Inhaltsverzeichnis - European Parliament€¦ · Web viewCommittee on Industry, Research and Energy PE 391.955 European Parliament legislative resolution of 11 December 2007 on the

2007 - 2008

TEXTS ADOPTEDat the sitting of

Tuesday

11 December 2007

P6_TA-PROV(2007)12-11 PROVISIONAL EDITION PE 399.759

EN EN

CONTENTS

TEXTS ADOPTED

P6_TA-PROV(2007)0578EC/Morocco agreement: air services, protocol following the accession of Bulgaria and Romania *(A6-0457/2007 - Rapporteur: Paolo Costa)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision on the conclusion of a Protocol amending the Agreement between the European Community and the Kingdom of Morocco on certain aspects of air services in order to take account of the accession to the European Union of the Republic of Bulgaria and Romania (COM(2007)0497 – C6-0329/2007 – 2007/0183(CNS))................................1

P6_TA-PROV(2007)0579EC/Georgia, Lebanon, Maldives, Moldova, Singapore and Uruguay Agreements: Protocols amending the Agreements on certain aspects of air services following the accession of Bulgaria and Romania *(A6-0456/2007 - Rapporteur: Paolo Costa)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision on the conclusion of Protocols amending the Agreements on certain aspects of air services between the European Community and the Government of Georgia, the Republic of Lebanon, the Republic of Maldives, the Republic of Moldova, the Government of the Republic of Singapore and the Oriental Republic of Uruguay to take account of the accession to the European Union of the Republic of Bulgaria and Romania (COM(2007)0366 – C6-0265/2007 – 2007/0125(CNS))......................................................2

P6_TA-PROV(2007)0580Rural development: adapting Annex VIII to the Act of Accession of Bulgaria and Romania *(A6-0455/2007 - Rapporteur: Neil Parish)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision adapting Annex VIII to the Act of Accession of Bulgaria and Romania (COM(2007)0594 – C6-0405/2007 – 2007/0217(CNS))......................................................3

P6_TA-PROV(2007)0581Monitoring of exports of agricultural products receiving refunds or other amounts *(A6-0478/2007 - Rapporteur: Herbert Bösch (Simplified procedure - Rule 43(1) of the Rules of Procedure))European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation amending Regulation (EEC) No 386/90 on the monitoring carried out at the time of export of agricultural products receiving refunds or other amounts (COM(2007)0489 – C6-0282/2007 – 2007/0178(CNS))......................................................4

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P6_TA-PROV(2007)0582Wheeled agricultural or forestry tractors: coupling device and reverse ***I(A6-0474/2007 - Rapporteur: Hans-Peter Mayer)European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on the coupling device and the reverse of wheeled agricultural or forestry tractors (codified version) (COM(2007)0319 – C6-0175/2007 – 2007/0117(COD))......................................................................................5

P6_TA-PROV(2007)0583Non-automatic weighing instruments ***I(A6-0473/2007 - Rapporteur: Hans-Peter Mayer)European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on non-automatic weighing instruments (codified version) (COM(2007)0446 – C6-0241/2007 – 2007/0164(COD))....6

P6_TA-PROV(2007)0584Radioactive contamination of foodstuffs and of feedingstuffs*(A6-0475/2007 - Rapporteur: Hans-Peter Mayer)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation (Euratom) laying down maximum permitted levels of radioactive contamination of foodstuffs and of feedingstuffs following a nuclear accident or any other case of radiological emergency (codified version) (COM(2007)0302 – C6-0205/2007 – 2007/0103(CNS))..................................................................................................................7

P6_TA-PROV(2007)0585Minimum standards for the protection of calves *(A6-0476/2007 - Rapporteur: Enrico Speroni )European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive laying down minimum standards for the protection of calves (codified version) (COM(2006)0258 – C6-0200/2006 – 2006/0097(CNS))........................................8

P6_TA-PROV(2007)0586Marketing of fruit plant propagating material and fruit plants intended for fruit production *(A6-0480/2007 - Rapporteur: Ioannis Gklavakis (Recast version - Rule 80a))European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive on the marketing of fruit plant propagating material and fruit plants intended for fruit production (recast version) (COM(2007)0031 – C6-0093/2007 – 2007/0014(CNS))..................................................................................................................9

P6_TA-PROV(2007)0587Temporary provisions concerning VAT rates *(A6-0469/2007 - Rapporteur: Ieke van den Burg)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive amending Directive 2006/112/EC with regard to certain temporary provisions concerning rates of value added tax (COM(2007)0381 – C6-0253/2007 – 2007/0136(CNS))................................................................................................................17

P6_TA-PROV(2007)0588The ARTEMIS Joint Undertaking *(A6-0484/2007 - Rapporteur: Gianni De Michelis)

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European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the ARTEMIS Joint Undertaking to implement a Joint Technology Initiative in Embedded Computing Systems (COM(2007)0243 – C6-0172/2007 – 2007/0088(CNS))...........................................................................................21

P6_TA-PROV(2007)0589The ENIAC Joint Undertaking *(A6-0486/2007 - Rapporteur: Nikolaos Vakalis)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the ENIAC Joint Undertaking (COM(2007)0356 – C6-0275/2007 – 2007/0122(CNS))...........................................................................................41

P6_TA-PROV(2007)0590The Innovative Medicines Initiative Joint Undertaking *(A6-0479/2007 - Rapporteur: Françoise Grossetête)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the Innovative Medicines Initiative Joint Undertaking (COM(2007)0241 – C6-0171/2007 – 2007/0089(CNS))....................................................61

P6_TA-PROV(2007)0591The Clean Sky Joint Undertaking *(A6-0483/2007 - Rapporteur: Lena Ek )European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the Clean Sky Joint Undertaking (COM(2007)0315 – C6-0226/2007 – 2007/0118(CNS))...........................................................................................78

P6_TA-PROV(2007)0592Green Paper: Diplomatic and consular protection of Union citizens(A6-0454/2007 - Rapporteur: Ioannis Varvitsiotis)European Parliament resolution of 11 December 2007 on the Green Paper: Diplomatic and consular protection of Union citizens in third countries (2007/2196(INI))........................94

P6_TA-PROV(2007)0593Draft amending budget No 7/2007(A6-0493/2007 - Rapporteur: James Elles)European Parliament resolution of 11 December 2007 on Draft amending budget No 7/2007 of the European Union for the financial year 2007, Section III - Commission (15715/2007 – C6-0434/2007 – 2007/2237(BUD))............................................................99

P6_TA-PROV(2007)0594A paperless environment for customs and trade ***II(A6-0466/2007 - Rapporteur: Christopher Heaton-Harris)European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a decision of the European Parliament and of the Council on a paperless environment for customs and trade (8520/4/2007 – C6-0267/2007 – 2005/0247(COD)).............................................................................................................101

P6_TA-PROV(2007)0595Protection and conservation of the marine environment: Marine Strategy Directive ***II(A6-0389/2007 - Rapporteur: Marie-Noëlle Lienemann)

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European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a directive of the European Parliament and of the Council establishing a Framework for Community Action in the field of Marine Environmental Policy (Marine Strategy Framework Directive) (9388/2/2007 – C6-0261/2007 – 2005/0211(COD)).............................................................................................................102

P6_TA-PROV(2007)0596Air pollution: ambient air quality and cleaner air for Europe ***II(A6-0398/2007 - Rapporteur: Holger Krahmer)European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a directive of the European Parliament and of the Council on ambient air quality and cleaner air for Europe (16477/1/2006 – C6-0260/2007 – 2005/0183(COD)).............................................................................................................143

P6_TA-PROV(2007)0597The interoperability of the Community rail system (recast) ***I(A6-0345/2007 - Rapporteur: Josu Ortuondo Larrea)European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on the interoperability of the Community rail system (COM(2006)0783 – C6-0474/2006 – 2006/0273(COD))...........204Position of the European Parliament of 11 December 2007 in view of adoption of the Directive 2008/.../CE of the European Parliament and of the Council on the interoperability of the rail system in the Community (COM(2006)0783– C6-0474/2006 – 2006/0273 (COD))............................................................................................................205

