastructure, with the aim of continuously providing timely and accurate information, forecasts and projections. Free, open and unrestricted access to interoperable data and information will be encouraged, as well as the effective
  and — if required — secure
  storage, management and dissemination of research results.
  Activities shall help define future operational activities of the European Earth Monitoring programme (Copernicus) and enhance the use of Copernicus data for research activities.

5.6.
     
  Cultural heritage

Cultural heritage assets are unique and irreplaceable in their tangible form as well as in their intangible value, cultural significance and meaning. They are a major driver of societal cohesion, identity and well-being as well as contributing significantly to sustainable growth and job creation. However, Europe's cultural heritage is subject to deterioration and damage, further exacerbated by increasing exposure to human activities (e.g. tourism) and extreme weather events resulting from climate change as well as due to other natural hazards and disasters.

The aim of this activity is to provide knowledge and innovative solutions, through adaptation and mitigation strategies, methodologies, technologies, products and services for the preservation and management of tangible cultural heritage in Europe at risk from climate change.

To achieve this, multidisciplinary research and innovation will focus on the following:

5.6.1.
     
  Identifying resilience levels via observations, monitoring and modelling

New and improved damage assessment, monitoring and modelling techniques will be developed to improve the scientific knowledge-base of the impact on cultural heritage of climate change and other environmental and human risk factors. The knowledge and understanding generated with the help of scenarios, models and tools, including analysis of the perception of value, will help provide a sound scientific basis for the development of resilience strategies, policies and standards, within a coherent framework for risk assessment and management of cultural heritage assets.

5.6.2
     
  Providing for a better understanding on how communities perceive and respond to climate change and seismic and volcanic hazards

Research and innovation will, through integrated approaches, develop resource efficient solutions for prevention, adaptation and mitigation, involving innovative methodologies, technologies, products and services for the preservation of cultural heritage assets, cultural landscapes and historic habitats.

5.7.
     Specific implementation aspects

Activities will enhance the Union's participation in and financial contribution to multilateral processes and initiatives, such as the Intergovernmental Panel on Climate Change (IPCC), the Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES), and the Group on Earth Observations (GEO). Cooperation with other major public and private research funders
  as well as with major research networks
  will improve global and European research efficiency and contribute to global research governance.

S&T cooperation will contribute to the UNFCCC global technology mechanism and facilitate technology development, innovation and transfer in support of climate adaptation and the mitigation of greenhouse gases.

Building on the outcomes of the UN Rio+20 Conference, a mechanism will be explored to systematically collect, collate and analyse scientific and technological knowledge on key sustainable development and green economy issues, which will include a framework for measuring progress. This will complement existing scientific panels and bodies and seek synergies with them.

Research actions under this challenge will contribute to
  European Earth Monitoring Programme
  (
  Copernicus
  ) operational services by providing a developmental knowledge base for Copernicus.
  Consideration may be given to support relevant Joint Programming Initiatives (JPIs) and relevant public-public and public-private partnerships.

Approriate links with the actions of relevant European Innovation Partnerships and the relevant aspects of the research and innovation agendas of European Technology Platforms will also be established.

Specific measures will ensure that results from Union research and innovation in the fields of climate, resource efficiency and raw materials are used downstream by other Union programmes, such as the LIFE + programme,
  European
  Structural
  and Investment
  funds, and external cooperation programmes.

Activities will also, inter alia, build upon and enhance those undertaken in the Eco-Innovation Programme.

Actions will also provide
  : the continuous analysis of scientific and technological progress in the Union and its major partner countries and regions; an early investigation of market opportunities for new environmental technologies and practices; foresight for research & innovation and policy.

6.   
  EUROPE IN A CHANGING WORLD
   — INCLUSIVE, INNOVATIVE AND
  REFLECTIVE
  SOCIETIES

This section includes research and innovation activities contributing to make societies more inclusive
  , innovative and
  reflective, and also specific measures supporting particular cross-cutting issues mentioned in this Societal Challenge

   (16).

6.1.   Inclusive societies

Current trends at play in European societies bring with them opportunities for a more united Europe but also risks
  and challenges
  . These opportunities, risks
  and challenges
  need to be understood and anticipated in order for Europe to evolve with adequate solidarity and cooperation at social, economic, political
  , educational
  and cultural levels, taking into account an increasingly interconnected
  and interdependent
  world.

In this context, the objective is to
  understand, analyse and develop
  social, economic and political inclusion,
  as well as inclusive labour markets,
  combat poverty
  and marginalisation
  , enhance human rights, digital inclusiveness, equality, solidarity and inter-cultural dynamics by supporting
  cutting-edge science,
  interdisciplinary research,
  development of
  indicators, technological advances, organisational
  innovations, development of regional innovation clusters
  and new forms of collaboration and co-creation. Research and other activities shall support the implementation of the Europe 2020 strategy as well as other relevant Union ▌policies.
  Social Sciences and
  Humanities research
  has a leading
  role to play in this context. Specifying, monitoring, assessing
  and addressing
  the objectives of European strategies and policies will require focused research ▌that
  allows
  policy makers to
  analyse and
  assess the impact and effectiveness of envisaged measures, in particular in favour of social inclusion.
  To this end, full societal inclusion and participation must encompass all areas of life and all ages.

The following specific objectives will be pursued
  to understand and foster or implement
  :

6.1.1.   
  The mechanisms to promote
  smart, sustainable and inclusive growth

Europe has developed a specific and rather unique combination of economic progress, social policies aimed at a high level of social cohesion, humanistic shared cultural values embracing democracy and the rule of common law, human rights, respect and preservation of diversity, as well as the promotion of education and science, arts and humanities as fundamental drivers of social and economic progress and wellbeing.
  The constant quest for economic growth carries a number of important human, social, environmental and economic costs. A smart, sustainable and inclusive growth in Europe implies substantial changes in the way growth and
  societal
  wellbeing are defined, measured (including through the measurement of progress beyond the commonly used GDP indicator), generated and sustained over time.

Research will analyse the development of
  citizen participation,
  sustainable lifestyles
  , cultural understanding
  and socio-economic behaviours and values and how they relate to paradigms, policies and to the functioning of institutions,
  communities,
  markets, firms, governance and belief systems in Europe
  and their relations with other regions and economies
  . It will develop tools for a better assessment of the contextual and mutual impacts of such evolutions,
  compare public policies against the variety of challenges across Europe,
  and
  analyse
  policy options
  and decision making mechanisms
  in areas such as employment, taxation, inequalities, poverty, social inclusion, education and skills, community development, competitiveness and the Internal Market
  with a view to understanding the new conditions and opportunities for greater European integration and the role of its social, cultural, scientific and economic components and synergies as sources of comparative Union advantages at world level.

Implications for growth, the labour market and wellbeing of demographic change due to ageing societies and migration movements will be analysed. In this context, to be able to tackle the challenge of future growth, it is important to take into account the different components of knowledge, focusing research on learning, education and training issues, or on the role and place of young people in the society. Research will also develop better tools for assesing sustainability impacts of different economic policies.
  It will also analyse how national economies evolve and which forms of governance at European and international level could help prevent macro-economic imbalances, monetary difficulties, fiscal competition, unemployment and employment problems and other forms of
  societal,
  economic and financial disorders. It will take into account the growing interdependencies between Union and global economies
  , markets and financial systems and resulting challenges for institutional development and public administration. Against the background of the European public debt crisis, emphasis will also be put on research to define the framework conditions for stable European financial and economic systems
  .

6.1.2.   
  Trusted organisations, practices, services and policies that are necessary to build
  resilient, inclusive, participatory, open and creative
  societies in Europe
  , in particular taking into account migration, integration and demographic change

Understanding social
  , cultural and political
  transformations in Europe requires the analysis of changing democratic practices and expectations as well as of the historical evolution of identities, diversity, territories, religions, cultures
  , languages
  and values. This includes a good understanding of the history of European integration.
  Research will seek
  to identify ways to adapt and improve the European welfare systems, public services and the broader social security dimension of policies in order to achieve cohesion,
  gender equality, foster participatory, open and creative societies
  and promote more social and economic equality and intergenerational solidarity. Research will analyse how societies and politics become more European in a broad sense through evolutions of identities, cultures and values, the circulation of
  knowledge,
  ideas and beliefs and combinations of principles and practices of reciprocity, commonality and equality
  , paying particular attention to migration, integration and demographic change
  . It will analyse how vulnerable populations
  (e.g. Roma)
  can participate fully in
  education,
  society and democracy, notably through the acquisition of various skills and the protection of human rights. The analysis of how political systems respond or not to such social evolutions and themselves evolve will thus be central. Research will also address the evolution of key systems that provide underlying forms of
  human and
  social bonds, such as family, work, education and employment and help
  to
  combat
  social inequalities and exclusion and poverty
  .
  Social cohesion and fair and reliable justice, education, democracy, tolerance and diversity are factors that need to be carefully considered with a view to identifying and better exploiting European comparative advantages at world level and of providing improved evidence-based support to policies. Research
  will take into account the importance of
  mobility and
  migration
  , including intra-European flows,
  and demography in the future development of European policies.

Besides, understanding the strains and opportunities arising from the uptake of ICT, both at individual and collective levels, is important in order to open new paths of inclusive innovation.
  Given the increasing socio-economic importance of digital inclusion, research and ▌innovation actions will promote inclusive ICT solutions and the effective acquisition of digital skills leading to the empowerment of citizens and a competitive workforce. Emphasis will be given to new technological advances that will enable a radical improvement in personalisation, user-friendliness and accessibility through a better understanding of citizen, consumer and user behaviours and values, including persons with disabilities. This will require an ‘inclusion by design’ research and innovation approach.

6.1.3.   ▌Europe's role as a global actor
  , notably regarding human rights and global justice.

Europe's distinct historical, political, social and cultural system is increasingly confronted with the impact of global changes. In order to further develop its external action in its neighbourhood and beyond and its role as a global actor, Europe has to improve its capacities for defining, prioritising, explaining, assessing and promoting its policy objectives
  in interaction
  with other world regions and societies to further cooperation or prevent or solve conflicts. In this regard, it also has to improve its capacities for anticipating and responding to the evolution and impacts of globalisation. This requires a greater understanding of
  and learning from
  the history, cultures and political-economic systems of other world regions, as well as of the role and influence of transnational actors. Finally, Europe also has to contribute effectively to global governance
  and global justice,
  in key domains like trade, development, work, economic cooperation,
  environment, education, gender equality and
  human rights, defence and security. This implies the potential to build new capacities whether in terms of tools,
  services,
  systems and instruments of analysis or in terms of diplomacy in formal and informal international arena with governmental and non governmental actors.

6.1.4.
     
  The promotion of sustainable and inclusive environments through innovative spatial and urban planning and design

80 % of the EU’s citizens live today in and around cities and inadequate urban planning and design can thus have tremendous consequences on their lives. Understanding how they function for all citizens, their design, liveability and their attractiveness to, inter alia, investment and skills is critical to Europe's success in creating growth, jobs and a sustainable future.

European research and innovation should provide tools and methods for a more sustainable, open, innovative and inclusive urban and peri-urban planning and design; a better understanding of the dynamics of urban societies and social changes and of the nexus of energy, environment, transport and land-use including the interplay with surrounding rural areas; an improved understanding of design and use of public space within cities also in the context of migration to improve social inclusion and development and reduce urban risks and crime; new ways to reduce pressures on natural resources and stimulate sustainable economic growth while improving the quality of life of European urban citizens; a forward-looking vision on the socio-ecological transition towards a new model of urban development reinforcing EU cities as hubs of innovation and centres of job creation and social cohesion.

6.2.   Innovative societies

The ▌Union share of global knowledge production
  remains considerable, yet its socio-economic
  impacts
  need to be maximized. Efforts will be made to increase
  the efficiency of research and innovation policies and
  their
  transnational policy synergies and coherence. Innovation will be addressed in a wide sense, including large scale policy
  , social-,
  user- and market-driven innovation.
  The experience and innovative power of Creative and Cultural Industries will be taken into account.
  These activities will support the achievement and functioning of the European Research Area and in particular the Flagship initiatives of the Europe 2020 strategy in favour of the ‘Innovation Union’ and the ‘Digital Agenda for Europe’.

The following specific objectives will be pursued:

6.2.1.   
  Strengthen
  the evidence base and support for the Innovation Union and European Research Area

In order to assess and prioritise investments and strengthen the Innovation Union and the European Research Area, the analysis of research
  , education
  and innovation policies, systems and actors in Europe and third countries as well as the development of indicators, data and information infrastructures will be supported. Forward-looking activities and pilot initiatives, economic
  and
  gender analysis, policy monitoring, mutual learning, coordination tools and activities and the development of methodologies for impact assessment and evaluations will also be needed, exploiting direct feedback from ▌stakeholders, enterprises, public authorities, civil society organisations and
  citizens.
  This analysis should be conducted in coherence with studies on higher education systems in Europe and third countries within ‘Erasmus for all’.

To ensure a single market for research and innovation, measures to incentivise ERA compatible behaviour will be implemented. Activities underpinning policies related to the quality of research training, mobility and career development of researchers will be supported, including initiatives to provide for mobility services, open recruitment,
  women’s participation in the sciences,
  researchers' rights and links with global researcher communities. These activities will be implemented seeking synergies and close coordination with the Marie
  Skłodowska-
  Curie Actions under ‘Excellent science’. Institutions presenting innovative concepts for the rapid implementation of ERA principles, including the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers,
  the Commission Recommendation on the management of intellectual property in knowledge transfer activities and the Code of Practice for universities and other public research institutions

   (17), will be supported.

As
  regards
  coordination of policies, a facility for policy advice will be set up to make expert policy advice available to national authorities when defining their National Reform Programmes and research and innovation strategies.

To implement the Innovation Union initiative, there is also a need to support ▌market-driven innovation, open innovation
  , public sector and social innovation
  in view of enhancing the innovation capacity of firms and fostering European competitiveness. This will require improving the overall framework conditions for innovation as well as tackling the specific barriers preventing the growth of innovative firms. Powerful innovation support mechanisms (for e.g. improved cluster management, public-private partnerships and network cooperation), highly specialised innovation support services (on e.g.
  IP management/exploitation, networking of IPR owners and users
  , innovation management
  , entrepreneurship skills
  , networks of procurers) and reviews of public policies in relation to innovation will be supported. Issues specific to SMEs will be supported under the specific objective ‘Innovation in SMEs’.

6.2.2.   
  Explore
  new forms of innovation,
  with special emphasis on
  social innovation and creativity
  and understand how all forms of innovation are developed, succeed or fail

Social innovation generates new goods, services, processes and models that meet societal needs and create new social relationships.
  As means of innovation are constantly changing, further research is needed into the development of all forms of innovation and the way innovation meets the needs of society.
  It is important to understand how social innovation and creativity may lead to change in existing structures
  , practices
  and policies and how they can be encouraged and scaled-up.
  It is important to assess the impact of
  on-line ▌platforms networking citizens ▌. Support will also be given to
  the use of design in companies,
  networking and experimentation of the use of ICT for improving learning processes, as well as to networks of social innovators and social entrepreneurs.
  Research will also focus on the processes of innovation and how they develop, succeed or fail (including risk taking and the role of different regulatory environments)
  .