P6_TA-PROV(2007)0598CAP: common rules for direct support schemes and certain support schemes for farmers and support for rural development *(A6-0470/2007 - Rapporteur: Jan Mulder)European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation amending Regulation (EC) No 1782/2003 establishing common rules for direct support schemes under the common agricultural policy and establishing certain support schemes for farmers and Regulation (EC) No 1698/2005 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) (COM(2007)0484 – C6-0283/2007 – 2007/0177(CNS))..................................................267

P6_TA-PROV(2007)0599Origin marking(DCL-0075/2007)Declaration of the European Parliament on origin marking..............................................282

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P6_TA-PROV(2007)0578

EC/Morocco agreement: air services, protocol following the accession of Bulgaria and Romania *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision on the conclusion of a Protocol amending the Agreement between the European Community and the Kingdom of Morocco on certain aspects of air services in order to take account of the accession to the European Union of the Republic of Bulgaria and Romania (COM(2007)0497 – C6-0329/2007 – 2007/0183(CNS))

(Consultation procedure)

The European Parliament,

– having regard to the proposal for a Council decision (COM(2007)0497),

– having regard to Articles 80, 300(2) and 300(4), of the EC Treaty,

– having regard to Article 300(3), first subparagraph, of the EC Treaty, pursuant to which the Council consulted Parliament (C6-0329/2007),

– having regard to Rules 51, 83(7) and 43(1) of its Rules of Procedure,

– having regard to the report of the Committee on Transport and Tourism (A6-0457/2007),

1. Approves the conclusion of the Protocol;

2. Instructs its President to forward its position to the Council and the Commission, and the governments and parliaments of the Member States and the Kingdom of Morocco.

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P6_TA-PROV(2007)0579

EC/Georgia, Lebanon, Maldives, Moldova, Singapore and Uruguay Agreements: Protocols amending the Agreements on certain aspects of air services following the accession of Bulgaria and Romania *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision on the conclusion of Protocols amending the Agreements on certain aspects of air services between the European Community and the Government of Georgia, the Republic of Lebanon, the Republic of Maldives, the Republic of Moldova, the Government of the Republic of Singapore and the Oriental Republic of Uruguay to take account of the accession to the European Union of the Republic of Bulgaria and Romania (COM(2007)0366 – C6-0265/2007 – 2007/0125(CNS))



– having regard to the proposal for a Council decision (COM(2007)0366),

– having regard to Articles 80(2) and 300(2), first subparagraph, first sentence, of the EC Treaty,

– having regard to Article 300(3), first subparagraph, of the EC Treaty, pursuant to which the Council consulted Parliament (C6-0265/2007),

– having regard to Rules 51, 83(7) and 43(1) of its Rules of Procedure,


1. Approves the conclusion of the Protocols;

2. Instructs its President to forward its position to the Council and the Commission, and the governments and parliaments of the Member States and the Government of Georgia, the Republic of Lebanon, the Republic of Maldives, the Republic of Moldova, the Government of the Republic of Singapore and the Oriental Republic of Uruguay.

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P6_TA-PROV(2007)0580

Rural development: adapting Annex VIII to the Act of Accession of Bulgaria and Romania *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council decision adapting Annex VIII to the Act of Accession of Bulgaria and Romania (COM(2007)0594 – C6-0405/2007 – 2007/0217(CNS))



– having regard to the Commission proposal to the Council (COM(2007)0594),

– having regard to Article 34(4) of the Act of Accession of Bulgaria and Romania, pursuant to which the Council consulted Parliament (C6-0405/2007),

– having regard to Rules 51 and 43(1) of its Rules of Procedure,

– having regard to the report of the Committee on Agriculture and Rural Development (A6-0455/2007),

1. Approves the Commission proposal;

2. Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

3. Calls for initiation of the conciliation procedure under the Joint Declaration of 4 March 1975 if the Council intends to depart from the text approved by Parliament;

4. Asks the Council to consult Parliament again if it intends to amend the Commission proposal substantially;

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

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P6_TA-PROV(2007)0581

Monitoring of exports of agricultural products receiving refunds or other amounts *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation amending Regulation (EEC) No 386/90 on the monitoring carried out at the time of export of agricultural products receiving refunds or other amounts (COM(2007)0489 – C6-0282/2007 – 2007/0178(CNS))




– having regard to Article 37 of the EC Treaty, pursuant to which the Council consulted Parliament (C6-0282/2007),

– having regard to Rules 51 and 43(1) of its Rules of Procedure,

– having regard to the report of the Committee on Budgetary Control (A6-0478/2007),



3. Calls for initiation of the conciliation procedure under the Joint Declaration of 4 March 1975 if the Council intends to depart from the text approved by Parliament;


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

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P6_TA-PROV(2007)0582

Wheeled agricultural or forestry tractors: coupling device and reverse ***I

European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on the coupling device and the reverse of wheeled agricultural or forestry tractors (codified version) (COM(2007)0319 – C6-0175/2007 – 2007/0117(COD))

(Codecision procedure – codification)


– having regard to the Commission proposal to the European Parliament and the Council (COM(2007)0319),

– having regard to Article 251(2) and Article 95 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0175/2007),

– having regard to the Interinstitutional Agreement of 20 December 1994 – Accelerated working method for official codification of legislative texts1,

– having regard to Rules 80 and 51 of its Rules of Procedure,

– having regard to the report of the Committee on Legal Affairs (A6-0474/2007),



1 OJ C 102, 4.4.1996, p. 2.

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P6_TA-PROV(2007)0583

Non-automatic weighing instruments ***I

European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on non-automatic weighing instruments (codified version) (COM(2007)0446 – C6-0241/2007 – 2007/0164(COD))

(Codecision procedure – codification)



– having regard to Article 251(2) and Article 95 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0241/2007),






1 OJ C 102, 4.4.1996, p. 2.

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P6_TA-PROV(2007)0584

Radioactive contamination of foodstuffs and of feedingstuffs*

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation (Euratom) laying down maximum permitted levels of radioactive contamination of foodstuffs and of feedingstuffs following a nuclear accident or any other case of radiological emergency (codified version) (COM(2007)0302 – C6-0205/2007 – 2007/0103(CNS))

(Consultation procedure – codification)



– having regard to Article 31 of the Euratom Treaty, pursuant to which the Council consulted Parliament (C6-0205/2007),






1 OJ C 102, 4.4.1996, p. 2.

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P6_TA-PROV(2007)0585

Minimum standards for the protection of calves *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive laying down minimum standards for the protection of calves (codified version) (COM(2006)0258 – C6-0200/2006 – 2006/0097(CNS))

(Consultation procedure – codification)









1 OJ C 102, 4.4.1996, p. 2.

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P6_TA-PROV(2007)0586

Marketing of fruit plant propagating material and fruit plants intended for fruit production *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive on the marketing of fruit plant propagating material and fruit plants intended for fruit production (recast version) (COM(2007)0031 – C6-0093/2007 – 2007/0014(CNS))





– having regard to the Interinstitutional Agreement of 28 November 2001 on a more structured use of the recasting technique for legal acts1,

– having regard to Rules 51 and 80a of its Rules of Procedure,

– having regard to the report of the Committee on Agriculture and Rural Development and the favourable opinion of the Committee on Legal Affairs (A6-0480/2007),

1. Approves the Commission proposal as amended;

2. Calls on the Commission to alter its proposal accordingly, pursuant to Article 250(2) of the EC Treaty;

3. Calls on the Council to notify Parliament should it intend to depart from the text approved by Parliament;

4. Asks to be consulted again if the Council intends to amend the Commission proposal substantially;


Text proposed by the Commission Amendments by Parliament

Amendment 1Recital 6

(6) It is appropriate to establish Community rules for those genera and

(6) It is appropriate to establish Community rules for those genera and

1 OJ C 77, 28.3.2002, p. 1.

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species of fruit plant which are of major economic importance in the Community, with a Community procedure for adding further genera and species later to the list of genera and species to which this Directive applies. The genera and species listed should be those which are widely grown in Member States and for whose propagating material there is a substantial market which covers more than one Member State.

species of fruit plant which are of major economic importance in the Community, with a Community procedure for adding further genera and species later to the list of genera and species to which this Directive applies. The genera and species listed should be those which are widely grown in Member States and for whose propagating material there is a substantial market.


(11) Genetically modified fruit plants should not be accepted for registration in the catalogue unless all the appropriate measures have been taken to avoid any risk to human health or the environment as referred to in Directive 2001/18/EC of the European Parliament and of the Council of 12 March 2001 on the deliberate release into the environment of genetically modified organisms and Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed.

(11) Genetically modified fruit plants should not be accepted for registration in the catalogue, except as stock onto which the desired varieties are to be grafted and providing all the appropriate measures have been taken to avoid any risk to human health or the environment as referred to in Directive 2001/18/EC of the European Parliament and of the Council of 12 March 2001 on the deliberate release into the environment of genetically modified organisms and Regulation (EC) No 1829/2003 of the European Parliament and of the Council of 22 September 2003 on genetically modified food and feed. In this case the purpose of genetic modification should be mentioned.


(15) Suppliers who only market fruit plants or propagating material to persons not professionally engaged in the production or sale of fruit plants or propagating material should be exempted from the obligation of registration.

deleted

Amendment 5Recital 15 a (new)

(15a) Suppliers marketing propagating material or fruit plants should be

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specialised in this sector.


(16a) Furthermore, and in order to be able to receive Community funding for the planting of orchards, the producer should take care that the propagating material to be used originates from officially registered suppliers.


(17) That objective can best be achieved either through common knowledge of the variety, in particular for old varieties, or through the availability of a description based on Community Plant Variety Office (CPVO) protocols or in their absence on other international or national rules.

(17) That objective can best be achieved either through common knowledge of the variety, in particular for old varieties, or through the availability of a description based on Community Plant Variety Office (CPVO) protocols or in their absence on other international or national rules. To this end, varieties which are marketed should be entered in the relevant list.


(22) Rules should be established permitting, in the case of temporary supply difficulties due to natural disasters, such as fire, gales and failure of the flower crop, or unforeseen circumstances, the marketing of propagating material and fruit plants subject to requirements less stringent than those contained in this Directive for a limited period and subject to specific conditions.

(22) Rules should be established permitting, in the case of temporary supply difficulties due to natural disasters, such as fire, gales or unforeseen circumstances, the marketing of propagating material and fruit plants subject to requirements less stringent than those contained in this Directive for a limited period and subject to specific conditions .


(23) In accordance with the principle of proportionality, provision should be made to allow Member States to exempt small producers all of whose production and sales of propagating material and fruit

deleted

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plants is intended for final use by persons on the local market who are not professionally involved in plant production ('local circulation') from the conditions on labelling and from the checks and official inspections.


(25) Provision should be made for authorising the marketing, within the Community, of propagating material and fruit plants produced in third countries, provided always that they afford the same guarantees as propagating material and fruit plants produced in the Community and complying with Community rules.

(25) Provision should be made for authorising the marketing, within the Community, of propagating material and fruit plants produced in third countries, provided always that they afford the same guarantees as propagating material and fruit plants produced in the Community and complying with Community rules. Firms in third countries exporting propagating material and fruit plants should be registered.

Amendment 11Article 2, point 4

(4) “Clone” means the vegetative progeny of a variety which is true to a fruit plant stock chosen on account of varietal identity, its phenotypic characters and its state of health;

(4) “Clone” means the vegetative progeny of a variety of a species of fruit plant which is true to a fruit plant stock chosen on account of varietal identity, its phenotypic characters and its state of health;

Amendment 12Article 2, point 8, point (e)

(e) have been found by official inspection to satisfy the conditions in (a) to (d);

(e) have been found in spot checks made during official inspections to satisfy the conditions in (a) to (d);

Amendment 13Article 2, point 11, point (a)

(a) an authority, established or designated by the Member State under the supervision of the national government and responsible for questions concerning the quality of propagating material and fruit plants:

(a) an authority established or designated by the Member State under the supervision of the national government and responsible for carrying out inspections and controls in respect of questions concerning the

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quality, certification and plant health of propagating material and fruit plants:

Amendment 14Article 3, paragraph 1, point (a)

(a) the propagating material has been officially certified as “pre-basic material”, “basic material” or “certified material” or if it is found to be CAC material by official inspection;

(a) the propagating material is officially certified as “pre-basic material”, “basic material” or “certified material” or fulfils the criteria for CAC material;

Amendment 15Article 3, paragraph 1, point (b)

(b) the fruit plants have been officially certified as certified material or are found to be CAC material by official inspection.

deleted

Amendment 16Article 3, paragraph 2

2. In the case of a variety which consists of a genetically modified organism within the meaning of points 1 and 2 of Article 2 of Directive 2001/18/EC the variety shall be accepted for registration in the catalogue only if has been authorised pursuant to that Directive or pursuant to Regulation (EC) No 1829/2003.

2. In the case of a variety which consists of a genetically modified organism within the meaning of points 1 and 2 of Article 2 of Directive 2001/18/EC the variety shall be accepted for registration in the catalogue only if has been authorised pursuant to that Directive or pursuant to Regulation (EC) No 1829/2003 and subject to the precondition that it will be used as stock onto which the desired variety will be grafted.

Amendment 17Article 3, paragraph 2 a (new)

2a. In the case of a genetically modified variety, within the meaning of paragraph 2, a special risk assessment shall take place, chiefly regarding human health and the environment, it must be appropriately labelled so that the purchaser is informed that genetically modified material is being supplied and the purpose of genetic modification must

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be mentioned.


3a. Marketing by officially registered suppliers of propagating material and fruit plants, duly documented, shall be considered an indispensable condition for the inclusion of a producer in co-funded programmes for planting orchards.

Amendment 19Article 4, point (c a) (new)

(ca) supplementary or more stringent conditions for propagating material and fruit plants, which Member States may lay down for their own domestic production.


1. Suppliers shall be officially registered in relation to the activities which they carry out under this Directive.

1. Suppliers shall be officially registered in relation to the activities which they carry out under this Directive and shall hold a marketing licence for propagating material, issued as specified in each Member State.


1a. Suppliers who market propagating material or fruit plants should have a specialisation in this field sector and be agronomists or undertakings employing persons with such specialisations.

Amendment 22Article 5, paragraph 1 b (new)

1b. Member States shall ensure and check that suppliers take all the necessary measures to ensure compliance with the standards of this directive at all stages of the production and marketing of

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propagating material and fruit plants.


2. Paragraph 1 shall not apply to suppliers marketing only to persons not professionally engaged in the production, reproduction or sale of propagating material or fruit plants.

deleted

Amendment 24Article 6, paragraph 3, subparagraph 1

3. When propagating material or fruit plants are marketed, suppliers shall keep records of their sales or purchases for at least 12 months.

3. When propagating material or fruit plants are marketed, suppliers shall keep records of their sales or purchases for at least five years.


2. In the case of propagating material of a variety which has been genetically modified, any label and document, official or otherwise, which is affixed to or accompanies the material under this Directive shall clearly indicate that the variety has been genetically modified and shall name the genetically modified organisms.

2. In the case of propagating material of a variety which has been genetically modified, any label and document, official or otherwise, which is affixed to or accompanies the material under this Directive shall clearly indicate that the variety has been genetically modified and shall name the genetically modified organisms and clarify the purpose of genetic modification.


1a. Firms in third countries exporting propagating material and fruit plants shall be registered so as to ensure traceability at all stages.

Amendment 28Article 19 a (new)

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Article 19a

Application assessment

Within five years from the date of entry into force of this Directive, the Commission shall examine the results of its application and submit to the European Parliament and the Council a report, accompanied by any necessary proposals for amendment.

Amendment 29Article 21

Member States may, as a transitional measure until 1 January XXX, allow the marketing in their own territory of certified and CAC material taken from parent plants in existence at the date of entry into force of this Directive.

Member States may, as a transitional measure until 10 years after the entry into force of this directive, allow the marketing in their own territory of certified and CAC material taken from parent plants in existence at the date of entry into force of this Directive.


The implementing measures for Directive 92/34, which is repealed, shall continue to apply until new implementing measures are adopted.