It will be essential to promote innovation in order to foster efficient, open and citizen-centric public services (
  e.g.
  eGovernment). This will require multidisciplinary research on new technologies and large-scale innovation related in particular to digital privacy, interoperability, personalised electronic identification, open data, dynamic user interfaces
  lifelong learning and e-learning platforms, distributed learning systems
  , citizen-centric public service configuration and integration and innovation driven by users, including in social sciences and the humanities. Such actions will also address social-network dynamics and crowd-sourcing and smart-sourcing for co-production of solutions addressing social problems, based
  , for example,
  on open data sets. They will help to manage complex decision-making, in particular the handling and analysis of huge quantities of data for collaborative policy modelling, simulation of decision-making, visualisation techniques, process modelling and participatory systems as well as to analyse changing relationships between citizens and the public sector.

Specific measures shall be developed to involve the public sector as an agent for innovation and change, at national and EU level, in particular through policy support and cross-border innovation measures at the widest geographical level enabling the smart use of ICT in and by public administrations for seamless delivery of public services for citizens and businesses.

6.2.3.   
  Make use of the innovative, creative and productive potential of all generations

Activities will contribute to exploring Europe's opportunities to innovate in terms of new products and technologies, improved services and new business and social models adapted to the changing demographic structure of the society. Activities will enhance taking advantage of the potential of all generations by fostering the development of smart policies to make active ageing a reality in an evolving intergenerational context and by supporting the integration of the generations of young Europeans in all domains of social, political, cultural and economic life, taking into account, amongst others, perception of opportunities for innovation in the context of high unemployment in many EU regions.

6.2.4.   
  Promote
  coherent and effective cooperation with third countries

Horizontal activities will ensure the strategic development of international cooperation across Horizon 2020 and address cross-cutting policy objectives. Activities to support bilateral, multilateral and bi-regional policy dialogues in research and innovation with third countries, regions, international fora and organisations will facilitate policy exchange, mutual learning and priority setting, promote reciprocal access to programmes and monitor the impact of cooperation. Networking and twinning activities will facilitate optimal partnering between research and innovation actors on both sides and improve competencies and cooperation capacity in less advanced third countries. Activities will promote coordination of Union and national cooperation policies and programmes, as well as joint actions of Member States and Associated Countries with third countries in order to enhance their overall impact. Finally, the European research and innovation ‘presence’ in third countries will be consolidated and strengthened, notably by
  exploring
  the creation of European
  virtual
  ‘science and innovation houses’ , services to European organisations extending their activities into third countries and the opening of research centres established jointly with third countries to organisations or researchers from other Member States and Associated Countries.

6.3.
     
  Reflective societies — Cultural heritage and European identity

The aim is to contribute to an understanding of Europe's intellectual basis: its history and the many European and non-European influences; as an inspiration for our lives today. Europe is characterized by a variety of different peoples (including minorities and indigenous people), traditions and regional and national identities as well as by different levels of economic and societal development. Migration and mobility, the media, industry and transport contribute to the diversity of views and lifestyles. This diversity and its opportunities should be recognized and considered.

European collections in libraries, including digital ones, archives, museums, galleries and other public institutions have a wealth of rich, untapped documentation and objects for study. These archival resources, together with intangible heritage, represent the history of individual Member States but also the collective heritage of a European Union that has emerged through time. Such materials should be made accessible, also through new technologies, to researchers and citizens to enable a look to the future through the archive of the past. Accessibility and preservation of cultural heritage in these forms is needed for the vitality of the living engagements within and across European cultures now and contributes to sustainable economic growth.

The focus of activities shall be to:

6.3.1.
     
  Study European heritage, memory, identity, integration and cultural interaction and translation, including its representations in cultural and scientific collections, archives and museums, to better inform and understand the present by richer interpretations of the past

The activities will contribute to a critical analysis of how a European tangible and non-tangible heritage has developed over time, including language, memories, practices, institutions and identities. They will include studies of the interpretations and practices of cultural interactions, integration and exclusion.

An intensified European integration process has underlined that a wider European identity sphere exists — one which complements other types of identities in Europe. A broad spectrum of evidence and testimonies of European identity spheres can be found in European and non-European scientific collections, archives, museums, libraries and cultural heritage sites. They offer materials and documents which enable greater understanding of identity building processes that allow reflections about social, cultural or even economic processes that contribute to past, actual and future forms of European identity. The objective is to develop innovations and to use and analyse objects and/or documentation in cultural and scientific collections, archives and museums to improve our understanding of how European identity can be traced, constructed or debated.

The issues of multilingualism, translation and circulation of ideas across Europe and from and to Europe and how they form part of a common European intellectual heritage will be explored.

6.3.2.
     
  Research into European countries’ and regions’ history, literature, art, philosophy and religions and how these have informed contemporary European diversity

Cultural diversity is an important facet constituting Europe’s singularity and providing a source of strength dynamism and creativity. The activities will address the contemporary European diversity and how this diversity is shaped by history while they will also help to analyse how such diversity is conducive to new intercultural developments, or even tensions and conflicts. The role of arts, media, landscapes, literature, languages, philosophy and religions, in relation to this diversity, will be central as they offer various interpretations of the social, political and cultural realities and influence the visions and practices of individuals and social actors.

6.3.3.
     
  Research on Europe's role in the world, on the mutual influence and ties between the world regions, and a view from outside on European cultures

The activities will address the complexity of the socio-economic and cultural links between Europe and other world regions and assess the potential for improved intercultural exchanges and dialogues taking into account broader social, political and economic developments. They will help to analyse the development of various views in Europe on other world regions and vice-versa.

6.4.
     
  Specific implementation aspects

In order to promote an optimal combination of approaches, cooperation between this Societal Challenge and the pillar Industrial Leadership shall be established in the form of cross-cutting actions targeting the field of interaction between humans and technology. Technological innovation based on ICT will play an important role in enhancing the productivity and engaging the creativity of citizens from all generations in an innovative society.

Implementation under this Challenge will also enjoy the support of administration and coordination of international networks for excellent researchers and innovators such as COST and EURAXESS, and therefore also contribute to the European Research Area.

Consideration may be given to support relevant Joint Programming Initiatives (JPIs) and relevant public-public and public-private partnerships.

Appropriate links with the actions of relevant European Innovation Partnerships and the relevant aspects of the research and innovation agendas of European Technology Platforms will also be established.

Research and innovation actions under this challenge will contribute to implementing the Union's international research and innovation cooperation activities, by engaging more strategically in science, technology and innovation cooperation with its main third country partners. In this regard, the Strategic Forum for Scientific and Technological Cooperation (SFIC) will continue to give strategic advice to the Council and the Commission on the international dimension of the European Research Area.

7.
     SECURE SOCIETIES
  - PROTECTING FREEDOM AND SECURITY OF EUROPE AND ITS CITIZENS

The European Union, its citizens and its international partners are confronted with a range of security threats
  and challenges
  like crime, terrorism and mass emergencies due to man-made or natural disasters. These ▌can span across borders and aim at physical targets or the cyberspace. Attacks against
  critical infrastructures, networks and
  Internet sites of public authorities and private entities for instance not only undermine the citizen's trust but may seriously affect such essential sectors as energy, transport, health, finance or telecommunications.

In order to anticipate, prevent and manage these threats, it is necessary to develop and apply innovative technologies, solutions, foresight tools and knowledge, stimulate cooperation between providers and users, find civil security solutions, improve the competitiveness of ▌ European security,
  industry
  and services
  , including ICT
  and prevent and combat the abuse of privacy and breaches of human rights in Internet
  , and elsewhere, while ensuring European citizens individual rights and freedom.

The coordination and improvement of the security research
  and innovation
  area will thus be an essential element and will help to map present research efforts, including foresight, and improve relevant legal conditions and procedures for coordination, including pre-normative activities.

Activities
  within this challenge shall have an exclusive focus on civil applications and
  will follow a mission-oriented approach
  , promote efficient cooperation of end-users, industry and researchers,
  and integrate the relevant societal dimensions
  whilst complying with ethical principles
  . They will support the Union's policies for internal and external security,
  including the Common Foreign and Security Policy and its Common Security and Defence Policy, and improve
  cyber security, trust and privacy in the Digital single Market.
  The activities will include a focus on the research and development of the next generation of innovative solutions, by working on novel concepts and designs, and interoperable standards. This will be done by developing innovative technologies and solutions that address security gaps and lead to a reduction in the risk from security threats.

The following specific objectives will be pursued:

7.1.
     
  Fight
  crime
  , illegal trafficking
  and terrorism
  , including understanding and tackling terrorist ideas and beliefs

The ambition is both to avoid an incident and to mitigate its potential consequences.
  This requires new technologies and capabilities for fighting and preventing crime (including cyber crime), illegal trafficking and terrorism (including cyber terrorism), including understanding causes and impacts of radicalisation and violent extremism, and tackling terrorist ideas and beliefs to also avoid aviation related threats.

7.2.
     
  Protect and improve the resilience of critical infrastructures, supply chains and transport modes

New technologies
  , processes, methods
  and dedicated capabilities will help to protect critical infrastructures
  (including in urban areas)
  , systems and services
  which are essential for the good functioning of society and economy
  (including communications, transport,
  finance,
  health, food, water, energy, logistic and supply chain, and environment). This will include analysing and securing public and private critical networked infrastructures and services against any type of threats
  , including aviation related threats. This will also include protection of maritime transport routes
  .

7.3.
     
  Strengthen
  security through border management

Technologies and capabilities are also required to enhance systems, equipments, tools, processes, and methods for rapid identification to improve
  land, marine and coastal
  border security
  and management
  , including both control and surveillance issues, while exploiting the full potential of EUROSUR. These will be developed and tested considering their effectiveness, compliance with legal and ethical principles, proportionality, social acceptability and the respect of fundamental rights. Research will also support the improvement of the integrated European border management, including through increased cooperation with candidate, potential candidate and European Neighbourhood Policy countries.

▌

7.4.
     
  Improve
  cyber security

Cyber security is a prerequisite for people, business and public services in order to benefit from the opportunities offered by the Internet
  or any other additional data networks and communication infrastructures
  . It requires providing
  an improved
  security for systems, networks, access devices, and software and services, including cloud computing, while taking into account the interoperability of multiple technologies. Research
  and innovation will be supported to help
  prevent, detect and manage in real-time cyber-attacks across multiple domains and jurisdictions, and to protect critical ICT infrastructures. The digital society is in full development with constantly changing uses and abuses of the Internet, new ways of social interaction, new mobile and location-based services and the emergence of the Internet of Things. This requires a new type of research which should be triggered by the emerging applications, usage and societal trends. Nimble research initiatives will be undertaken including pro-active R&D to react quickly to new contemporary developments in trust and security.
  Particular attention should be given to the protection of children, as they are highly vulnerable to the emerging forms of cyber crime and abuse.

Work here should be conducted in close co-ordination with the ICT strand of the ‘Industrial Leadership’ pillar.

7.5.
     
  Increase
  Europe's resilience to crises and disasters

This requires the development of dedicated technologies and capabilities to support different types of emergency management operations
  in crises and disaster situations
  (such as civil protection, fire fighting
  , environmental contamination,
  marine pollution, ▌ civil defence, ▌ development of medical information infrastructures rescue tasks,
  disaster recovery processes
  as well as law enforcement. Research will cover the whole crisis management chain and societal resilience, and support the establishment of a European emergency response capacity.

7.6.
     
  Ensure
  privacy and freedom
  , including
  in the Internet and enhancing the societal
  legal and ethical understanding of all areas
  of security
  , risk and management

Safeguarding the human right of privacy
  including
  in the digital society will require the development of privacy-by-design frameworks and technologies
  to underpin new
  products and services. Technologies will be developed allowing users to control their personal data and its use by third parties; as well as tools to detect and block illegal content and data breaches and to protect human rights on-line preventing that people's behaviours individually or in groups is limited by unlawful searching and profiling.

Any new security solution and technology needs to be acceptable to the society, comply with Union and international law, be effective and proportionate in identifying and addressing the security threat. Better understanding the socioeconomic, cultural, and anthropological dimensions of security, the causes of insecurity, the role of media and communication and the citizen's perceptions, are therefore essential. Ethical
  and legal
  issues and protection of human values and fundamental rights will be addressed
  , as well as risk and management issues
  .

7.7.
     
  Enhance standardisation and interoperability of systems, including for emergency purposes

Pre-normative and standardisation activities will be supported across all mission areas. Attention will be paid to standardization gaps and on the next generation of tools and technologies. Activities across all mission areas will also address the integration and interoperability of systems and services including aspects such as communication, distributed architectures and human factors, including for emergency purposes.

7.7a.   
  Support the Union's external security policies including through conflict prevention and peace-building

New technologies, capabilities and solutions are required to support the Union's external security policies in civilian tasks, ranging from civil protection to humanitarian relief, border management or peace-keeping and post-crisis stabilisation, including conflict prevention, peace-building and mediation. This will require research on conflict resolution and restoration of peace and justice, early identification of factors leading to conflict and on the impact of restorative justice processes.

This also requires promoting interoperability between civilian and military capabilities in civilian tasks ranging from civil protection to humanitarian relief, border management or peace-keeping. This will include technological development in the sensitive area of dual-use technologies to enhance interoperability between civil protection and military forces and amongst civil protection forces worldwide, as well as reliability, organisational, legal and ethical aspects, trade issues, protection of confidentiality and integrity of information and traceability of all transactions and processing

  .
  [text moved from previous section 7.5]

7.8.
     Specific implementation aspects

Whereas research
  and innovation activities
  will have
  an exclusive focus on
  civil
  applications
  , coordination with the activities of the European Defence Agency (EDA) will be actively pursued in order to strengthen cooperation with EDA, notably through the already established European Framework Cooperation, recognising that there are areas of dual use technology ▌. Coordination mechanisms with relevant Union Agencies, such as ▌ FRONTEX, EMSA
  , ENISA
  and Europol, will also be further strengthened in order to improve the coordination of Union Programmes and policies in the field of both internal and external security, and of other Union initiatives.

Taking into account the particular nature of security, specific arrangements will be put in place with regards to programming and governance, including arrangements with the Committee refered to in Article 9 of this Decision. Classified or otherwise sensitive information related to security will be protected and particular requirements and criteria for international cooperation may be specified in work programmes. This will also be reflected in the programming and governance arrangements for Secure Societies (including the comitology aspects).