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P6_TA-PROV(2007)0587

Temporary provisions concerning VAT rates *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council directive amending Directive 2006/112/EC with regard to certain temporary provisions concerning rates of value added tax (COM(2007)0381 – C6-0253/2007 – 2007/0136(CNS))





– having regard to the Commission communication to the Council and the European Parliament on VAT rates other than standard VAT rates (COM(2007)0380),

– having regard to Rule 51 of its Rules of Procedure,

– having regard to the report of the Committee on Economic and Monetary Affairs (A6-0469/2007),





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


Amendment 1RECITAL 1

(1) Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, provides for certain derogations in the field of VAT rates.

(1) Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, provides for certain derogations in the field of VAT rates.

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Some of these derogations expire at a precise date, while others last until the adoption of the definitive arrangements.

Some of these derogations expire at a precise date, while others last until the adoption of the definitive arrangements for intra-Community transactions.

Amendment 2RECITAL 1 A (new)

(1a) In accordance with the principle of subsidiarity, the Community should not impinge upon Member States' competence in the area of indirect taxation beyond what is necessary to ensure the proper functioning of the internal market as regards the setting of VAT rates. In particular, locally supplied services, in so far as they do not involve cross-border activities, have, in principle, no effect on the functioning of the internal market.


(2) In order to ensure more equality of treatment among Member States, derogations that do not conflict with a smooth functioning of the internal market and with other Community policies should be prolonged until the end of 2010, date of the expiry of the minimum of 15% for the standard rate and of the experiment on the application of a reduced rate to labour intensive services. By contrast, certain derogations should not be prolonged.

(2) In order to ensure equality of treatment among Member States, derogations that do not conflict with a smooth functioning of the internal market and with other Community policies should be prolonged until the end of 2010, date of the expiry of the minimum of 15% for the standard rate and of the experiment on the application of a reduced rate to labour intensive services. On specific grounds, certain derogations should not be prolonged.


(2a) The period until 31 December 2010 should be sufficiently long to allow the Council to reach a conclusion on abandoning its target of introducing a definitive system for the taxation of intra-Community transactions, based on the principle of taxation in the country of origin and on an approach towards the approximation of VAT rates.

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Amendment 5RECITAL 2 B (new)

(2b) The period until 31 December 2010 should also be sufficiently long to allow the Council to reach a conclusion on the final structure of VAT rates, which should include options allowing Member States to apply different VAT rates, provided that the smooth functioning of the internal market and other Community policies are ensured. During that period, the current rules should be applied in a prudent way, taking due account of borderline cases, so that Member States are not precluded from pursuing legitimate policy objectives before of after the Council decides on the final structure of value added tax.

Amendment 6RECITAL 2 C (new)

(2c) In accordance with the principle of subsidiarity, and after the Council has decided on a definitive system for the taxation of intra-Community transactions, Member States should be able to apply reduced rates or, in exceptional circumstances, possibly even zero rates, to basic goods and services such as food and medication for clearly defined social, economic and environmental reasons and for the benefit of the final consumer.

Amendment 7RECITAL 2 D (new)

(2d) In accordance with the principle of subsidiarity and after the Council has decided on a definitive system for the taxation of intra-Community transactions, Member States should be able to apply reduced rates or, in exceptional circumstances, possibly even zero rates to the provision of locally supplied services, including services and provision of goods linked to education, welfare, social security work and culture.

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Amendment 8RECITAL 2 E (new)

(2e) Any future system for the taxation of intra-Community transactions should be transparent and based on administrative simplicity.


(6) The derogations granted to Hungary and Slovakia should not be prolonged because those Member States have not applied or no longer apply a reduced rate.

(6) It should be highlighted that those Member States that have not applied or no longer apply the temporary VAT derogations that expired in 2007 should be granted, until 31 December 2010, the opportunity to avail themselves of such temporary derogations.

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P6_TA-PROV(2007)0588

The ARTEMIS Joint Undertaking *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the ARTEMIS Joint Undertaking to implement a Joint Technology Initiative in Embedded Computing Systems (COM(2007)0243 – C6-0172/2007 – 2007/0088(CNS))




– having regard to Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1

(Financial Regulation), and in particular Article 185 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 management2 (IIA), and in particular Point 47 thereof,

– having regard to Articles 171 and 172 of the EC Treaty, pursuant to which the Council consulted Parliament (C6-0172/2007),


– having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A6-0484/2007),


2. Considers that the reference amount indicated in the legislative proposal must be compatible with the ceiling of heading 1a of the current multiannual financial framework 2007-2013 and with the provisions of Point 47 of the Interinstitutional Agreement (IIA) of 17 May 2006; notes that any financing beyond 2013 will be evaluated in the context of the negotiations for the next financial framework;

3. Recalls that the opinion delivered by the Committee on Budgets does not pre-empt the outcome of the procedure laid down in Point 47 of the IIA of 17 May 2006 which applies to the setting up of the ARTEMIS Joint Undertaking;

4. Calls on the Commission to alter its proposal accordingly, pursuant to Article 250(2) of the EC Treaty and Article 119, second paragraph, of the Euratom Treaty;


1 OJ L 248, 16.9.2002, p. 1. Regulation as amended by Regulation (EC, Euratom) No 1995/2006 (OJ L 390, 30.12.2006, p. 1).

2 OJ C 139, 14.6.2006, p. 1.

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(11) The ambition and scope of the stated objectives of the JTI on Embedded Computing Systems, the scale of the financial and technical resources that need to be mobilised, and the need to achieve effective coordination and synergy of resources and funding, call for action to be taken by the Community. Therefore, it is necessary to set up a Joint Undertaking (hereinafter referred to as the “ARTEMIS Joint Undertaking”) under Article 171 of the Treaty as a legal entity responsible for the implementation of the JTI on "Embedded Computing Systems”. To ensure the appropriate management of R&D activities initiated under the Seventh Framework Programme (2007-2013), the ARTEMIS Joint Undertaking should be set up for a period ending on 31 December 2017, which may be extended.

(11) The ambition and scope of the stated objectives of the JTI on Embedded Computing Systems, the scale of the financial and technical resources that need to be mobilised, and the need to achieve effective coordination and synergy of resources and funding, call for action to be taken by the Community. Therefore, it is necessary to set up a Joint Undertaking (hereinafter referred to as the “ARTEMIS Joint Undertaking”) under Article 171 of the Treaty as a legal entity responsible for the implementation of the JTI on "Embedded Computing Systems”. To ensure the appropriate management of R&D activities initiated under the Seventh Framework Programme (2007-2013), the ARTEMIS Joint Undertaking should be set up for a period ending on 31 December 2017. It should be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.

This amendment will apply throughout the text


(12) The ARTEMIS Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament1, on the recommendation of the Council, taking however into account the specificities resulting from the nature of

(12) The ARTEMIS Joint Undertaking should respect the Court of Auditor's competence to examine the revenue and expenditures accounts of all bodies set up by the Communities and should recognize the specificities of the Joint Technology Initiatives as new mechanisms for

1

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JTIs as public-private partnerships and in particular from the private sector contribution to the budget.

implementing public-private partnerships, in order to find a more effective solution for the purpose of discharging the general budget of the European Union.

1 Article 185 of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the budget of the European Communities, OJ L 357, 31.12.2002, p. 72; corrigendum in OJ L 2, 7.1.2003, p. 39


(21) The need to ensure stable employment conditions and equal treatment of staff, and in order to attract specialised scientific and technical staff of the highest calibre, requires the application of the Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities, ("the Staff Regulation") to all staff recruited by the ARTEMIS Joint Undertaking.

(21) The need to ensure stable employment conditions and equal treatment of staff and to attract specialised scientific and technical staff of the highest calibre, requires that the Commission be authorised to second as many officials as needed to the ARTEMIS Joint Undertaking. The remaining staff should be recruited by the ARTEMIS Joint Undertaking in accordance with host country employment regulations.


(25) The ARTEMIS Joint Undertaking should have, subject to prior consultation with the Commission, a distinct financial regulation based on the principles of the framework financial regulation1 which takes into account its specific operating needs arising, in particular, from the need to combine Community and national funding to support R&D Activities in an efficient and timely manner.

(25) The financial rules applicable to the ARTEMIS Joint Undertaking should not depart from Commission Regulation (EC, Euratom) No 2343/2002 of 19 November 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1, unless its specific operating needs so require, in particular the need to combine Community and national funding to support R&D Activities in an efficient and timely manner. The prior consent of the Commission is required for the adoption of any rules which depart from Regulation (EC, Euratom) No 2343/2002. The budgetary authority should be informed of

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any such derogation.