PART IIIa

SPREADING EXCELLENCE AND WIDENING PARTICIPATION

[this whole section has been aligned with Framework Regulation]

There are significant disparities across Europe in research and innovation performance which need to be addressed with specific measures. These measures will aim at unlocking excellence and innovation and will be distinct, and where appropriate complementary and synergistic with policies and actions of the European Structural and Investment funds. They include:

| — | Teaming of excellent research institutions and low performing RDI regions: Teaming aims at the creation of new (or significant upgrade of existing) centres of excellence in low performing RDI Member States and regions. It will focus on the preparatory phase for setting up or upgrading and modernising such an institution facilitated by a teaming process with a leading counterpart in Europe, including supporting the development of a business plan. A commitment of the recipient region or Member State (e.g. support via European Structural and Investment funds) is expected. Subject to the quality of the business plan, the Commission may provide further seed financial support for the first steps of implementation of the centre. Building links with innovative clusters and recognising excellence in low performing RDI Member States and regions, including through peer reviews and awarding labels of excellence to those institutions that meet international standards, will be considered. |
| --- | --- |

—

Teaming of excellent research institutions and low performing RDI regions: Teaming aims at the creation of new (or significant upgrade of existing) centres of excellence in low performing RDI Member States and regions. It will focus on the preparatory phase for setting up or upgrading and modernising such an institution facilitated by a teaming process with a leading counterpart in Europe, including supporting the development of a business plan. A commitment of the recipient region or Member State (e.g. support via European Structural and Investment funds) is expected. Subject to the quality of the business plan, the Commission may provide further seed financial support for the first steps of implementation of the centre. Building links with innovative clusters and recognising excellence in low performing RDI Member States and regions, including through peer reviews and awarding labels of excellence to those institutions that meet international standards, will be considered.

| — | Twinning of research institutions: Twinning aims at significantly strenghtening a defined field of research in an emerging institution through links with at least two internationally-leading institutions in a defined field. A comprehensive set of measures underpinning this linkage would be supported (e.g. staff exchanges, expert visits, short-term on-site or virtual trainings, workshops; conference attendance; organisation of joint summer school type activities; dissemination and outreach activities). |
| --- | --- |

—

Twinning of research institutions: Twinning aims at significantly strenghtening a defined field of research in an emerging institution through links with at least two internationally-leading institutions in a defined field. A comprehensive set of measures underpinning this linkage would be supported (e.g. staff exchanges, expert visits, short-term on-site or virtual trainings, workshops; conference attendance; organisation of joint summer school type activities; dissemination and outreach activities).

| — | ‘ERA Chairs’: Establishing ‘ERA Chairs’ to attract outstanding academics to institutions with a clear potential for research excellence, in order to help these institutions fully unlock this potential and hereby create a level playing field for research and innovation in the European Research Area. This will include institutional support for creating a competitive research environment and the framework conditions necessary for attracting, retaining and developing top research talent within these institutions. Possible synergies with ERC activities should be explored. |
| --- | --- |

—

‘ERA Chairs’: Establishing ‘ERA Chairs’ to attract outstanding academics to institutions with a clear potential for research excellence, in order to help these institutions fully unlock this potential and hereby create a level playing field for research and innovation in the European Research Area. This will include institutional support for creating a competitive research environment and the framework conditions necessary for attracting, retaining and developing top research talent within these institutions. Possible synergies with ERC activities should be explored.

| — | Policy Support Facility (PSF): This will aim to improve the design, implementation and evaluation of national/regional research and innovation policies. It will offer expert advice to public authorities at national or regional level on a voluntary basis, covering the needs to access the relevant body of knowledge, to benefit from the insight of international experts, to use state of the art methodologies and tools, to receive tailor-made advice. |
| --- | --- |

—

Policy Support Facility (PSF): This will aim to improve the design, implementation and evaluation of national/regional research and innovation policies. It will offer expert advice to public authorities at national or regional level on a voluntary basis, covering the needs to access the relevant body of knowledge, to benefit from the insight of international experts, to use state of the art methodologies and tools, to receive tailor-made advice.

| — | Supporting access to international networks for excellent researchers and innovators who lack sufficient involvement in European and international networks. This will include support provided through COST. |
| --- | --- |

—

Supporting access to international networks for excellent researchers and innovators who lack sufficient involvement in European and international networks. This will include support provided through COST.

| — | Strengthening the administrative and operational capacity of transnational networks of National Contact Points, including through training, financial and technical support, while improving the framework for the operation of NCPs and the flow of information between them and the Horizon 2020 implementation bodies, so that NCPs can provide better support to potential participants. |
| --- | --- |

—

Strengthening the administrative and operational capacity of transnational networks of National Contact Points, including through training, financial and technical support, while improving the framework for the operation of NCPs and the flow of information between them and the Horizon 2020 implementation bodies, so that NCPs can provide better support to potential participants.

PART IIIb

SCIENCE WITH AND FOR SOCIETY

[this whole section has been aligned with Framework Regulation]

The aim is to build effective cooperation between science and society, to recruit new talent for science and to pair scientific excellence with social awareness and responsibility.

The strength of the European science and technology system depends on its capacity to harness talent and ideas from wherever they exist. This can only be achieved if a fruitful and rich dialogue and active cooperation between science and society is developed to ensure a more responsible science and to enable the development of policies more relevant to citizens. Rapid advances in contemporary scientific research and innovation have led to a rise of important ethical, legal and social issues that affect the relationship between science and society.

Improving the cooperation between science and society to enable a widening of the social and political support to science and to technology in all Member States is increasingly a crucial issue that the current economic crisis has greatly exacerbated. Public investment in science requires a vast social and political constituency sharing the values of science, educated and engaged in its processes and able to recognise its contributions to knowledge, to society and to economic progress.

The focus of activities shall be to:

| (a) | Making scientific and technological careers attractive to young students, and foster sustainable interaction between schools, research institutions, industry and civil society organisations; |
| --- | --- |

(a)

Making scientific and technological careers attractive to young students, and foster sustainable interaction between schools, research institutions, industry and civil society organisations;

| (b) | Promoting gender equality in particular by supporting structural changes in the organisation of research institutions and in the content and design of research activities; |
| --- | --- |

(b)

Promoting gender equality in particular by supporting structural changes in the organisation of research institutions and in the content and design of research activities;

| (c) | Integrating society in science and innovation issues, policies and activities in order to integrate citizens' interests and values and to increase the quality, relevance, social acceptability and sustainability of research and innovation outcomes in various fields of activity from social innovation to areas such as biotechnology and nanotechnology; |
| --- | --- |

(c)

Integrating society in science and innovation issues, policies and activities in order to integrate citizens' interests and values and to increase the quality, relevance, social acceptability and sustainability of research and innovation outcomes in various fields of activity from social innovation to areas such as biotechnology and nanotechnology;

| (d) | Developing the accessibility and the use of the results of publicly-funded research; |
| --- | --- |

(d)

Developing the accessibility and the use of the results of publicly-funded research;

| (e) | Developing the governance for the advancement of responsible research and innovation by all stakeholders (researchers, public authorities, industry and civil society organisations), which is sensitive to society needs and demands; promote an ethics framework for research and innovation; |
| --- | --- |

(e)

Developing the governance for the advancement of responsible research and innovation by all stakeholders (researchers, public authorities, industry and civil society organisations), which is sensitive to society needs and demands; promote an ethics framework for research and innovation;

| (f) | Taking due and proportional precautions in research and innovation activities by anticipating and assessing potential environmental, health and safety impacts; |
| --- | --- |

(f)

Taking due and proportional precautions in research and innovation activities by anticipating and assessing potential environmental, health and safety impacts;

| (g) | Improving knowledge on science communication in order to improve the quality and effectiveness of interactions between scientists, general media and the public. |
| --- | --- |

(g)

Improving knowledge on science communication in order to improve the quality and effectiveness of interactions between scientists, general media and the public.

PART IV

NON-NUCLEAR DIRECT ACTIONS OF THE JOINT RESEARCH CENTRE (JRC)

The Joint Research Centre shall contribute to the general objective and priorities of Horizon 2020 by providing scientific and technical support to Union policies, in collaboration with relevant national and regional research stakeholders, where appropriate. The JRC activities will be conducted taking into account relevant initiatives at the level of regions, Member States or the EU, within the perspective of shaping the European Research Area.

1.   EXCELLENT SCIENCE

The JRC will carry out research to enhance the scientific evidence base for policy making ▌and to examine emerging fields of science and technology, including through an exploratory research programme.

2.   INDUSTRIAL LEADERSHIP

The JRC will contribute to innovation and competitiveness through:

| (a) | Continuing to contribute to the strategic orientation and science agenda of relevant instruments of indirect research, such as European Innovation Partnerships as well as public-private partnerships and public-public partnerships. |
| --- | --- |

(a)

Continuing to contribute to the strategic orientation and science agenda of relevant instruments of indirect research, such as European Innovation Partnerships as well as public-private partnerships and public-public partnerships.

| (b) | Support to knowledge and technology transfer through definition of appropriate Intellectual Property Rights frameworks for different research and innovation instruments, and promotion of cooperation in knowledge and technology transfer among large public research organisations. |
| --- | --- |

(b)

Support to knowledge and technology transfer through definition of appropriate Intellectual Property Rights frameworks for different research and innovation instruments, and promotion of cooperation in knowledge and technology transfer among large public research organisations.

| (c) | Contributions to facilitating the use, standardisation and validation of space technologies and data, in particular to tackle the societal challenges. |
| --- | --- |

(c)

Contributions to facilitating the use, standardisation and validation of space technologies and data, in particular to tackle the societal challenges.

3.   SOCIETAL CHALLENGES

3.1.   Health, demographic change and wellbeing

The JRC will contribute to harmonisation of methods, standards, and practices in support of Union legislation targeting health and consumer protection through:

| (a) | Assessment of risks and opportunities of new technologies and chemicals, including nanomaterials, in food, feed and consumer products; development and validation of harmonised measurement, identification and quantification methods, integrated testing strategies and state-of-the-art tools for toxicological hazard assessment, including alternative methods to animal testing; assessment of health effects of environmental pollution. |
| --- | --- |

(a)

Assessment of risks and opportunities of new technologies and chemicals, including nanomaterials, in food, feed and consumer products; development and validation of harmonised measurement, identification and quantification methods, integrated testing strategies and state-of-the-art tools for toxicological hazard assessment, including alternative methods to animal testing; assessment of health effects of environmental pollution.

| (b) | Development and quality assurance of health testing and screening practices including genetic testing and cancer screening. |
| --- | --- |

(b)

Development and quality assurance of health testing and screening practices including genetic testing and cancer screening.

3.2.   ▌Food security, sustainable agriculture
  and forestry
  , marine and maritime
  and inland water
  research and the bioeconomy

The JRC will support the development, implementation and monitoring of European agriculture and fisheries policies, including food security and development of the bio-economy through:

| (a) | Establishment of a global system and tools for crop forecasting and monitoring of crop productivity; support to improve short- to mid-term outlooks of agricultural commodities, including the predicted effects of climate change |
| --- | --- |

(a)

Establishment of a global system and tools for crop forecasting and monitoring of crop productivity; support to improve short- to mid-term outlooks of agricultural commodities, including the predicted effects of climate change

| (b) | Contribution to biotechnological innovation and improved resource efficiency to produce ‘more with less’ through techno-economic analyses and modelling. |
| --- | --- |

(b)

Contribution to biotechnological innovation and improved resource efficiency to produce ‘more with less’ through techno-economic analyses and modelling.

| (c) | Scenario modelling for decision-making in agricultural policies and analyses of policy impact at macro/regional/micro levels; analysis of the impact of the ‘CAP towards 2020’ on developing/emerging economies. |
| --- | --- |

(c)

Scenario modelling for decision-making in agricultural policies and analyses of policy impact at macro/regional/micro levels; analysis of the impact of the ‘CAP towards 2020’ on developing/emerging economies.

| (d) | Further development of methods for fisheries control and enforcement and traceability of fish and fish products; development of robust ecosystem health indicators and bio-economic modelling to better understand the direct effects (e.g. fishing) and indirect effects (climate change) of human activities on the fish stock dynamics, the marine environment, and their socio-economic impact. |
| --- | --- |

(d)

Further development of methods for fisheries control and enforcement and traceability of fish and fish products; development of robust ecosystem health indicators and bio-economic modelling to better understand the direct effects (e.g. fishing) and indirect effects (climate change) of human activities on the fish stock dynamics, the marine environment, and their socio-economic impact.

3.3.   Secure, clean and efficient energy

The JRC will focus on the 20/20/20 climate and energy targets and the Union's transition to a competitive low-carbon economy by 2050 with research on technological and socio-economic aspects of:

| (a) | Security of energy supply, in particular as regards links and interdependencies with the extra-European energy supply and transmission systems; mapping indigenous primary and external energy sources and infrastructures on which Europe depends. |
| --- | --- |

(a)

Security of energy supply, in particular as regards links and interdependencies with the extra-European energy supply and transmission systems; mapping indigenous primary and external energy sources and infrastructures on which Europe depends.

| (b) | Energy/electricity transmission networks, in particular modelling and simulation of trans-European energy networks, analysis of smart/super grid technologies, and real-time simulation of power systems. |
| --- | --- |

(b)

Energy/electricity transmission networks, in particular modelling and simulation of trans-European energy networks, analysis of smart/super grid technologies, and real-time simulation of power systems.

| (c) | Energy efficiency, in particular methodologies for monitoring and assessing the achievements of energy efficiency policy instruments, techno-economic analysis of the use of energy-efficient technologies and instruments and of smart grids. |
| --- | --- |

(c)

Energy efficiency, in particular methodologies for monitoring and assessing the achievements of energy efficiency policy instruments, techno-economic analysis of the use of energy-efficient technologies and instruments and of smart grids.

| (d) | Low-carbon technologies (including safety of nuclear energy in the Euratom programme), in particular performance assessment and pre-normative research of prospective low-carbon technologies; analysis and modelling of drivers and barriers of their development and deployment; assessment of renewable resources and bottlenecks, such as critical raw materials, in the supply chain of low-carbon technologies; continuous development of the Strategic Energy Technology Plan Information System (SETIS) and related activities. |
| --- | --- |

(d)

Low-carbon technologies (including safety of nuclear energy in the Euratom programme), in particular performance assessment and pre-normative research of prospective low-carbon technologies; analysis and modelling of drivers and barriers of their development and deployment; assessment of renewable resources and bottlenecks, such as critical raw materials, in the supply chain of low-carbon technologies; continuous development of the Strategic Energy Technology Plan Information System (SETIS) and related activities.

3.4.   Smart, green and integrated transport

The JRC will support the 2050 goals of a competitive, smart, resource efficient and integrated transport system for safe and secure transport of people and goods through laboratory studies, modelling and monitoring approaches on:

| (a) | Strategic low-carbon transport technologies for all transport modes, including road transport electrification and alternative fuelled aircrafts/vessels/vehicles, and further development of a Commission internal clearing house for collecting and disseminating information on relevant technologies; availability and costs of non-fossil based fuels and energy sources, including impacts of electrified road transport on electricity grids and electricity generation. |
| --- | --- |

(a)

Strategic low-carbon transport technologies for all transport modes, including road transport electrification and alternative fuelled aircrafts/vessels/vehicles, and further development of a Commission internal clearing house for collecting and disseminating information on relevant technologies; availability and costs of non-fossil based fuels and energy sources, including impacts of electrified road transport on electricity grids and electricity generation.

| (b) | Clean and efficient vehicles, in particular definition of harmonised test procedures and assessment of innovative technologies in terms of emissions, conventional and alternative fuel efficiency and safety; developing improved methodologies for emission measurements and environmental pressures calculations; coordinating and harmonizing emissions inventorying and monitoring activities at European level. |
| --- | --- |

(b)

Clean and efficient vehicles, in particular definition of harmonised test procedures and assessment of innovative technologies in terms of emissions, conventional and alternative fuel efficiency and safety; developing improved methodologies for emission measurements and environmental pressures calculations; coordinating and harmonizing emissions inventorying and monitoring activities at European level.

| (c) | Smart mobility systems to achieve secure, intelligent and integrated mobility, including techno-economic assessment of new transport systems and components, applications for improved traffic management and contribution to the design of an integrated approach to transport demand and management. |
| --- | --- |

(c)

Smart mobility systems to achieve secure, intelligent and integrated mobility, including techno-economic assessment of new transport systems and components, applications for improved traffic management and contribution to the design of an integrated approach to transport demand and management.

| (d) | Integrated transport safety, in particular provision of tools and services for collecting, sharing and analysing incidents and accidents information in the aviation, maritime and land transport sectors; enhance accidents prevention through analysis and cross modal safety lessons while contributing to cost savings and efficiency gains. |
| --- | --- |

(d)

Integrated transport safety, in particular provision of tools and services for collecting, sharing and analysing incidents and accidents information in the aviation, maritime and land transport sectors; enhance accidents prevention through analysis and cross modal safety lessons while contributing to cost savings and efficiency gains.

3.5.   Climate action,
  environment,
  resource efficiency and raw materials

The JRC will contribute to the greening of Europe, security of resource supply and a global sustainable management of natural resources through:

| (a) | Enabling access to interoperable environmental data and information through the further development of standards and interoperability arrangements, geo-spatial tools and innovative information communication technology infrastructures such as the Infrastructure for Spatial Information in the European Union (INSPIRE), and other Union and global initiatives. |
| --- | --- |

(a)

Enabling access to interoperable environmental data and information through the further development of standards and interoperability arrangements, geo-spatial tools and innovative information communication technology infrastructures such as the Infrastructure for Spatial Information in the European Union (INSPIRE), and other Union and global initiatives.

| (b) | Measuring and monitoring key environmental variables and assessing the state and change of natural resources by further developing indicators and information systems contributing to environmental infrastructures. Assessing ecosystem services including their valuation and climate change effects. |
| --- | --- |

(b)

Measuring and monitoring key environmental variables and assessing the state and change of natural resources by further developing indicators and information systems contributing to environmental infrastructures. Assessing ecosystem services including their valuation and climate change effects.

| (c) | Developing an integrated modelling framework for sustainability assessment based on thematic models such as soil, land use, water, air quality, biodiversity, greenhouse gas emissions, forestry, agriculture, energy and transport, also addressing effects of and responses to climate change. |
| --- | --- |

(c)

Developing an integrated modelling framework for sustainability assessment based on thematic models such as soil, land use, water, air quality, biodiversity, greenhouse gas emissions, forestry, agriculture, energy and transport, also addressing effects of and responses to climate change.

| (d) | Supporting Union development policy goals by promoting technology transfer, monitoring of essential resources (such as forests, soils, food supply), and research to limit impacts of climate change and environmental impacts of resource use, and to resolve trade-offs in the competition for land to produce food or energy with land for e.g. biodiversity. |
| --- | --- |

(d)

Supporting Union development policy goals by promoting technology transfer, monitoring of essential resources (such as forests, soils, food supply), and research to limit impacts of climate change and environmental impacts of resource use, and to resolve trade-offs in the competition for land to produce food or energy with land for e.g. biodiversity.

| (e) | Integrated assessment related to sustainable production and consumption policies, including security of supply of strategic raw materials, resource efficiency, low carbon and clean production processes and technologies, products and services development, consumption patterns and trade. Further development and integration in policy analyses of Life Cycle Assessment. |
| --- | --- |

(e)

Integrated assessment related to sustainable production and consumption policies, including security of supply of strategic raw materials, resource efficiency, low carbon and clean production processes and technologies, products and services development, consumption patterns and trade. Further development and integration in policy analyses of Life Cycle Assessment.

| (f) | Integrated impact analysis of options for climate change mitigation and/or adaptation based on the development of a quantitative tool set of models at regional and global scale, ranging from the sectoral to the macro-economic level. |
| --- | --- |

(f)

Integrated impact analysis of options for climate change mitigation and/or adaptation based on the development of a quantitative tool set of models at regional and global scale, ranging from the sectoral to the macro-economic level.

3.6.   
  Europe in a changing world -
  Inclusive, innovative and
  reflective
  societies

The JRC will contribute to the goals of the Innovation Union ▌and Global Europe through the following activities:

| (a) | Comprehensive analyses of drivers and barriers of research and innovation and development of a modelling platform for the assessment of their micro- and macro-economic impacts. |
| --- | --- |

(a)

Comprehensive analyses of drivers and barriers of research and innovation and development of a modelling platform for the assessment of their micro- and macro-economic impacts.

| (b) | Contributions to the monitoring of the implementation of the Innovation Union via scoreboards, development of indicators etc. and operation of a public information and intelligence system to host relevant data and information. |
| --- | --- |

(b)

Contributions to the monitoring of the implementation of the Innovation Union via scoreboards, development of indicators etc. and operation of a public information and intelligence system to host relevant data and information.

| (c) | Operation of a public information and intelligence platform for assisting national and regional authorities with smart specialisation; quantitative economic analysis of the spatial pattern of economic activity, in particular addressing economic, social and territorial disparities and changes in the pattern in response to technological developments. |
| --- | --- |

(c)

Operation of a public information and intelligence platform for assisting national and regional authorities with smart specialisation; quantitative economic analysis of the spatial pattern of economic activity, in particular addressing economic, social and territorial disparities and changes in the pattern in response to technological developments.

| (d) | Econometrics and macro-economic analysis of the reform of the financial system to contribute to maintain an efficient Union framework for financial crisis management; continuing to provide methodological support for monitoring of Member State budget positions in relation to the Stability and Growth Pact. |
| --- | --- |

(d)

Econometrics and macro-economic analysis of the reform of the financial system to contribute to maintain an efficient Union framework for financial crisis management; continuing to provide methodological support for monitoring of Member State budget positions in relation to the Stability and Growth Pact.

| (e) | Monitor the functioning of the European Research Area (ERA) and analysing drivers of and barriers to some of its key elements (such as mobility of researchers, opening up of national research programmes) and proposing relevant policy options; continue to play an important role in the ERA through networking, training, opening its facilities and databases to users in Member States and Candidate and Associated Countries. |
| --- | --- |

(e)

Monitor the functioning of the European Research Area (ERA) and analysing drivers of and barriers to some of its key elements (such as mobility of researchers, opening up of national research programmes) and proposing relevant policy options; continue to play an important role in the ERA through networking, training, opening its facilities and databases to users in Member States and Candidate and Associated Countries.

| (f) | Develop quantitative economic analysis of the Digital Economy; carry out research on the impact of information and communication technologies on the goals of the Digital Society; study the impact of sensitive security issues on the lives of individuals (Digital Living). |
| --- | --- |

(f)

Develop quantitative economic analysis of the Digital Economy; carry out research on the impact of information and communication technologies on the goals of the Digital Society; study the impact of sensitive security issues on the lives of individuals (Digital Living).

3.7.   Secure societies — Protecting freedom and security of Europe and its citizens

The JRC will contribute to the goals of Security and Citizenship through the following activities:

| (a) | Focus on identification and assessment of the vulnerability of critical infrastructures (including global navigation systems, financial markets); improvement of tools for fighting fraud against the Union budget and for maritime surveillance; as well as operational performance assessment of technologies for or affecting personal identity (digital identity). |
| --- | --- |

(a)

Focus on identification and assessment of the vulnerability of critical infrastructures (including global navigation systems, financial markets); improvement of tools for fighting fraud against the Union budget and for maritime surveillance; as well as operational performance assessment of technologies for or affecting personal identity (digital identity).

| (b) | Enhance the Union's capacity for disaster risk reduction and management of natural and man-made disasters notably through the development of global multi-hazard early warning and risk management information systems, making use of Earth Observation technologies. |
| --- | --- |

(b)

Enhance the Union's capacity for disaster risk reduction and management of natural and man-made disasters notably through the development of global multi-hazard early warning and risk management information systems, making use of Earth Observation technologies.

| (c) | Continue to provide tools for the assessment and management of global security challenges such as terrorism and non-proliferation (chemical, biological, radiological and nuclear (in the Euratom programme)), threats arising from socio-political instability and communicable diseases. New areas to be addressed include vulnerability and resilience to emerging or hybrid threats, e.g. accessibility to raw materials, piracy, resource scarcity/competition and effects of climate change on occurrence of natural disasters. |
| --- | --- |

(c)

Continue to provide tools for the assessment and management of global security challenges such as terrorism and non-proliferation (chemical, biological, radiological and nuclear (in the Euratom programme)), threats arising from socio-political instability and communicable diseases. New areas to be addressed include vulnerability and resilience to emerging or hybrid threats, e.g. accessibility to raw materials, piracy, resource scarcity/competition and effects of climate change on occurrence of natural disasters.

4.   SPECIFIC IMPLEMENTATION ASPECTS

In line with the priorities of Global Europe, the JRC will strengthen scientific cooperation with key international organisations and third countries (e.g. UN bodies, OECD, United States of America, Japan, Russia, China, Brazil, India) in areas having a strong global dimension such as climate change, food security, or nanotechnologies.
  This cooperation will be coordinated closely with international cooperation activities of the Union and the Member States.

In order to provide an enhanced service to policy-making, the JRC will further develop its capacity to analyse and provide cross-sectoral policy options and to carry out related impact assessments. This capacity will be supported in particular through strengthening of:

| (a) | Modelling in key areas (e.g., energy and transport, agriculture, climate, environment, economics). The focus will be on both sectoral and integrated models (for sustainability assessments), and cover scientific-technical as well as economic aspects. |
| --- | --- |

(a)

Modelling in key areas (e.g., energy and transport, agriculture, climate, environment, economics). The focus will be on both sectoral and integrated models (for sustainability assessments), and cover scientific-technical as well as economic aspects.

| (b) | Forward-looking studies which will provide analyses of trends and events in science, technology and society and on how these may affect public policies, influence innovation, reinforce competitiveness and sustainable growth. This would enable the JRC to draw attention to issues that may require future policy intervention and to anticipate customers' needs. |
| --- | --- |

(b)

Forward-looking studies which will provide analyses of trends and events in science, technology and society and on how these may affect public policies, influence innovation, reinforce competitiveness and sustainable growth. This would enable the JRC to draw attention to issues that may require future policy intervention and to anticipate customers' needs.

The JRC will strengthen its support to the standardisation process and standards as a horizontal component in support of European competitiveness. Activities will include pre-normative research, development of reference materials and measurements, and harmonization of methodologies. Five focal areas have been identified (energy; transport; Digital Agenda; security and safety (including nuclear in the Euratom programme); consumer protection). Moreover, the JRC will continue to promote dissemination of its results and provide support on the management of Intellectual Property Rights to Union institutions and bodies.

The JRC will establish a capacity in behavioural sciences to support the development of more effective regulation, complementing JRC activities in selected fields such as nutrition, energy efficiency and product policies.

Socio-economic research will be part of activities in relevant areas such as Digital Agenda, sustainable production and consumption or public health.

In order to fulfil its mission as reference centre for the Union, to continue to play a vital role in the ERA, and to enter into new fields of research, it is essential that the JRC disposes of state-of-the-art infrastructure. The JRC will continue its renovation and refurbishment programme to ensure compliance with applicable environmental and safety and security regulations, and will invest into scientific infrastructure, including the development of modelling platforms, facilities for new areas such as genetic testing etc. Such investments will be done in close coordination with the roadmap of the European Strategy Forum of Research Infrastructures (ESFRI) and take into account existing facilities in the Member States.

---

(1)  Commission Recommendation on the management of intellectual property in knowledge transfer activities and Code of Practice for universities and other public research organisations (C(2008)1329, of 10.4.2008).

(2)  In principle at least 80 %

(3)  
  A Regional Partner Facility (RPF) is a research infrastructure of national or regional importance in terms of socio-economic returns, training and attracting researchers and technicians, that is recognised as a partner to a pan-European ESFRI or other world-class research infrastructure. The quality of the RPF including the level of its scientific service, management and access policy must meet the same standards required for pan-European research infrastructures.

(4)  As all research becomes computer- and data-intensive, access to state of the art e-infrastructures has become essential for all researchers. For example, GÉANT connects 40 million users in over 8,000 institutions across 40 countries, whereas the European grid infrastructure is the world's largest distributed computing infrastructure with over 290 sites in 50 countries. Relentless progress in ICT and the increasing needs of science for computing and processing massive amounts of data pose major financing and organisational challenges for ensuring seamless services to researchers.

(5)  Internet of things will be coordinated as a cross-cutting issue.

(6)  Including space based networks.

(7)  

  OJ L 298, 26.10.2012, p. 1.

(8)  
  Commission Staff Working Document SEC(2009)1295 accompanying the Communication on ‘Investing in the Development of Low Carbon Technologies (SET-Plan)’ COM(2009)0519.

(9)  COM(2007)0723.

(10)  
  Commission White Paper on ‘Roadmap to a Single European Transport Area — Towards a competitive and resource efficient transport system’ COM(2011) 144.

(11)  Estimates developed by PricewaterhouseCoopers for ‘sustainability-related global business opportunities in natural resources (including energy, forestry, food and agriculture, water and metals)’ and WBCSD (2010) Vision 2050: The New Agenda for Business, World Business Council for Sustainable Development: Geneva, URL: http://www.wbcsd.org/web/projects/BZrole/Vision2050-FullReport_Final.pdf

(12)  COM (2008)0699.

(13)  European Parliament ‘Policy Department Economic and Scientific Policy, Eco-innovation — putting the EU on the path to a resource and energy efficient economy, Study and briefing notes’, March 2009.

(14)  Eco-innovation Observatory ‘The Eco-Innovation Challenge — Pathways to a resource-efficient Europe — Annual Report 2010’, May 2011.

(15)  
  Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006.

(16)  
  Without prejudice to the budget allocated to this Societal Challenge.

(17)  
  C(2008)1329, 10.4.2008.

ANNEX II

Performance indicators

The following table specifies for the specific objectives of Horizon 2020 a ▌number of key indicators for assessing results and impacts
  that may be refined during the implementation of Horizon 2020
  .