1 Commission Regulation (EC, Euratom) No 2343/2002 of 23 December 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the budget of the European Communities, OJ L 357, 31.12.2002 p. 72; corrigendum in OJ L 2, 7.1.2003, p. 39

1 OJ L 357, 31.12.2002, p. 72. Corrigendum in OJ L 2, 7.1.2003, p. 39.


1. For the implementation of the Joint Technology Initiative (JTI) on Embedded Computing Systems, a Joint Undertaking within the meaning of Article 171 of the Treaty hereinafter referred to as the "ARTEMIS Joint Undertaking" is hereby set up for a period ending on 31 December 2017. This period may be extended by a revision of this Regulation.

1. For the implementation of the Joint Technology Initiative (JTI) on Embedded Computing Systems, a Joint undertaking within the meaning of Article 171 of the Treaty hereinafter referred to as the "ARTEMIS Joint Undertaking" is hereby set up for a period ending on 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.

Amendment 6Article 2, point d)

(d) ensure the efficiency and durability of the JTI on Embedded Computing Systems;

deleted

Amendment 7Article 2, point (d a) (new)

(da) promote the involvement of small and medium-sized enterprises (SMEs) in its activities;


(a) a financial contribution from ARTEMISIA of up to EUR 20 million or up to 1% of the overall costs of Projects , whichever figure is higher, but not exceeding EUR [30] million;

(a) a financial contribution from ARTEMISIA of up to EUR 20 million or up to 1% of the overall costs of Projects , whichever figure is higher, but not exceeding EUR 30 million;

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Amendment 9Article 4, paragraph 2, subparagraph 1a (new)

The sum of the contributions referred to in points (a) and (b) shall not exceed 5% of the overall budget of the ARTEMIS Joint Undertaking.

Amendment 10Article 4, paragraph 3, point b)

(b) financial contributions from ARTEMIS Member States made in the form of annual commitments to be disbursed directly to research and development organisations participating in the R&D Projects;

(b) financial contributions from ARTEMIS Member States made in the form of annual commitments to be disbursed directly to research and development organisations participating in the R&D Projects; ARTEMIS Member States shall ensure that national funds are allocated within the shortest possible delay.


3a. The financial contributions to the cost of Projects from public funds shall be conditional on in-kind contributions to the Projects submitted by research and development organisations to cover their share of the costs of the Projects.


1. The ARTEMIS Joint Undertaking Financial Regulation shall be based on the principles of the Framework Financial Regulation. It may depart from the Framework Financial Regulation where the specific operating needs of the ARTEMIS Joint Undertaking so require and subject to prior consultation with the Commission.

1. The financial rules of the ARTEMIS Joint Undertaking shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.

Amendment 13Article 7, paragraph 5, point (c)

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(c) The evaluation and selection process shall ensure that allocation of the ARTEMIS Joint Undertaking public funding follows the principles of excellence and competition.

c) The evaluation and selection process, which shall be carried out with the assistance of external experts, shall ensure that allocation of the ARTEMIS Joint Undertaking public funding follows the principles of excellence and competition.


1. The Staff Regulations of Officials of the European Communities, the Conditions of Employment of Other Servants of the European Communities and the rules adopted jointly by the European Community institutions for the purpose of applying these Staff Regulations and Conditions of Employment shall apply to the staff of the ARTEMIS Joint Undertaking and its Executive Director.

1. The ARTEMIS Joint Undertaking shall recruit its staff in accordance with applicable regulations of the host country. The Commission may second to the ARTEMIS Joint Undertaking as many officials as may be needed.


2. In respect of its staff, the ARTEMIS Joint Undertaking shall exercise the powers conferred on the appointing authority by the Staff Regulations of Officials of the European Communities and on the authority empowered to conclude contracts by the Conditions of Employment of Other Servants of the European Communities.

deleted


3. The Governing Board shall, in agreement with the Commission, adopt the necessary implementing measures, in accordance with arrangements provided for in article 110 of the Staff Regulations of Officials of the European Communities, and the Conditions of Employment of Other Servants of the European Communities.

3. The Governing Board shall, in agreement with the Commission, adopt the necessary implementing measures regarding the secondment of officials of the European Communities.


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Article 9

Privileges and Immunities

The Protocol on the Privileges and Immunities of the European Communities shall apply to the ARTEMISJoint Undertaking and its staff.

deleted


1. The contractual liability of the ARTEMIS Joint Undertaking shall be governed by law applicable to the relevant contractual provisions.

1. The contractual liability of the ARTEMIS Joint Undertaking shall be governed by the relevant contractual provisions and by the law applicable to the agreement or contract in question.


3a. The ARTEMIS Joint Undertaking shall be solely responsible for meeting its obligations.


3b. The ARTEMIS Joint Undertaking shall not be responsible for meeting the financial obligations of its Members. It shall not be liable for any ARTEMIS Member State failing to meet its obligations resulting from calls for proposals launched by the ARTEMIS Joint Undertaking.

Amendment 21Article 10, paragraph 3 c (new)

3c. The Members shall not be liable for any of the ARTEMIS Joint Undertaking’s obligations. The financial liability of the Members shall be an internal liability towards the ARTEMIS Joint Undertaking only, limited to their commitment to contribute to the resources as set out in Article 4.

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2. No later than 31 December 2010 and 31 December 2015, the Commission shall conduct interim evaluations of the ARTEMIS Joint Undertaking with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the ARTEMIS Joint Undertaking and progress towards the objectives set. The Commission shall communicate the conclusions thereof, accompanied by its observations to the European Parliament and the Council.

2. No later than 31 December 2010, the Commission shall present to the European Parliament and the Council an interim evaluation of the ARTEMIS Joint Undertaking prepared with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the ARTEMIS Joint Undertaking and progress towards the objectives set.


3. By 31 March 2018, the Commission shall conduct a final evaluation of the ARTEMIS Joint Undertaking with the assistance of independent experts. The results of the final evaluation shall be presented to the European Parliament and the Council.

deleted

Amendment 24Article 12, point 4

Discharge for the implementation of the budget of the ARTEMIS Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for by the Financial Regulation of the ARTEMIS Joint Undertaking.

Discharge for the implementation of the budget of the ARTEMIS Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for by the financial rules of the ARTEMIS Joint Undertaking, respecting the Court of Auditor's competence to examine the revenue and expenditures accounts of all bodies set up by the Communities and recognising the specificities of the Joint Technology Initiatives as new mechanisms for implementing public private partnerships, in order to find a more effective solution for the purpose of discharging the general budget of the Euoprean Union.

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A host agreement shall be concluded between the ARTEMIS Joint Undertaking and the host State concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the ARTEMIS Joint Undertaking.

A host agreement shall be concluded between the ARTEMIS Joint Undertaking and the host State concerning assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the ARTEMIS Joint Undertaking.

Amendment 26Annex, Article 1, paragraph 3

3. The ARTEMIS Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Communities for a period ending on 31 December 2017.

3. The ARTEMIS Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for a period ending on 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.


4. This period may be extended by amending these Statutes in accordance with the provisions of Article 23, taking into account the progress made towards achieving the objectives of the ARTEMIS Joint Undertaking and provided that financial sustainability is ensured.

deleted

Amendment 27Annex, Article 1, paragraph 5 a (new)

5a. The ARTEMIS Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.

Amendment 29Annex, Article 2, paragraph 1, point (d)

(d) ensure the efficiency and durability of the JTI on Embedded Computing Systems;

deleted

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Amendment 30Annex, Article 2, paragraph 2, point (d a) (new)

(da) to promote the involvement of SMEs in its activities;

Amendment 31Annex, Article 2, paragraph 2, point (h)

(h) to publish information on the Projects, including the name of the participants and the amount of the financial contribution of the ARTEMIS Joint Undertaking;

(h) to publish information on the Projects, including the name of the participants and the amount per participant of the financial contribution of the ARTEMIS Joint Undertaking;


4. Decisions of the Governing Board on accession of any other legal entity or recommendations of the Governing Board on the accession of Third Countries shall be made taking into account the relevance and potential added value of the applicant for the achievement of the objectives of the ARTEMIS Joint Undertaking.