1.   PART I. PRIORITY ‘EXCELLENT SCIENCE’

Indicators for the
  specific objectives:

European Research Council

| — | Share of publications from ERC funded projects which are among the top 1 % highly cited
  per field of science |
| --- | --- |

—

Share of publications from ERC funded projects which are among the top 1 % highly cited
  per field of science

Future and Emerging Technologies

| — | Publications in peer-reviewed high impact journals |
| --- | --- |

—

Publications in peer-reviewed high impact journals

| — | Patent applications
  and patents awarded
  in Future and Emerging Technologies |
| --- | --- |

—

Patent applications
  and patents awarded
  in Future and Emerging Technologies

Marie
  Skłodowska-
  Curie actions on skills, training and career development

| — | Cross-sector and cross-country circulation of researchers, including PhD candidates |
| --- | --- |

—

Cross-sector and cross-country circulation of researchers, including PhD candidates

European research infrastructures (including eInfrastructures)

| — | Number of researchers who have access to research
  infrastructures ▌through Union support |
| --- | --- |

—

Number of researchers who have access to research
  infrastructures ▌through Union support

2.   PART II. PRIORITY ‘INDUSTRIAL LEADERSHIP’

Indicators for the specific objectives:

Leadership in enabling and industrial technologies (ICT, Nanotechnologies, Advanced Materials, Biotechnologies, Advanced manufacturing and Space)

| — | Patent applications
  and patents awarded
  in the different enabling and industrial technologies |
| --- | --- |

—

Patent applications
  and patents awarded
  in the different enabling and industrial technologies

| — | Share of participating firms introducing innovations new to the company or the market (covering the period of the project plus three years) |
| --- | --- |

—

Share of participating firms introducing innovations new to the company or the market (covering the period of the project plus three years)

| — | Number of joint public-private publications |
| --- | --- |

—

Number of joint public-private publications

Access to risk finance

| — | Total investments mobilised via debt financing and Venture Capital investments |
| --- | --- |

—

Total investments mobilised via debt financing and Venture Capital investments

| — | Number of organisations funded and amount of private funds leveraged |
| --- | --- |

—

Number of organisations funded and amount of private funds leveraged

Innovation in SMEs

| — | Share of participating SMEs introducing innovations new to the company or the market (covering the period of the project plus three years) |
| --- | --- |

—

Share of participating SMEs introducing innovations new to the company or the market (covering the period of the project plus three years)

| — | Growth and job creation in participating SMEs |
| --- | --- |

—

Growth and job creation in participating SMEs

3.   PART III. PRIORITY ‘SOCIETAL CHALLENGES’

Indicators for the specific objectives:

For all Societal Challenges:

| — | Publications in peer-reviewed high impact journals in the area of the different Societal Challenges |
| --- | --- |

—

Publications in peer-reviewed high impact journals in the area of the different Societal Challenges

| — | Patent applications
  and patents awarded
  in the area of the different Societal Challenges |
| --- | --- |

—

Patent applications
  and patents awarded
  in the area of the different Societal Challenges

| — | Number of
  prototypes and testing
  activities ▌ |
| --- | --- |

—

Number of
  prototypes and testing
  activities ▌

| — | Number of joint public-private publications |
| --- | --- |

—

Number of joint public-private publications

Moreover, for each of the challenges, progress shall be assessed against the contribution to the specific objectives which are detailed in Annex I of Regulation (EU) No XX/2012 [Horizon 2020].

4.   PART IV. NON-NUCLEAR DIRECT ACTIONS OF THE JOINT RESEARCH CENTRE

Indicators for the specific objectives:

| — | Number of occurrences of tangible specific impacts on European policies resulting from technical and scientific support provided by the Joint Research Centre |
| --- | --- |

—

Number of occurrences of tangible specific impacts on European policies resulting from technical and scientific support provided by the Joint Research Centre

| — | Number of peer reviewed publications ▌in high impact journals |
| --- | --- |

—

Number of peer reviewed publications ▌in high impact journals

ANNEX III

Monitoring

The Commission will monitor the implementation of Horizon 2020 and in particular the following:

| 1. | Contribution to the realisation of the European Research Area |
| --- | --- |

1.

Contribution to the realisation of the European Research Area

| 2. | Widening the participation |
| --- | --- |

2.

Widening the participation

| 3. | SMEs participation |
| --- | --- |

3.

SMEs participation

| 4. | Social Sciences and Humanities |
| --- | --- |

4.

Social Sciences and Humanities

| 5. | Science and Society |
| --- | --- |

5.

Science and Society

| 6. | Gender |
| --- | --- |

6.

Gender

| 7. | International Cooperation |
| --- | --- |

7.

International Cooperation

| 8. | Sustainable development and climate change, including information on climate change related expenditure |
| --- | --- |

8.

Sustainable development and climate change, including information on climate change related expenditure

| 9. | Bridging from discovery to market application |
| --- | --- |

9.

Bridging from discovery to market application

| 10. | Digital Agenda |
| --- | --- |

10.

Digital Agenda

| 11. | Private Sector Participation |
| --- | --- |

11.

Private Sector Participation

| 12. | Funding for Public Private and Public Public Partnerships |
| --- | --- |

12.

Funding for Public Private and Public Public Partnerships

| 13. | Communication and dissemination |
| --- | --- |

13.

Communication and dissemination

| 14. | Participation patterns of independent experts |
| --- | --- |

14.

Participation patterns of independent experts

ANNEX IV

Information to be provided by the Commission in accordance with article 8a(2)

| 1. | Information on individual projects, enabling the monitoring of the entire lifetime of each proposal, covering in particular:







  — | submitted proposals, |
| --- | --- | --- |

1.

—

submitted proposals,

| — | evaluation results for each proposal, |
| --- | --- |

—

evaluation results for each proposal,

| — | grant agreements, |
| --- | --- |

—

grant agreements,

| — | completed projects. |
| --- | --- |

—

completed projects.

| 2. | Information on the outcome of each call and project implementation, covering in particular:







  — | results of each call, |
| --- | --- | --- |

2.

—

results of each call,

| — | outcome of negotiations on grant agreements, |
| --- | --- |

—

outcome of negotiations on grant agreements,

| — | project implementation, including payment data and outcome of projects. |
| --- | --- |

—

project implementation, including payment data and outcome of projects.

| 3. | Information on programme implementation, including relevant information at the level of the Framework Programme, the specific programme and each theme and the JRC, as well as the synergies with other relevant Union programmes. |
| --- | --- |

3.

| 4. | Information on the execution of the Horizon 2020 budget, including information on commitments and payments for article 185 and 187 initiatives. |
| --- | --- |

4.

ANNEX V

Programme Committee configurations

List of configurations

   (1)

  of the Horizon 2020 Programme Committee in accordance with article 9.1a:

| 1. | Strategic configuration: Strategic overview of the implementation of the whole programme, coherence across the different parts of the programme and cross-cutting issues including ‘Spreading excellence and widening participation’ and ‘Science with and for society’. |
| --- | --- |

1.

Strategic configuration: Strategic overview of the implementation of the whole programme, coherence across the different parts of the programme and cross-cutting issues including ‘Spreading excellence and widening participation’ and ‘Science with and for society’.

Part I — Excellence Science:

| 2. | European Research Council (ERC), Future and Emerging Technologies (FET) and Marie Skłodowska-Curie Actions (MSCA) |
| --- | --- |

2.

European Research Council (ERC), Future and Emerging Technologies (FET) and Marie Skłodowska-Curie Actions (MSCA)

| 3. | Research infrastructures |
| --- | --- |

3.

Research infrastructures

Part II — Industrial Leadership:

| 4. | Information and communication technologies (ICT) |
| --- | --- |

4.

Information and communication technologies (ICT)

| 5. | Nanotechnologies, Advanced materials, Biotechnology, Advanced manufacturing and processing |
| --- | --- |

5.

Nanotechnologies, Advanced materials, Biotechnology, Advanced manufacturing and processing

| 6. | Space |
| --- | --- |

6.

Space

| 7. | SMEs and Access to risk finance |
| --- | --- |

7.

SMEs and Access to risk finance

Part III — Societal Challenges:

| 8. | Health, demographic change and wellbeing |
| --- | --- |

8.

Health, demographic change and wellbeing

| 9. | Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the bioeconomy |
| --- | --- |

9.

Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the bioeconomy

| 10. | Secure, clean and efficient energy |
| --- | --- |

10.

Secure, clean and efficient energy

| 11. | Smart, green and integrated transport |
| --- | --- |

11.

Smart, green and integrated transport

| 12. | Climate action, environment, resource efficiency and raw materials |
| --- | --- |

12.

Climate action, environment, resource efficiency and raw materials

| 13. | Europe in a changing world — Inclusive, innovative and reflective societies |
| --- | --- |

13.

Europe in a changing world — Inclusive, innovative and reflective societies

| 14. | Secure Societies — Protecting Freedom and security of Europe and its citizens |
| --- | --- |

14.

Secure Societies — Protecting Freedom and security of Europe and its citizens

---

(1)  With a view to facilitating the implementation of the programme, for each meeting of the programme committee as defined in the agenda, the Commission will reimburse, in accordance with its established guidelines, the expenses of one representative per Member State, as well as one expert/adviser per Member State for those agenda items where a Member State requires specific expertise.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/380 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/380

---

P7_TA(2013)0505

European statistics ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics (COM(2012)0167 — C7-0101/2012 — 2012/0084(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/59)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2012)0167), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2012)0167),

| — | having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0101/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 338(1) of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0101/2012),

| — | 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 Spanish Congress of Deputies and the Spanish Senate and the Austrian Federal Council, 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 Spanish Congress of Deputies and the Spanish Senate and the Austrian Federal Council, asserting that the draft legislative act does not comply with the principle of subsidiarity,

| — | having regard to the opinion of the European Central Bank of 6 November 2012 (1) |
| --- | --- |

—

having regard to the opinion of the European Central Bank of 6 November 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 Economic and Monetary Affairs (A7-0436/2012), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs (A7-0436/2012),

| 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 374, 4.12.2012, p. 2.

---

P7_TC1-COD(2012)0084

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council amending Regulation (EC) No 223/2009 on European statistics

(Text with relevance for the EEA and Switzerland)

[Amendment 43]

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 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 Central Bank (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The European Statistical System (ESS), as a partnership, has, in general, successfully consolidated its activities to ensure the development, production and dissemination of high-quality
  , regulated and reliable
  European statistics, including by improving governance of the system. |
| --- | --- |

(1)

The European Statistical System (ESS), as a partnership, has, in general, successfully consolidated its activities to ensure the development, production and dissemination of high-quality
  , regulated and reliable
  European statistics, including by improving governance of the system.

| (2) | ▌ Weaknesses have, however, been identified, in particular with regard to the statistical quality-management framework.
  Those weaknesses have served to emphasise the need to ensure the independence of statistical authorities from possible political pressure at national and Union level. |
| --- | --- |

(2)

▌ Weaknesses have, however, been identified, in particular with regard to the statistical quality-management framework.
  Those weaknesses have served to emphasise the need to ensure the independence of statistical authorities from possible political pressure at national and Union level.

| (3) | The Commission suggested action to address those weaknesses
  and to strengthen governance of the ESS
  in its Communication of 15 April 2011‘Towards robust quality management for European Statistics’. In particular, it suggested a targeted amendment of Regulation (EC) No 223/2009 of the European Parliament and of the Council (3). |
| --- | --- |

(3)

The Commission suggested action to address those weaknesses
  and to strengthen governance of the ESS
  in its Communication of 15 April 2011‘Towards robust quality management for European Statistics’. In particular, it suggested a targeted amendment of Regulation (EC) No 223/2009 of the European Parliament and of the Council (3).

| (4) | In its conclusions of 20 June 2011, the Council welcomed the Commission’s initiative and stressed the importance of continuously improving the governance and efficiency of the ESS. |
| --- | --- |

(4)

In its conclusions of 20 June 2011, the Council welcomed the Commission’s initiative and stressed the importance of continuously improving the governance and efficiency of the ESS.

| (5) | In addition, the impact on the statistical domain of recent developments in the context of the economic governance framework of the Union should be taken into account, in particular, aspects relating to statistical independence such as transparent recruitment and dismissal processes, budgetary allocations and pre-release calendars, as laid down in Regulation (EU) No 1175/2011 of the European Parliament and of the Council (4), as well as those related to the requirement for bodies in charge of monitoring the implementation of national fiscal rules to enjoy functional autonomy, as laid down in Regulation (EU) No 473/2013 of the European Parliament and of the Council (5). |
| --- | --- |

(5)

In addition, the impact on the statistical domain of recent developments in the context of the economic governance framework of the Union should be taken into account, in particular, aspects relating to statistical independence such as transparent recruitment and dismissal processes, budgetary allocations and pre-release calendars, as laid down in Regulation (EU) No 1175/2011 of the European Parliament and of the Council (4), as well as those related to the requirement for bodies in charge of monitoring the implementation of national fiscal rules to enjoy functional autonomy, as laid down in Regulation (EU) No 473/2013 of the European Parliament and of the Council (5).

| (6) | Those aspects
  that relate to professional independence, such as transparent recruitment and dismissal processes, budgetary allocations and release calendars
  should not remain limited to the statistics produced for the purposes of the fiscal surveillance system and the excessive deficit procedure but should apply to all European statistics developed, produced and disseminated by the ESS. |
| --- | --- |

(6)

Those aspects
  that relate to professional independence, such as transparent recruitment and dismissal processes, budgetary allocations and release calendars
  should not remain limited to the statistics produced for the purposes of the fiscal surveillance system and the excessive deficit procedure but should apply to all European statistics developed, produced and disseminated by the ESS.

| (6a) | The quality of European statistics and their relevance for evidence-based decision-taking should be reviewed on an ongoing basis, inter alia by assessing their added value for the attainment of the targets of the Europe 2020 Strategy set out in the Commission Communication of 3 March 2010 entitled ‘Europe 2020: A strategy for delivering smart, sustainable and inclusive growth’, including those relating to growth, employment and the social economy. Where relevant, the coverage of European statistics should be adapted. |
| --- | --- |

(6a)

The quality of European statistics and their relevance for evidence-based decision-taking should be reviewed on an ongoing basis, inter alia by assessing their added value for the attainment of the targets of the Europe 2020 Strategy set out in the Commission Communication of 3 March 2010 entitled ‘Europe 2020: A strategy for delivering smart, sustainable and inclusive growth’, including those relating to growth, employment and the social economy. Where relevant, the coverage of European statistics should be adapted.

| (7) | Moreover, the adequacy of resources attributed on an annual or a multiannual basis and available to meet statistical needs is a necessary condition for
  ensuring
  professional independence of statistical authorities
  and the high quality of statistical data
  . |
| --- | --- |

(7)

Moreover, the adequacy of resources attributed on an annual or a multiannual basis and available to meet statistical needs is a necessary condition for
  ensuring
  professional independence of statistical authorities
  and the high quality of statistical data
  .

| (8) | To that end, the professional independence of statistical authorities should be strengthened, minimum standards
  , applicable across the Union,
  should be
  ensured, and specific guarantees should be provided to
  the heads of the national statistical institutes (NSIs) ▌ in terms of the performance of statistical tasks, organisational management and resource allocation.
  The procedures for recruitment of heads of the NSIs should be transparent and based only on professional criteria, with due regard to equal opportunities and, in particular, to gender balance. To that end, national parliaments should also play a full part and should, where appropriate and in accordance with national law, foster the independence of statistics producers and increase the democratic accountability of statistical policy. |
| --- | --- |

(8)