4. Decisions of the Governing Board on the accession of any other legal entity or recommendations of the Governing Board on the accession of Third Countries shall be made taking into account the relevance and potential added value of the applicant for the achievement of the objectives of the ARTEMIS Joint Undertaking. In the event of an application for membership, the Governing Board shall provide timely information to the Commission on the assessment made of the applicant and, where applicable, on the recommendation or decision of the Governing Board. The Commission shall transmit this information to the Council.


5. Any Member may withdraw from the ARTEMIS Joint Undertaking. Withdrawal shall become effective and irrevocable six months after notification to the other Members following which the former Member shall be discharged from any obligations other than those already existing previous to its withdrawal.

5. Any Member may withdraw from the ARTEMIS Joint Undertaking. Withdrawal shall become effective and irrevocable six months after notification to the other Members following which the former Member shall be discharged from any obligations other than those already undertaken through a decision of the ARTEMIS Joint Undertaking in accordance with these Statutes prior to the Member's withdrawal. The obligation to

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give six months' notice shall not apply when a Member's withdrawal is based upon and a direct consequence of amendment of these Statutes.

Amendment 34Annex, Article 6, paragraph 2, point (c)

(c) approve the Financial Regulation of the ARTEMIS Joint Undertaking according to Article 13 of these Statutes;

(c) approve the financial rules of the ARTEMIS Joint Undertaking according to Article 13 of these Statutes, after consulting the Commission;

Amendment 35Annex, Article 7, paragraph 2, point (e)

(e) approve the launch of calls for proposals;

(e) approve the content, the objectives and the launch of calls for proposals;

Amendment 36Annex, Article 7, paragraph 3, point (b)

(b) The Public Authorities Board shall elect its Chairperson.

(b) The Public Authorities Board shall elect its Chairperson every two years. The same Chairperson may be re-elected no more than twice.


2. The Executive Director shall be appointed by the Governing Board from a list of candidates proposed by the Commission, for a period of up to three years. After an evaluation of the Executive Director's performance, the Board may extend the term of office once for a further period of not more than four years.

2. The Executive Director shall be appointed by the Governing Board on the basis of a list of candidates proposed by the Commission following a call for expression of interest published in the Official Journal of the European Union and in the press or on the internet, for a period of up to three years. After an evaluation of the Executive Director's performance, the Board may extend the term of office once for a further period of not more than three years.


(b) a Community contribution to fund the (b) a Community contribution to fund the

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R&D Activities; Projects;

Amendment 39Annex, Article 10, paragraph 4, point (a)

(a) ARTEMISIA shall make a contribution of up to EUR 20 million or up to 1% of the overall costs of Projects, whichever figure is higher, but not exceeding EUR 30 million;

(a) ARTEMISIA shall make a contribution of up to EUR 20 million or up to 1% of the overall costs of Projects, whichever figure is higher, but not exceeding EUR 30 million. The overall costs of Projects shall mean the sum of the total costs (as defined in footnote 32) of all Projects;

Amendment 40Annex, Article 10, paragraph 4, point (d a) (new)

(da) the sum of the contributions referred to in points (a) and (b) shall not exceed 5% of the overall budget of the ARTEMIS Joint Undertaking.


(c) in-kind contributions by research and development organisations participating in Projects which shall bear their share of the necessary cost of carrying out the Projects. Their overall contribution over the duration of the ARTEMIS Joint Undertaking shall be equal to or greater than the contribution of public authorities.

(c) in-kind contributions by research and development organisations participating in Projects, which shall be subject to an evaluation of their value and relevance to the carrying-out of the activities of the ARTEMIS Joint Undertaking and to acceptance by the Governing Board. The procedure for evaluating in-kind contributions shall be adopted by the Governing Board. It shall be based on the following principles:

the overall approach will be based on the modus operandi of the Seventh Framework Programme, whereunder in-kind contributions to projects are assessed at review level;

the implementing rules of the ARTEMIS Joint Undertaking's financial rules will be used as guide;

additional items will be covered by

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International Accounting Standards;

evaluation of contributions will take place in accordance with the values generally accepted on the market in question (Article 172(2)(b) of Commission Regulation (EC, Euratom) No 2342/2002 of 23 December 2002 laying down detailed rules for the implementation of Council Regulation (EC, Euratom) No 1605/2002 on the financial Regulation applicable to the general budget of the European Communities*).

Verification shall be carried out by an independent auditor.

* OJ L 357, 31.12.2002, p. 1. Regulation as last amended by Commission Regulation (EC, Euratom) No 478/2007 (OJ L 111, 24.4.2007, p. 13).


7. Should any Member of the ARTEMIS Joint Undertaking be in default of its commitments concerning its agreed financial contribution to the ARTEMIS Joint Undertaking, the Executive Director shall convene a meeting of the Governing Board to decide whether the remaining Members should revoke the defaulting Member's membership or if any other measures should be taken until its obligations have been met.

7. Should any Member of the ARTEMIS Joint Undertaking be in default of its commitments concerning its agreed financial contribution to the ARTEMIS Joint Undertaking, the Executive Director shall notify such Member in writing thereof and shall set a reasonable period in which such default may be remedied. If the default has not been remedied within such period, the Executive Director shall convene a meeting of the Governing Board to decide whether the defaulting Member's membership should be revoked or if any other measures should be taken until its obligations have been met.

Amendment 43Annex, Article 13, title and paragraphs (1) to (3)

Financial Regulation Financial rules

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1. The Financial Regulation of the ARTEMIS Joint Undertaking shall be adopted by the Governing Board.

1. The financial rules of the ARTEMIS Joint Undertaking shall be adopted by the Governing Board after consulting the Commission.

2. The purpose of the Financial Regulation is to ensure the sound financial management of the ARTEMIS Joint Undertaking.

2. The purpose of the financial rules is to ensure the sound financial management of the ARTEMIS Joint Undertaking.

3. The Financial Regulation shall be based on the principles of the Framework Financial Regulation and shall include provisions for the planning and implementation of the budget of the ARTEMIS Joint Undertaking. The Financial Regulation may depart from the Framework Financial Regulation where the specific operating needs of the ARTEMIS Joint Undertaking so require and subject to prior consultation with the Commission.

3. The ARTEMIS Joint Undertaking's financial rules shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require. The prior consent of the Commission shall be required for the adoption of any rules which depart from Regulation (EC, Euratom) No 2343/2002. The budgetary authority shall be informed of any such derogation.


4. Discharge for the implementation of the budget of the ARTEMIS Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure that shall be provided for by the Financial Regulation of the ARTEMIS Joint Undertaking.

4. Discharge for the implementation of the budget of the ARTEMIS Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for by the financial rules of the ARTEMIS Joint Undertaking, respecting the Court of Auditor's competence to examine the revenue and expenditure accounts of all bodies set up by the Communities and recognizing the specificities of the Joint Technology Initiatives as new mechanisms for implementing public private partnerships, in order to find a more effective solution for the purpose of discharging the general budget of the European Union.


1. The Multiannual Strategic Plan shall specify the strategy and plans for achieving the objectives of the ARTEMIS Joint Undertaking, including the Research

1. The Multiannual Strategic Plan shall specify the strategy and plans for achieving the objectives of the ARTEMIS Joint Undertaking, including the Research

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Agenda. Agenda. Once approved by the Governing Board, the Multiannual Strategic Plan shall be made public.


2. The Annual Work Programme shall describe the scope and budget of calls for proposals needed to implement the Research Agenda for a particular year.

2. The Annual Work Programme shall describe the scope and budget of calls for proposals needed to implement the Research Agenda for a particular year. Once approved by the Governing Board, the Annual Work Programme shall be made public.


3. The Annual Implementation Plan shall specify the plan for the execution of all the activities of the ARTEMIS Joint Undertaking for a particular year, including planned calls for proposals and actions needing to be implemented through Calls for tenders. The Annual Implementation Plan shall be presented by the Executive Director to the Governing Board together with the Annual Budget Plan.