To that end, the professional independence of statistical authorities should be strengthened, minimum standards
  , applicable across the Union,
  should be
  ensured, and specific guarantees should be provided to
  the heads of the national statistical institutes (NSIs) ▌ in terms of the performance of statistical tasks, organisational management and resource allocation.
  The procedures for recruitment of heads of the NSIs should be transparent and based only on professional criteria, with due regard to equal opportunities and, in particular, to gender balance. To that end, national parliaments should also play a full part and should, where appropriate and in accordance with national law, foster the independence of statistics producers and increase the democratic accountability of statistical policy.

| (8a) | While credible European statistics require strong professional independence on the part of statisticians, European statistics should respond to policy needs and should provide statistical support for new policy initiatives at national and at Union level. |
| --- | --- |

(8a)

While credible European statistics require strong professional independence on the part of statisticians, European statistics should respond to policy needs and should provide statistical support for new policy initiatives at national and at Union level.

| (8b) | It is necessary for the independence of Eurostat to be consolidated and guaranteed by means of effective parliamentary scrutiny and control. |
| --- | --- |

(8b)

It is necessary for the independence of Eurostat to be consolidated and guaranteed by means of effective parliamentary scrutiny and control.

| (9) | Furthermore, the coordinating role already attributed to the NSIs
  for European statistics produced through the ESS
  should be clarified as regards its scope, so as to achieve
  , at the national level,
  more efficient coordination of statistical activities
  within the ESS
  , including quality management
  , while duly taking into account the statistical tasks performed by the European System of Central Banks (ESCB). The ongoing coordination and cooperation between the NSIs and Eurostat is also an important part of efficient coordination of statistical activities within the ESS. The institutional separation of the ESCB and the independence of central banks should be respected in the framework of developing, producing and disseminating European statistics under the respective governance structure and statistical work programmes of the ESS and the ESCB
  . |
| --- | --- |

(9)

Furthermore, the coordinating role already attributed to the NSIs
  for European statistics produced through the ESS
  should be clarified as regards its scope, so as to achieve
  , at the national level,
  more efficient coordination of statistical activities
  within the ESS
  , including quality management
  , while duly taking into account the statistical tasks performed by the European System of Central Banks (ESCB). The ongoing coordination and cooperation between the NSIs and Eurostat is also an important part of efficient coordination of statistical activities within the ESS. The institutional separation of the ESCB and the independence of central banks should be respected in the framework of developing, producing and disseminating European statistics under the respective governance structure and statistical work programmes of the ESS and the ESCB
  .

| (10) | In order to reduce the burden on statistical authorities and respondents, the NSIs and other national authorities should be able to access and use administrative records, including those filled electronically, promptly and free-of-charge, and to integrate those records with statistics. |
| --- | --- |

(10)

In order to reduce the burden on statistical authorities and respondents, the NSIs and other national authorities should be able to access and use administrative records, including those filled electronically, promptly and free-of-charge, and to integrate those records with statistics.

| (10a) | European statistics should be easy to compare and to access and should be updated promptly and regularly so as to ensure that Union policies and funding initiatives take full account of developments in the Union, in particular with regard to the consequences of the economic crisis. |
| --- | --- |

(10a)

European statistics should be easy to compare and to access and should be updated promptly and regularly so as to ensure that Union policies and funding initiatives take full account of developments in the Union, in particular with regard to the consequences of the economic crisis.

| (11) | The NSIs should furthermore be consulted at an early stage on the design of new administrative records that could provide data for statistical purposes and on planned changes to, or the cessation of, existing administrative sources. They should also receive relevant metadata from the owners of administrative data and coordinate standardisation activities concerning administrative records that are relevant for statistical data production. |
| --- | --- |

(11)

The NSIs should furthermore be consulted at an early stage on the design of new administrative records that could provide data for statistical purposes and on planned changes to, or the cessation of, existing administrative sources. They should also receive relevant metadata from the owners of administrative data and coordinate standardisation activities concerning administrative records that are relevant for statistical data production.

| (12) | The confidentiality of data obtained from administrative records should be protected under the common principles and guidelines applicable to all confidential data used for the production of European statistics. Quality
  and transparency
  assessment frameworks applicable to those data should also be established
  and published
  . |
| --- | --- |

(12)

The confidentiality of data obtained from administrative records should be protected under the common principles and guidelines applicable to all confidential data used for the production of European statistics. Quality
  and transparency
  assessment frameworks applicable to those data should also be established
  and published
  .

| (12a) | All users should have access to the same data at the same time and embargoes should be strictly complied with. The NSIs should establish release calendars for the publication of periodical data. |
| --- | --- |

(12a)

All users should have access to the same data at the same time and embargoes should be strictly complied with. The NSIs should establish release calendars for the publication of periodical data.

| (13) | The quality of European statistics could be strengthened and the confidence of users reinforced, by involving national governments in the responsibility of
  rigorously
  applying the European Statistics Code of Practice (the Code of Practice). To that end, a Commitment on Confidence in Statistics (‘Commitment’), ▌established in each Member State
  , taking account of national specificities, should
  include specific undertakings by its government to implement the
  statistical principles contained in the
  Code of Practice
  . That Commitment could include
  national
  high-quality assurance
  frameworks, including self-assessments, improvement actions
  and monitoring mechanisms
  . |
| --- | --- |

(13)

The quality of European statistics could be strengthened and the confidence of users reinforced, by involving national governments in the responsibility of
  rigorously
  applying the European Statistics Code of Practice (the Code of Practice). To that end, a Commitment on Confidence in Statistics (‘Commitment’), ▌established in each Member State
  , taking account of national specificities, should
  include specific undertakings by its government to implement the
  statistical principles contained in the
  Code of Practice
  . That Commitment could include
  national
  high-quality assurance
  frameworks, including self-assessments, improvement actions
  and monitoring mechanisms
  .

| (13a) | The Commission (Eurostat) website should allow easy access to complete, user-friendly data series. Where possible, periodic updates should provide year-on-year and month-on-month information on each Member State. |
| --- | --- |

(13a)

The Commission (Eurostat) website should allow easy access to complete, user-friendly data series. Where possible, periodic updates should provide year-on-year and month-on-month information on each Member State.

| (14) | As the production of European statistics must be based on long-term operational and financial planning in order to ensure a high degree of independence, the European statistical programme should cover the same period as the multiannual financial framework. |
| --- | --- |

(14)

As the production of European statistics must be based on long-term operational and financial planning in order to ensure a high degree of independence, the European statistical programme should cover the same period as the multiannual financial framework.

| (15) | Regulation (EC) No 223/2009 confers powers on the Commission to implement some of the provisions of that Regulation
  in accordance with Council Decision 1999/468/EC

   (6)

  . As
  a consequence of the entry into force of
  Regulation (EU) No 182/2011 of the European Parliament and of the Council

   (7)

  , which repeals Decision 1999/468/EC
  , the powers conferred ▌ upon the Commission need to be aligned to
  that new legal framework and those powers should be exercised in accordance with Regulation (EU) No 182/2011. The Commission should ensure that implementing acts do not impose a significant additional administrative burden on the Member States or on the respondent units
  .
  ▌ |
| --- | --- |

(15)

Regulation (EC) No 223/2009 confers powers on the Commission to implement some of the provisions of that Regulation
  in accordance with Council Decision 1999/468/EC

   (6)

  . As
  a consequence of the entry into force of
  Regulation (EU) No 182/2011 of the European Parliament and of the Council

   (7)

  , which repeals Decision 1999/468/EC
  , the powers conferred ▌ upon the Commission need to be aligned to
  that new legal framework and those powers should be exercised in accordance with Regulation (EU) No 182/2011. The Commission should ensure that implementing acts do not impose a significant additional administrative burden on the Member States or on the respondent units
  .

▌

| (19) | Since the objective of this Regulation cannot be sufficiently achieved by the Member States, 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 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. |
| --- | --- |

(19)

Since the objective of this Regulation cannot be sufficiently achieved by the Member States, 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 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.

| (20) | The European Statistical System Committee has been consulted. |
| --- | --- |

(20)

The European Statistical System Committee has been consulted.

| (20a) | Regulation (EC) No 223/2009 should therefore be amended accordingly, |
| --- | --- |

(20a)

Regulation (EC) No 223/2009 should therefore be amended accordingly,

HAVE ADOPTED THIS REGULATION:

Article 1

Amendments to Regulation (EC) No 223/2009

Regulation (EC) No 223/2009 is amended as follows:

| (1) | in Article 2(1), point (a) is replaced by the following:






  ‘(a) | “professional independence”, meaning that statistics must be developed, produced and disseminated in an independent manner, particularly as regards the selection of techniques, definitions, methodologies and sources to be used, and the timing and content of all forms of dissemination,
  and that the performance of those tasks is
  free from any pressures from political or interest groups or from Union or national authorities;’; |
| --- | --- | --- |

(1)

in Article 2(1), point (a) is replaced by the following:

‘(a)

“professional independence”, meaning that statistics must be developed, produced and disseminated in an independent manner, particularly as regards the selection of techniques, definitions, methodologies and sources to be used, and the timing and content of all forms of dissemination,
  and that the performance of those tasks is
  free from any pressures from political or interest groups or from Union or national authorities;’;

| (2) | in Article 5, paragraph 1 is replaced by the following:
  ‘1.   The national statistical authority designated by each Member State as the body having the responsibility for coordinating all activities ▌ for the development, production and dissemination of European statistics
  at the national level pursuant to this Regulation
  (NSI) shall act as the sole contact point for the Commission (Eurostat) on statistical matters in this regard.
  The coordinating responsibility of the NSI shall cover all other national authorities responsible for the development, production and dissemination of European statistics
  produced under this Regulation by all other national authorities participating in the ESS
  . The NSI shall, in particular, be responsible at
  the
  national level for coordinating statistical programming and reporting, quality monitoring,
  clear
  methodology, data transmission and communication on ESS statistical actions.
  The NSI and the relevant national central bank (NCB), in its capacity as a member of the ESCB implementing ESCB statistical work programmes, shall cooperate on issues related to European statistics that are common to the ESS and the ESCB, with a view to ensuring production of complete and coherent European statistics through the ESS and the ESCB within their respective fields of competence.
  ’; |
| --- | --- |

(2)

in Article 5, paragraph 1 is replaced by the following:

‘1.   The national statistical authority designated by each Member State as the body having the responsibility for coordinating all activities ▌ for the development, production and dissemination of European statistics
  at the national level pursuant to this Regulation
  (NSI) shall act as the sole contact point for the Commission (Eurostat) on statistical matters in this regard.

The coordinating responsibility of the NSI shall cover all other national authorities responsible for the development, production and dissemination of European statistics
  produced under this Regulation by all other national authorities participating in the ESS
  . The NSI shall, in particular, be responsible at
  the
  national level for coordinating statistical programming and reporting, quality monitoring,
  clear
  methodology, data transmission and communication on ESS statistical actions.
  The NSI and the relevant national central bank (NCB), in its capacity as a member of the ESCB implementing ESCB statistical work programmes, shall cooperate on issues related to European statistics that are common to the ESS and the ESCB, with a view to ensuring production of complete and coherent European statistics through the ESS and the ESCB within their respective fields of competence.
  ’;

| (3) | the following article is inserted:
  ‘Article 5a
  Heads of the NSIs
  and statistical heads of other national authorities


  1.   Within their national statistical system,
  Member States shall ensure the professional independence of officials responsible for the tasks laid down in this Regulation
  . ▌
  2.   
  To that end, the
  heads of the NSIs shall:








  (a) | have the sole responsibility for deciding on processes, statistical methods, standards and procedures, and on the content and timing of statistical releases and publications for European statistics developed, produced and disseminated by the NSI; |
| --- | --- | --- |

(3)

the following article is inserted:

‘Article 5a

Heads of the NSIs
  and statistical heads of other national authorities

1.   Within their national statistical system,
  Member States shall ensure the professional independence of officials responsible for the tasks laid down in this Regulation
  . ▌

2.   
  To that end, the
  heads of the NSIs shall:

(a)

have the sole responsibility for deciding on processes, statistical methods, standards and procedures, and on the content and timing of statistical releases and publications for European statistics developed, produced and disseminated by the NSI;

| (b) | be empowered to decide on all matters regarding the internal management of the NSI; |
| --- | --- |

(b)

be empowered to decide on all matters regarding the internal management of the NSI;

| (c) | act in an independent manner while performing their statistical tasks, neither seeking nor taking instructions from any government or other institution, body, office or entity; |
| --- | --- |

(c)

act in an independent manner while performing their statistical tasks, neither seeking nor taking instructions from any government or other institution, body, office or entity;

| (d) | be responsible for the statistical activities and budget execution of the NSI; |
| --- | --- |

(d)

be responsible for the statistical activities and budget execution of the NSI;

| (e) | publish an annual report and where appropriate express comments on budget allocation issues related to the statistical activities of the NSI; |
| --- | --- |

(e)

publish an annual report and where appropriate express comments on budget allocation issues related to the statistical activities of the NSI;

| (f) | coordinate the statistical activities of all national authorities that contribute to the development, production and dissemination of European statistics, as referred to in Article 5; |
| --- | --- |

(f)

coordinate the statistical activities of all national authorities that contribute to the development, production and dissemination of European statistics, as referred to in Article 5;

| (g) | produce national guidelines, where necessary, for ensuring quality in the development, production and dissemination of all European statistics within their national statistical system, and shall be responsible for ensuring compliance with those guidelines within the NSI; and |
| --- | --- |

(g)

produce national guidelines, where necessary, for ensuring quality in the development, production and dissemination of all European statistics within their national statistical system, and shall be responsible for ensuring compliance with those guidelines within the NSI; and

| (h) | represent their national statistical system within the ESS. |
| --- | --- |

(h)

represent their national statistical system within the ESS.

3.   
  Member States shall ensure that other national authorities responsible for the development, production and dissemination of European statistics carry out such tasks in accordance with the national guidelines produced by the head
  of the NSI.

4.   
  The procedures for recruitment, transfer and dismissal of the head of an NSI and, where appropriate, statistical heads of other national authorities producing European statistics shall be transparent and based only on professional criteria, and not on political grounds. They shall ensure that the principle of equal opportunities is respected, in particular with regard to gender. Detailed reasons shall be given for the dismissal of a head of an NSI. The procedures shall be made public.

4a.
     
  Member States may establish a national body for assuring the professional independence of the producers of European statistics in the Member State. The heads of the NSIs and, where appropriate, the statistical heads of other national authorities producing European statistics may take advice from such bodies. The procedures for recruitment, transfer and dismissal of the members of such bodies shall be transparent and based on only professional criteria and not on political grounds.
  ’;

| (4) | in Article 6,
  paragraphs
  2
  and 3 are
  replaced by the following:
  ‘2.   At Union level, the Commission (Eurostat) shall act independently in ensuring the production of European statistics according to established rules and statistical principles
  , through cooperation and coordination with the NSIs
  . ▌


  3.
     