3. The Annual Implementation Plan shall specify the plan for the execution of all the activities of the ARTEMIS Joint Undertaking for a particular year, including planned calls for proposals and actions needing to be implemented through Calls for tenders. The Annual Implementation Plan shall be presented by the Executive Director to the Governing Board together with the Annual Budget Plan. Once approved by the Governing Board, the Annual Implementation Plan shall be made public.

Amendment 48Annex, Article 14, paragraph 5, subparagraph 2

The Annual Activity Report shall be presented by the Executive Director together with the Annual Accounts and balance sheets.

The Annual Activity Report shall be presented by the Executive Director together with the Annual Accounts and balance sheets. This Annual Activity Report shall include the participation of SMEs in the R&D activities of the ARTEMIS Joint Undertaking.


6. Annual Accounts and balance sheets: within two months of the closure of each

6. Annual Accounts and balance sheets: within two months of the closure of each

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financial year, the Annual Accounts and balance sheets for the preceding year shall be submitted by the Executive Director to the Governing Board for approval. The Annual Accounts and balance sheets for the preceding year shall be submitted to the European Court of Auditors.

financial year, the Annual Accounts and balance sheets for the preceding year shall be submitted by the Executive Director to the Governing Board for approval. The Annual Accounts and balance sheets for the preceding year shall be submitted to the European Court of Auditors and to the budgetary authority.


2. The ARTEMIS Joint Undertaking shall conclude grant agreements with Project participants for the implementation of the Projects. These grant agreements shall refer to and, where appropriate, rely on corresponding national grant agreements as referred to in Article 16(5)(b).

2. The ARTEMIS Joint Undertaking shall conclude grant agreements with Project participants for the implementation of the Projects. The terms and conditions of these grant agreements shall be in accordance with the financial rules of the ARTEMIS Joint Undertaking and shall refer to and, where appropriate, rely on corresponding national grant agreements as referred to in Article 16(5)(b).


(a) Calls for proposals launched by the ARTEMIS Joint Undertaking shall be open to participants established in ARTEMIS Member States and in any other Member State of the European Union or Associated Country.

a) Calls for proposals launched by the ARTEMIS Joint Undertaking shall be open to participants established in ARTEMIS Member States and in any other Member State of the European Union or Associated Country. Calls for proposals shall be made public to the greatest extent possible through periodicals, on the internet, etc.


1. The staff resources shall be determined in an establishment plan to be set out in the Annual Budget Plan.

1. The staff resources shall be determined in an establishment plan to be set out in the Annual Budget Plan and to be forwarded by the Commission to the European Parliament and the Council together with the preliminary draft budget of the European Union.

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2. The members of the staff of the ARTEMIS Joint Undertaking shall be temporary agents and contract agents and shall have fixed-term contracts extendable once up to a maximum total period of seven years.

deleted


6. The Members are not liable for any of the ARTEMIS Joint Undertaking’s financial obligations. The financial liability of the Members is an internal liability towards the ARTEMIS Joint Undertaking only, and is limited to their commitment to contribute to the resources as set out in Article 10(2).

6. The Members are not liable for any of the ARTEMIS Joint Undertaking’s obligations. The financial liability of the Members is an internal liability towards the ARTEMIS Joint Undertaking only, and is limited to their commitment to contribute to the resources as set out in Article 10(2).


7. The financial liability of the ARTEMIS Joint Undertaking for its debts is limited to the contributions that the Members have made to the running costs as set out in Article 10 (2).

7. With the exception of the financial contributions due to Project participants pursuant to Article 16(5)(a), the financial liability of the ARTEMIS Joint Undertaking for its debts is limited to the contributions that the Members have made to the running costs as set out in Article 10(2).


5. When any physical asset has been dealt with as provided for in paragraph 4, any further assets shall be used to cover the liabilities of the ARTEMIS Joint Undertaking and the costs relating to its winding-up. Any surplus or deficit shall be distributed among or met by the Members existing at the time of the winding-up in proportion to their actual contribution to the ARTEMIS Joint Undertaking.

5. When any physical asset has been dealt with as provided for in paragraph 4, any further assets shall be used to cover the liabilities of the ARTEMIS Joint Undertaking and the costs relating to its winding-up. Any surplus shall be distributed among the Members existing at the time of the winding-up in proportion to their actual contribution to the ARTEMIS Joint Undertaking.

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3. Proposals for amendments to the Statutes shall be approved by the Governing Board according to the provisions of Article 6 and submitted to the Commission for decision.

3. Proposals for amendments to the Statutes shall be approved by the Governing Board according to the provisions of Article 6 and submitted to the Commission for decision after consulting the European Parliament.


4. Notwithstanding paragraph 3, any amendment proposed to Article 1(3), Article 4 (3), Article 10(4)(b) Article 10(5)(a) shall be considered as an essential aspect and therefore subject to a revision of this Regulation.

4. Notwithstanding paragraph 3, any amendment proposed to Article 1(3), Article 4(3), Article 6(1), Article 7(1), Article 9(2), Article 10(4)(b), Article 10(5)(a) , ) and Article 19 shall be considered as an essential aspect and therefore subject to a revision of this Regulation.

Amendment 60Annex, Article 24, paragraph 2, point (i)

(i) "Access Right” shall mean non-exclusive licences and user rights to Foreground or Background, which rights shall not include the right to sublicense unless otherwise agreed upon in the Project Agreement;

(i) "Access Right” shall mean non-exclusive licences and user rights to Foreground or Background to be granted under Project Agreements, which rights shall not include the right to sublicense unless otherwise agreed upon in the Project Agreement;

Amendment 61Annex, Article 24, paragraph 2, point (j)

(j) “Needed” shall mean “technically essential” for the implementation of the Project and/or in respect of use of Foreground and, where Intellectual Property Rights are concerned, shall mean that those Intellectual Property Rights would be infringed if the Access Rights were not granted;

(j) “Needed” shall mean “technically essential” for the implementation of the Project and/or in respect of Use of Foreground and, where Intellectual Property Rights are concerned, shall mean that those Intellectual Property Rights would be infringed if the Access Rights were not granted;

Amendment 62Annex, Article 24, paragraph 3, point 3.2.1.

3.2.1. Project participants in the same Project shall conclude among themselves a Project Agreement that shall govern, inter

3.2.1. Project participants in the same Project shall conclude among themselves a Project Agreement that shall govern, inter

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alia, the Access Rights to be granted in accordance with this Article. Project participants may define the Background needed for the purposes of the Project and, where appropriate, may agree to exclude specific Background.

alia, the Access Rights to be granted in accordance with this Article. Project participants may decide to grant broader Access Rights than required by this Article. Project participants may define the Background needed for the purposes of the Project and, where appropriate, may agree to exclude specific Background.

Amendment 63Annex, Article 24, paragraph 3, point 3.2.4.

3.2.4. Participants in the same Project shall enjoy Access Rights to Background if this is needed for the Use of their own Foreground of that Project, provided that the owner of the Background is entitled to grant them. Such Access Rights shall be granted on a non-exclusive basis on fair, reasonable and non-discriminatory conditions.

3.2.4. Participants in the same Project shall enjoy Access Rights to Background if this is needed for the Use of their own Foreground of that Project, provided that the owner of the Background is entitled to grant them. Such Access Rights shall be granted on a non-exclusive, non-transferable basis on fair, reasonable and non-discriminatory conditions.

Amendment 65Annex, Article 24, paragraph 3, point 3.4.1

3.4.1. Where a participant transfers ownership of Foreground, it shall pass on its obligations regarding such Foreground to the transferee including the obligation to pass those obligations on to any subsequent transferee. These obligations shall include those relating to the granting of Access Rights, and dissemination and use.

3.4.1. Where a participant transfers ownership of Foreground, it shall pass on its obligations regarding such Foreground to the transferee, in particular those relating to the granting of Access Rights and their dissemination and use. Upon any such transfer, the participant concerned shall notify the other participants in the same Project of the name and contact details of the transferee.

Amendment 66Annex, article 24, paragraph 3, point 3.4.2

3.4.2. Subject to its obligations concerning confidentiality, where a Project participant is required to pass on its obligations to provide access rights, it shall give at least 45 days prior notice to the other participants of the envisaged transfer ,

deleted

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together with sufficient information concerning the envisaged new owner of the Foreground to permit the other participants to exercise their access rights. Following notification, any other participant may object within 30 days or within a different time-limit agreed in writing, to any envisaged transfer of ownership on the grounds that it would adversely affect its access rights. Where any of the other participants demonstrate that their access rights would be adversely affected, the intended transfer shall not take place until agreement has been reached between participants concerned.