  Without prejudice to Article 5 of the Protocol on the Statute of the European System of Central Banks and of the European Central Bank (“ESCB Statute”) , the Commission (Eurostat) shall coordinate the statistical activities of the institutions and bodies of the Union, in particular with a view to ensuring the consistency and the quality of the data and minimising the reporting burden. To that end, the Commission (Eurostat) may invite any institution or body of the Union to consult it, or to cooperate with it, for the purpose of developing methods and systems for statistical purposes in their respective field of competence. Such an institution or body which proposes to produce statistics shall consult the Commission (Eurostat) and shall take into account any recommendation that it may make in that context.’; |
| --- | --- |

(4)

in Article 6,
  paragraphs
  2
  and 3 are
  replaced by the following:

‘2.   At Union level, the Commission (Eurostat) shall act independently in ensuring the production of European statistics according to established rules and statistical principles
  , through cooperation and coordination with the NSIs
  . ▌

3.
     
  Without prejudice to Article 5 of the Protocol on the Statute of the European System of Central Banks and of the European Central Bank (“ESCB Statute”) , the Commission (Eurostat) shall coordinate the statistical activities of the institutions and bodies of the Union, in particular with a view to ensuring the consistency and the quality of the data and minimising the reporting burden. To that end, the Commission (Eurostat) may invite any institution or body of the Union to consult it, or to cooperate with it, for the purpose of developing methods and systems for statistical purposes in their respective field of competence. Such an institution or body which proposes to produce statistics shall consult the Commission (Eurostat) and shall take into account any recommendation that it may make in that context.’;

| (4a) | the following article is inserted:




  ‘Article 6a




  Director-General of the Commission (Eurostat)




  1.
     
  The statistical office of the Commission (Eurostat) shall be headed by a Director-General. The Director-General shall be appointed by the Commission, for a non-renewable term of office of seven years, in accordance with the procedure specified in paragraph 2.




  2.
     
  The Commission shall publish a call for applications in the Official Journal of the European Union no later than six months before the end of the term of office of the Director-General in office. The procedure for the recruitment, transfer and dismissal of the Director-General shall ensure that the principle of equal opportunities is respected, in particular with regard to gender, shall be transparent and shall be based only on professional criteria and not on political grounds. The Commission shall appoint the Director-General after consulting the European Parliament and the Council.




  3.
     
  The Director-General shall have sole responsibility for deciding on processes, statistical methods, standards and procedures, and on the content and timing of statistical releases and publications for all statistics produced by the Commission (Eurostat). The Director-General shall be empowered to decide on all matters regarding the internal management of the Commission (Eurostat). When carrying out those tasks, the Director-General shall act in an independent manner and shall neither seek nor take instructions from any government or any institution, body, office or agency. If the Director-General considers that a measure taken by the Commission calls his or her independence into question, he or she shall immediately inform the European Parliament.




  4.
     
  The Director-General shall be accountable for the statistical activities and budget execution of the Commission (Eurostat). He or she shall appear annually in the framework of Statistical Dialogue before the relevant committee of the European Parliament to discuss matters pertaining to statistical governance, methodology, statistical innovation, and express comments on budget allocation issues related to the statistical activities of the Commission (Eurostat).




  5.
     
  Before imposing any disciplinary measure on the Director-General, the Commission shall consult the European Parliament. The imposition of any disciplinary measure on the Director-General shall be the subject of a reasoned decision, which shall be submitted, for information, to the European Parliament, the Council and the European Statistical Governance Advisory Board.’; |
| --- | --- |

(4a)

the following article is inserted:

‘Article 6a

Director-General of the Commission (Eurostat)

1.
     
  The statistical office of the Commission (Eurostat) shall be headed by a Director-General. The Director-General shall be appointed by the Commission, for a non-renewable term of office of seven years, in accordance with the procedure specified in paragraph 2.

2.
     
  The Commission shall publish a call for applications in the Official Journal of the European Union no later than six months before the end of the term of office of the Director-General in office. The procedure for the recruitment, transfer and dismissal of the Director-General shall ensure that the principle of equal opportunities is respected, in particular with regard to gender, shall be transparent and shall be based only on professional criteria and not on political grounds. The Commission shall appoint the Director-General after consulting the European Parliament and the Council.

3.
     
  The Director-General shall have sole responsibility for deciding on processes, statistical methods, standards and procedures, and on the content and timing of statistical releases and publications for all statistics produced by the Commission (Eurostat). The Director-General shall be empowered to decide on all matters regarding the internal management of the Commission (Eurostat). When carrying out those tasks, the Director-General shall act in an independent manner and shall neither seek nor take instructions from any government or any institution, body, office or agency. If the Director-General considers that a measure taken by the Commission calls his or her independence into question, he or she shall immediately inform the European Parliament.

4.
     
  The Director-General shall be accountable for the statistical activities and budget execution of the Commission (Eurostat). He or she shall appear annually in the framework of Statistical Dialogue before the relevant committee of the European Parliament to discuss matters pertaining to statistical governance, methodology, statistical innovation, and express comments on budget allocation issues related to the statistical activities of the Commission (Eurostat).

5.
     
  Before imposing any disciplinary measure on the Director-General, the Commission shall consult the European Parliament. The imposition of any disciplinary measure on the Director-General shall be the subject of a reasoned decision, which shall be submitted, for information, to the European Parliament, the Council and the European Statistical Governance Advisory Board.’;

| (5) | in Article 11, the following
  paragraphs are added
  :
  ‘3.   Member States
  and the Commission
  shall take all
  the
  necessary measures to implement the
  statistical principles referred to in Article 2(1)
  in order to maintain confidence in
  European
  statistics.
  The details of those principles shall be set out in the Code of Practice.




  3a.
     Commitments on confidence in statistics (“Commitments”)
  shall aim to ensure public trust in European statistics and progress towards implementation of the statistical principles contained in the Code of Practice by involving Member States and the Commission in establishing, by appropriate means, and by publishing on their websites, specific policy Commitments moving towards overall confidence in statistics, including a citizen’s summary
  .


  3b.
     The Commitments shall be regularly monitored by the Commission on the basis of annual reports sent by Member States.


  In the absence of publication of a Commitment by ...

   (*1)

  , the relevant Member State shall submit to the Commission and make public a progress report on the implementation of the Code of Practice, and, where applicable, efforts undertaken towards the establishment of such a Commitment.




  The Commission shall report to the European Parliament and to the Council on
  the
  published
  Commitments
  and, where appropriate, on the progress reports, by ...

   (*2).


  3c.
     
  The Commitments on the part of the Commission (Eurostat) shall be regularly monitored by European Statistical Governance Advisory Board (ESGAB) on the basis of an annual report submitted by the Commission. The ESGAB shall report to the European Parliament and to the Council on the implementation of those commitments by ...

   (*3).’;

  (*1)  
  Three years after the date of entry into force of the Regulation (2012/0084(COD)).
  "


  (*2)  
  Three years and six months after the date of entry into force of the Regulation (2012/0084(COD)).
  "


  (*3)  
  OJ please insert date: three years after the date of entry into force of the Regulation (2012/0084(COD)).
  " |
| --- | --- |

(5)

in Article 11, the following
  paragraphs are added
  :

‘3.   Member States
  and the Commission
  shall take all
  the
  necessary measures to implement the
  statistical principles referred to in Article 2(1)
  in order to maintain confidence in
  European
  statistics.
  The details of those principles shall be set out in the Code of Practice.

3a.
     Commitments on confidence in statistics (“Commitments”)
  shall aim to ensure public trust in European statistics and progress towards implementation of the statistical principles contained in the Code of Practice by involving Member States and the Commission in establishing, by appropriate means, and by publishing on their websites, specific policy Commitments moving towards overall confidence in statistics, including a citizen’s summary
  .

3b.
     The Commitments shall be regularly monitored by the Commission on the basis of annual reports sent by Member States.

In the absence of publication of a Commitment by ...

   (*1)

  , the relevant Member State shall submit to the Commission and make public a progress report on the implementation of the Code of Practice, and, where applicable, efforts undertaken towards the establishment of such a Commitment.

The Commission shall report to the European Parliament and to the Council on
  the
  published
  Commitments
  and, where appropriate, on the progress reports, by ...

   (*2).

3c.
     
  The Commitments on the part of the Commission (Eurostat) shall be regularly monitored by European Statistical Governance Advisory Board (ESGAB) on the basis of an annual report submitted by the Commission. The ESGAB shall report to the European Parliament and to the Council on the implementation of those commitments by ...

   (*3).’;

(*1)  
  Three years after the date of entry into force of the Regulation (2012/0084(COD)).
  "

(*2)  
  Three years and six months after the date of entry into force of the Regulation (2012/0084(COD)).
  "

(*3)  
  OJ please insert date: three years after the date of entry into force of the Regulation (2012/0084(COD)).
  "

| (6) | Article
  12 is hereby amended as follows:










  (a) | paragraphs 2 and 3 are
  replaced by the following
  ‘
  2.
     Specific quality requirements, such as target values and minimum standards for the production of statistics, may
  also
  be laid down in sectoral legislation.


  In order to ensure the uniform application of the quality criteria laid down in paragraph 1 of this Article to the data covered by sectoral legislation in specific statistical domains, the Commission shall adopt implementing acts laying down the arrangements, structure and periodicity of quality reports provided for in sectoral legislation. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27(2).




  3.
     
  Member States shall provide the Commission (Eurostat) with reports on the quality of data transmitted, including any concerns they have regarding the accuracy of the data. The Commission shall assess the quality of the data transmitted, on the basis of appropriate analysis, and shall prepare and publish reports and communications on the quality of European statistics.
  ’; |
| --- | --- | --- |

(6)

Article
  12 is hereby amended as follows:

(a)

paragraphs 2 and 3 are
  replaced by the following

‘
  2.
     Specific quality requirements, such as target values and minimum standards for the production of statistics, may
  also
  be laid down in sectoral legislation.

In order to ensure the uniform application of the quality criteria laid down in paragraph 1 of this Article to the data covered by sectoral legislation in specific statistical domains, the Commission shall adopt implementing acts laying down the arrangements, structure and periodicity of quality reports provided for in sectoral legislation. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27(2).

3.
     
  Member States shall provide the Commission (Eurostat) with reports on the quality of data transmitted, including any concerns they have regarding the accuracy of the data. The Commission shall assess the quality of the data transmitted, on the basis of appropriate analysis, and shall prepare and publish reports and communications on the quality of European statistics.
  ’;

| (b) | the following paragraphs are added:


  ‘
  3a.
     
  In the interest of transparency, the Commission (Eurostat) shall, where appropriate, disclose publicly its assessment of the quality of national contributions to European statistics.




  3b.
     
  Where sectoral legislation provides for fines in cases where Member States misrepresent statistical data, the Commission may, in accordance with the Treaties and such sectoral legislation, initiate and conduct investigations as necessary, including, where appropriate, on-site inspections in order to establish whether such misrepresentation was serious and intentional or grossly negligent. The Commission may request that relevant information be provided by the Member State under investigation.




  3c.
     
  Where the Commission considers that a Member State has failed to fulfill its obligations under this Regulation or under the applicable sectoral legislation as regards the representation of the statistical data, it shall act in accordance with Article 258 of the Treaty.
  ’; |
| --- | --- |

(b)

the following paragraphs are added:

‘
  3a.
     
  In the interest of transparency, the Commission (Eurostat) shall, where appropriate, disclose publicly its assessment of the quality of national contributions to European statistics.

3b.
     
  Where sectoral legislation provides for fines in cases where Member States misrepresent statistical data, the Commission may, in accordance with the Treaties and such sectoral legislation, initiate and conduct investigations as necessary, including, where appropriate, on-site inspections in order to establish whether such misrepresentation was serious and intentional or grossly negligent. The Commission may request that relevant information be provided by the Member State under investigation.

3c.
     
  Where the Commission considers that a Member State has failed to fulfill its obligations under this Regulation or under the applicable sectoral legislation as regards the representation of the statistical data, it shall act in accordance with Article 258 of the Treaty.
  ’;

| (7) | in Article 13, paragraph 1 is replaced by the following:
  ‘1.   The European statistical programme shall provide the framework for the development, production and dissemination of European statistics, setting out the main fields and the objectives of the actions envisaged for a period corresponding to that of the multiannual financial framework. It shall be adopted by the European Parliament and the Council. Its impact and cost effectiveness shall be assessed with input from independent experts.’; |
| --- | --- |

(7)

in Article 13, paragraph 1 is replaced by the following:

‘1.   The European statistical programme shall provide the framework for the development, production and dissemination of European statistics, setting out the main fields and the objectives of the actions envisaged for a period corresponding to that of the multiannual financial framework. It shall be adopted by the European Parliament and the Council. Its impact and cost effectiveness shall be assessed with input from independent experts.’;

| (7a) | in Article 14, paragraph 2 is replaced by the following:




  ‘2.
     
  The Commission may, by means of implementing acts, decide on a temporary direct statistical action provided that:










  (a) | the action does not provide for data collection covering more than three reference years; |
| --- | --- | --- |

(7a)

in Article 14, paragraph 2 is replaced by the following:

‘2.
     
  The Commission may, by means of implementing acts, decide on a temporary direct statistical action provided that:

(a)

the action does not provide for data collection covering more than three reference years;

| (b) | the data are already available or accessible within the NSIs and other national authorities responsible, or can be obtained directly, using the appropriate samples for the observation of the statistical population at Union level with the adequate coordination with the NSIs and other national authorities; and |
| --- | --- |

(b)

the data are already available or accessible within the NSIs and other national authorities responsible, or can be obtained directly, using the appropriate samples for the observation of the statistical population at Union level with the adequate coordination with the NSIs and other national authorities; and

| (c) | the Union makes financial contributions to the NSIs and other national authorities to cover the incremental costs incurred by them, in accordance with Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council

   (8). |
| --- | --- |

(c)

the Union makes financial contributions to the NSIs and other national authorities to cover the incremental costs incurred by them, in accordance with Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council

   (8).

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27(2).’;

(8)  
  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).
  "

| (7b) | Article 17 is replaced by the following:




  ‘Article 17




  Annual work programme




  The Commission shall submit to the ESS Committee its annual work programme by 30 April for the following year.




  In the preparation of the work programme, the Commission shall ensure effective priority setting including reviewing, reporting on statistical priorities and allocation of financial resources. The Commission shall take the utmost account of the comments of the ESS Committee. Its work programmes shall be based on the European statistical programme and shall indicate, in particular:










  (a) | the actions which the Commission considers to have priority, taking account of Union policy needs, national and Union financial constraints and the response burden; |
| --- | --- | --- |

(7b)

Article 17 is replaced by the following:

‘Article 17

Annual work programme

The Commission shall submit to the ESS Committee its annual work programme by 30 April for the following year.

In the preparation of the work programme, the Commission shall ensure effective priority setting including reviewing, reporting on statistical priorities and allocation of financial resources. The Commission shall take the utmost account of the comments of the ESS Committee. Its work programmes shall be based on the European statistical programme and shall indicate, in particular:

(a)

the actions which the Commission considers to have priority, taking account of Union policy needs, national and Union financial constraints and the response burden;

| (b) | initiatives regarding the review of priorities, including negative priorities, and the reduction of the burden on both data providers and producers of statistics; and |
| --- | --- |

(b)

initiatives regarding the review of priorities, including negative priorities, and the reduction of the burden on both data providers and producers of statistics; and

| (c) | the procedures and any legal instruments envisaged by the Commission for the implementation of the work programme.’; |
| --- | --- |

(c)

the procedures and any legal instruments envisaged by the Commission for the implementation of the work programme.’;

| (8) | the following article is inserted:
  ‘Article 17a


  Access, use and integration of administrative records

  1.   In order to reduce the burden on respondents, the NSIs, other national authorities, as referred to in Article 4, and the Commission (Eurostat) shall have the right to access and use, promptly and free of charge, all administrative records and to integrate those administrative records with statistics, to the extent necessary for the development, production and dissemination of European statistics
  produced under this Regulation
  .
  2.   The NSIs and the Commission (Eurostat) shall be consulted on, and shall participate in, the initial design, subsequent development and discontinuation of administrative records built up and maintained by other bodies, thus facilitating the further use of those records for
  the purpose of producing European statistics
  . They shall
  be invited to participate in the
  standardisation activities concerning administrative records
  that are
  relevant for
  the
  production
  of European statistics
  .
  3.   
  Without prejudice to the ESCB Statute and to the independence of central banks, access
  by, and participation of, the NSIs, other national authorities and the Commission (Eurostat) pursuant to paragraphs 1 and 2 shall be limited to administrative records within their own respective public administrative system.
  4.   
  Administrative records made available by their owners to
  the NSIs,
  other national authorities and the Commission (Eurostat) in order to be
  used for
  the production of European statistics shall be accompanied by relevant metadata.


  5.   The NSIs and owners of administrative records shall establish the necessary cooperation mechanisms.’; |
| --- | --- |

(8)

the following article is inserted:

‘Article 17a

Access, use and integration of administrative records

1.   In order to reduce the burden on respondents, the NSIs, other national authorities, as referred to in Article 4, and the Commission (Eurostat) shall have the right to access and use, promptly and free of charge, all administrative records and to integrate those administrative records with statistics, to the extent necessary for the development, production and dissemination of European statistics
  produced under this Regulation
  .

2.   The NSIs and the Commission (Eurostat) shall be consulted on, and shall participate in, the initial design, subsequent development and discontinuation of administrative records built up and maintained by other bodies, thus facilitating the further use of those records for
  the purpose of producing European statistics
  . They shall
  be invited to participate in the
  standardisation activities concerning administrative records
  that are
  relevant for
  the
  production
  of European statistics
  .

3.   
  Without prejudice to the ESCB Statute and to the independence of central banks, access
  by, and participation of, the NSIs, other national authorities and the Commission (Eurostat) pursuant to paragraphs 1 and 2 shall be limited to administrative records within their own respective public administrative system.

4.   
  Administrative records made available by their owners to
  the NSIs,
  other national authorities and the Commission (Eurostat) in order to be
  used for
  the production of European statistics shall be accompanied by relevant metadata.

5.   The NSIs and owners of administrative records shall establish the necessary cooperation mechanisms.’;

| (8a) | in Article 20(4), the second subparagraph is replaced by the following:



  ‘The NSIs, other national authorities and the Commission (Eurostat) shall take all necessary measures to ensure harmonisation of principles and guidelines with regard to the physical and logical protection of confidential data. The Commission shall ensure such harmonisation by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 27(2).’; |
| --- | --- |

(8a)

in Article 20(4), the second subparagraph is replaced by the following:

| (9) | in Article 23, the second subparagraph is replaced by the following:
  ‘The arrangements, rules and conditions for access at Union level shall be established in accordance with the examination procedure referred to in Article 27(2).’; |
| --- | --- |

(9)

in Article 23, the second subparagraph is replaced by the following:

‘The arrangements, rules and conditions for access at Union level shall be established in accordance with the examination procedure referred to in Article 27(2).’;

| (10) | Article 24 is deleted. |
| --- | --- |

(10)

Article 24 is deleted.

| (10a) | Article 26 is replaced by the following:




  ‘Article 26




  Breach of of statistical confidentiality




  Member States and the Commission shall take appropriate measures to prevent and penalise breaches of statistical confidentiality. The penalties provided for shall be effective, proportionate and dissuasive.
  ’;
  ▌ |
| --- | --- |

(10a)

Article 26 is replaced by the following:

‘Article 26

Breach of of statistical confidentiality

Member States and the Commission shall take appropriate measures to prevent and penalise breaches of statistical confidentiality. The penalties provided for shall be effective, proportionate and dissuasive.
  ’;

▌

| (12) | Article 27 is replaced by the following:
  ‘Article 27


  Committee

  1.   The Commission shall be assisted by the European Statistical System Committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council (*4).
  2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

  (*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 Member States of the Commission’s exercise of implementing powers.’." |
| --- | --- |

(12)

Article 27 is replaced by the following:

‘Article 27

Committee

1.   The Commission shall be assisted by the European Statistical System Committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council (*4).

2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

(*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 Member States of the Commission’s exercise of implementing powers.’."

Article 2

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 374, 4.12.2012, p. 2.

1

(2)  Position of the European Parliament of 21 November 2013.

2

(3)  Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164).

3

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

4

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

5

(6)  
  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).

6

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).

(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

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).

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/390 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/390

---

P7_TA(2013)0506

EU Programme for Social Change and Innovation ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on a European Union Programme for Social Change and Innovation (COM(2011)0609 — C7-0318/2011 — 2011/0270(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/60)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0609), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0609),

| — | having regard to Article 294(2) and Article 46(d), Article 149, Article 153(2)(a) and the third paragraph of Article 175 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0318/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 46(d), Article 149, Article 153(2)(a) and the third paragraph of Article 175 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0318/2011),

| — | 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 opinion submitted, within the framework of Protocol No 2 on the application of the principles of subsidiarity and proportionality, by the Swedish Parliament, asserting that the draft legislative act does not comply with the principle of subsidiarity, |
| --- | --- |

—

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 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 23 February 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 23 February 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 3 May 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 3 May 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 10 July 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 10 July 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 Industry, Research and Energy, the Committee on Regional Development and the Committee on Women's Rights and Gender Equality (A7-0241/2012), |
| --- | --- |

—

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 Industry, Research and Energy, the Committee on Regional Development and the Committee on Women's Rights and Gender Equality (A7-0241/2012),

| 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 143, 22.5.2012, p. 88.

(2)  OJ C 225, 27.7.2012, p. 167.

---

P7_TC1-COD(2011)0270

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on a European Union Programme for Employment and Social Innovation (‘EaSI’) and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1296/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/392 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/392

---

P7_TA(2013)0507

Programme for the Environment and Climate Action (LIFE) ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a regulation of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) (COM(2011)0874 — C7-0498/2011 — 2011/0428(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/61)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0874), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0874),

| — | having regard to Article 294(2) and Article 192 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0498/2011), |
| --- | --- |

—

having regard to Article 294(2) and Article 192 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0498/2011),

| — | 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 opinion of the European Economic and Social Committee of 25 April 2012 (1), |
| --- | --- |

—

having regard to the opinion of the European Economic and Social Committee of 25 April 2012 (1),

| — | having regard to the opinion of the Committee of the Regions of 19 July 2012 (2), |
| --- | --- |

—

having regard to the opinion of the Committee of the Regions of 19 July 2012 (2),

| — | having regard to the undertaking given by the Council representative by letter of 17 July 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 17 July 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, Committee on Industry, Research and Energy and the Committee on Regional Development (A7-0294/2012), |
| --- | --- |

—

having regard to the report of the Committee on the Environment, Public Health and Food Safety and the opinions of the Committee on Budgets, Committee on Industry, Research and Energy and the Committee on Regional Development (A7-0294/2012),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Takes note of the Commission statements annexed to this resolution; |
| --- | --- |

2.

Takes note of the Commission statements annexed to this resolution;

| 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.

---

(1)  OJ C 191, 29.6.2012, p. 111.

(2)  OJ C 277, 13.9.2012, p. 61.

---

P7_TC1-COD(2011)0428

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1293/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

COMMISSION STATEMENTS

Maximum amount that a single IP may receive

The Commission attaches high importance to ensuring a proportionate distribution of funds among integrated projects in order to fund as many integrated projects as possible and guarantee a balanced distribution of integrated projects among all Member States. In this context, the Commission will propose when discussing the draft work programme with the members of the LIFE committee the maximum amount that a single integrated project may receive. This proposal will be submitted as part of the methodology for project selection to be adopted as part of the multiannual work programme.

Status of funding Biodiversity in OCTs

The Commission attaches high importance to the protection of environment and biodiversity in Overseas Countries and Territories, as is illustrated by the Overseas Association Decision proposal which includes these sectors in the areas of cooperation between the European Union and OCTs and outlines the different actions which could be eligible for funding by the European Union in this regard.

The BEST preparatory action has been a successful initiative that has been embraced by OCTs and has delivered tangible results for biodiversity and ecosystem services. As BEST is drawing to a close, the Commission is favourably considering following up on it under one of the new instruments, namely Global Public Goods and Challenges programme under the Development Cooperation Instrument.

This specific possibility for funding biodiversity in OCTs will be complemented by the opportunities offered under Article 6 of the LIFE programme for the period 2014-2020.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/394 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/394

---

P7_TA(2013)0508

Action programme for customs and taxation ***I

European Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for taxation in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC (COM(2012)0465 — C7-0242/2012 — 2011/0341B(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/62)

The European Parliament,

| — | having regard to the amended Commission proposal to Parliament and the Council (COM(2012)0465), |
| --- | --- |

—

having regard to the amended Commission proposal to Parliament and the Council (COM(2012)0465),

| — | having regard to Article 294(2) and Articles 114, 197 and 212 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0242/2012), |
| --- | --- |

—

having regard to Article 294(2) and Articles 114, 197 and 212 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0242/2012),

| — | 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 28 May 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 28 May 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 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 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 and the opinion of the Committee on Budgets (A7-0399/2012), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs and the opinion of the Committee on Budgets (A7-0399/2012),

| 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 143, 22.5.2012, p. 48.

---

P7_TC1-COD(2011)0341B

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme to improve the operation of taxation systems in the European Union for the period 2014-2020 (Fiscalis 2020) and repealing Decision No 1482/2007/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1286/2013.)

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/395 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/395

---

P7_TA(2013)0509

Action programme for customs ***I

European Parliament legislative resolution of 21 November 2013 on the amended proposal for a regulation of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC (COM(2012)0464 — C7-0241/2012 — 2011/0341A(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/63)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2011)0706) and the amended proposal (COM(2012)0464), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2011)0706) and the amended proposal (COM(2012)0464),

| — | having regard to Article 294(2) and Article 33 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0241/2012), |
| --- | --- |

—

having regard to Article 294(2) and Article 33 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0241/2012),

| — | 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 17 July 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 17 July 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 Internal Market and Consumer Protection and the opinion of the Committee on Budgets (A7-0026/2013), |
| --- | --- |

—

having regard to the report of the Committee on the Internal Market and Consumer Protection and the opinion of the Committee on Budgets (A7-0026/2013),

| 1. | Adopts its position at first reading hereinafter set out; |
| --- | --- |

1.

Adopts its position at first reading hereinafter set out;

| 2. | Approves its statement annexed to this resolution; |
| --- | --- |

2.

Approves its statement annexed to this resolution;

| 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(2011)0341A

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Regulation (EU) No .../2013 of the European Parliament and of the Council establishing an action programme for customs in the European Union for the period 2014-2020 (Customs 2020) and repealing Decision No 624/2007/EC

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Regulation (EU) No 1294/2013.)

---

ANNEX TO THE LEGISLATIVE RESOLUTION

STATEMENT BY THE EUROPEAN PARLIAMENT

Effective, efficient, modern and harmonised approaches to customs controls at the external border of the Union are essential:

| — | to protect the financial interests of the Union and its Member States, |
| --- | --- |

—

to protect the financial interests of the Union and its Member States,

| — | to fight against illegal trade while allowing facilitations for legitimate business activity, |
| --- | --- |

—

to fight against illegal trade while allowing facilitations for legitimate business activity,

| — | to ensure the safety and security of the Union and its inhabitants, and the protection of the environment, |
| --- | --- |

—

to ensure the safety and security of the Union and its inhabitants, and the protection of the environment,

| — | to protect intellectual property rights, and |
| --- | --- |

—

to protect intellectual property rights, and

| — | to secure compliance with the common commercial policy. |
| --- | --- |

—

to secure compliance with the common commercial policy.

In order to exercise such controls, it is crucial for customs to have access to the appropriate tools, such as detection equipment and technology. The need for these tools is exemplified, amongst others, in Europol’s Organised Crime Threat Assessment 2011, which states that the economic impact of cigarette smuggling represents a loss to the budgets of the Member States and of the Union estimated at around EUR 10 billion per year.

At present, the several instruments of the Multiannual Financial Framework (MFF) available to co-fund the acquisition of such tools are not exploited to the fullest extent. To achieve efficient allocation of funding resources, the European Parliament invites the Commission to present a report, no later than mid-2018, on the provision of the necessary financial resources to purchase appropriate tools for customs controls in the area referred to in point (a) of Article 3(1) TFEU, including the possibility of allocating those resources through a single fund.

---

| 24.11.2016 | EN | Official Journal of the European Union | C 436/397 |
| --- | --- | --- | --- |

24.11.2016

EN

Official Journal of the European Union

C 436/397

---

P7_TA(2013)0510

Insurance and reinsurance (Solvency II) ***I

European Parliament legislative resolution of 21 November 2013 on the proposal for a directive of the European Parliament and of the Council amending Directive 2009/138/EC on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) as regards the dates of transposition and application and the date of repeal of certain Directives (COM(2013)0680 — C7-0315/2013 — 2013/0327(COD))

(Ordinary legislative procedure: first reading)

(2016/C 436/64)

The European Parliament,

| — | having regard to the Commission proposal to Parliament and the Council (COM(2013)0680), |
| --- | --- |

—

having regard to the Commission proposal to Parliament and the Council (COM(2013)0680),

| — | having regard to Article 294(2) and Article 53(1) and Article 62 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0315/2013), |
| --- | --- |

—

having regard to Article 294(2) and Article 53(1) and Article 62 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C7-0315/2013),

| — | 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 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 Economic and Monetary Affairs (A7-0352/2013), |
| --- | --- |

—

having regard to the report of the Committee on Economic and Monetary Affairs (A7-0352/2013),

| A. | Whereas for reasons of urgency it is justified to proceed to the vote before the expiry of the deadline of eight weeks laid down in Article 6 of Protocol No 2 on the application of the principles of subsidiarity and proportionality; |
| --- | --- |

A.

Whereas for reasons of urgency it is justified to proceed to the vote before the expiry of the deadline of eight weeks laid down in Article 6 of Protocol No 2 on the application of the principles of subsidiarity and proportionality;

| 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)0327

Position of the European Parliament adopted at first reading on 21 November 2013 with a view to the adoption of Directive 2013/.../EU of the European Parliament and of the Council amending Directive 2009/138/EC (Solvency II) as regards the date for its transposition and the date of its application, and the date of repeal of certain Directives (Solvency I)

(As an agreement was reached between Parliament and Council, Parliament's position corresponds to the final legislative act, Directive 2013/58/EU.)

---