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P6_TA-PROV(2007)0589

The ENIAC Joint Undertaking *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the ENIAC Joint Undertaking (COM(2007)0356 – C6-0275/2007 – 2007/0122(CNS))




– having regard to Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1 (Financial Regulation), and in particular Article 185 thereof,




– having regard to the report of the Committee on Industry, Research and Energy and the opinion of the Committee on Budgets (A6-0486/2007),



3. Recalls that the opinion delivered by the Committee on Budgets does not pre-empt the outcome of the procedure laid down in Point 47 of the IIA of 17 May 2006 which applies to the setting up of the ENIAC Joint Undertaking;




2 OJ C 139, 14.6.2006, p. 1.

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(8) The JTI on Nanoelectronics should create a sustainable public-private partnership and increase and leverage private and public investment in the sector of nanoelectronics in Europe, which for the purpose of this Regulation includes the Members States and Countries associated with the Seventh Framework Programme. The JTI on Nanoelectronics should also achieve effective coordination and synergy of resources and funding from the Framework Programme, industry, national R&D programmes and intergovernmental R&D schemes, thus contributing to strengthen Europe’s future growth, competitiveness and sustainable development. Finally, its objective should be to foster collaboration between all stakeholders such as industry, national authorities, academic and research centres pulling together and focusing the research effort.

(8) The JTI on Nanoelectronics should create a sustainable public-private partnership and increase and leverage private and public investment in the sector of nanoelectronics in Europe, which for the purpose of this Regulation includes the Members States and Countries associated with the Seventh Framework Programme. The JTI on Nanoelectronics should also achieve effective coordination and synergy of resources and funding from the Framework Programme, industry, national R&D programmes and intergovernmental R&D schemes, thus contributing to strengthen Europe’s future growth, competitiveness and sustainable development. Finally, its objective should be to foster collaboration between all stakeholders such as industry, including small and medium-sized enterprises (SMEs), national authorities, academic and research centres and by pulling together and focusing the research effort.


(11) The ambition and scope of the stated objectives of the JTI on Nanoelectronics, the scale of the financial and technical resources that need to be mobilised, and the need to achieve effective coordination and synergy of resources and funding, call for action to be taken by the Community. Therefore, it is necessary to set up a Joint Undertaking (hereinafter the “ENIAC Joint Undertaking”) under Article 171 of the Treaty as a legal entity responsible for the

(11) The ambition and scope of the stated objectives of the JTI on Nanoelectronics, the scale of the financial and technical resources that need to be mobilised, and the need to achieve effective coordination and synergy of resources and funding, call for action to be taken by the Community. Therefore, it is necessary to set up a Joint Undertaking (hereinafter the “ENIAC Joint Undertaking”) under Article 171 of the Treaty as a legal entity responsible for the

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implementation of the JTI on Nanoelectronics. To ensure the appropriate management of R&D activities initiated under the Seventh Framework Programme, the ENIAC Joint Undertaking should be set up for a period ending on 31 December 2017, which may be extended.

implementation of the JTI on Nanoelectronics. To ensure the appropriate management of R&D activities initiated under the Seventh Framework Programme, the ENIAC Joint Undertaking should be set up for a period ending on 31 December 2017. It should be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.


(12) The ENIAC Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, on the recommendation of the Council. However, account should be taken of the specificities resulting from the nature of JTIs as public-private partnerships and in particular from the private sector contribution to the budget.

(12) The ENIAC Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, taking into account a recommendation from the Council.


(12a) The Community and public stakeholders should seek to recognise the opportunities presented by the Joint Technology Initiatives as new mechanisms for implementing public-private partnerships and work alongside private stakeholders to find a more efficient solution for the purpose of discharging the general budget of the European Union.


(14) The objectives of the ENIAC Joint Undertaking should be pursued by pooling resources from the public and private sectors to support R&D activities in the form of projects. To that end, the ENIAC Joint Undertaking should be able to organise competitive calls for proposals for projects

(14) The objectives of the ENIAC Joint Undertaking should be pursued by pooling resources from the public and private sectors to support R&D and prototyping activities in the form of projects. To that end, the ENIAC Joint Undertaking should be able to organise competitive calls for proposals for

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to implement parts of the Research Agenda. The R&D activities should respect fundamental ethical principles applicable in the Seventh Framework Programme.

projects to implement parts of the Research Agenda. The R&D activities should respect fundamental ethical principles applicable in the Seventh Framework Programme.


(22) The need to ensure stable employment conditions and equal treatment of staff, and in order to attract specialised scientific and technical staff of the highest calibre, requires the application of the Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities, ("the Staff Regulation") to all staff recruited by the ENIAC Joint Undertaking.

(22) The need to ensure efficient operation of the ENIAC Joint Undertaking and to attract specialised scientific and technical staff of the highest calibre, requires that, in agreement with the Governing Board of the ENIAC Joint Undertaking, the Commission and the participating Member States may second as many officials as needed to the ENIAC Joint Undertaking and recruit the remaining staff needed by contract, taking into account the fact that staff costs should be kept low and the time for the setting up of the ENIAC Joint Undertaking short.


(26) The ENIAC Joint Undertaking should adopt, subject to prior consent from the Commission, specific financial rules which take into account its specific operating needs arising, in particular, from the need to combine Community and national funding to support R&D activities in an efficient and timely manner. They should be based on the principles laid down in Commission Regulation (EC, Euratom) No 2343/2002 of 23 December 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the budget of the European Communities1.

(26) The financial rules applicable to the ENIAC Joint Undertaking should not depart from Commission Regulation (EC, Euratom) No 2343/2002 of 19 November 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1, unless its specific operating needs so require, in particular the need to combine Community and national funding to support R&D activities in an efficient and timely manner. The prior consent of the Commission is required for the adoption of any rules which depart from Regulation (EC, Euratom) No 2343/2002. The budgetary authority should be informed of any such derogation.

_____________________ _____________________

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1 OJ L 357, 31.12.2002, p. 72. 1 OJ L 357, 31.12.2002, p. 72. Corrigendum in OJ L 2, 7.1.2003, p. 39.


1. For the implementation of the Joint Technology Initiative (hereinafter JTI) on Nanoelectronics, a Joint Undertaking within the meaning of Article 171 of the Treaty (hereinafter the "ENIAC Joint Undertaking") is hereby set up for a period ending on 31 December 2017. This period may be extended by a revision of this Regulation.

1. For the implementation of the Joint Technology Initiative (hereinafter JTI) on Nanoelectronics, a Joint Undertaking within the meaning of Article 171 of the Treaty (hereinafter the "ENIAC Joint Undertaking") is hereby set up for a period ending on 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017. The ENIAC Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.

Amendment 9Article 2, point (b)

(b) support the activities required for the implementation of the Research Agenda (hereinafter R&D activities), notably by awarding funding to participants in selected projects following competitive calls for proposals;

(b) support the activities required for the implementation of the Research Agenda (hereinafter R&D activities), notably by awarding funding to participants in selected projects following competitive calls for proposals for R&D and prototyping activities;

Amendment 10Article 2, point (c)

(c) promote a public-private partnership aiming at mobilising and pooling Community, national and private efforts, increasing overall R&D investments in the field of Nanoelectronics, and fostering collaboration between the public and private sectors;

(c) promote a public-private partnership aiming at mobilising and pooling Community, national and private efforts, increasing overall R&D investments in the field of Nanoelectronics, fostering collaboration between the public and private sectors and creating synergies among stakeholders in the Nanoelectronics industry, including corporate actors, SMEs and R&D institutes;

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Amendment 11Article 2, point (d)

(d) ensure the efficiency and durability of the JTI on Nanoelectronics;

deleted


(b) any non-EU, non-candidate and non-associated country (hereinafter "Third Country") pursuing R&D policies or programmes in the area of Nanoelectronics;

deleted


(b) a financial contribution from the Community of up to EUR 10 million;

(b) a financial contribution from the Community of up to EUR 10 million, payable in instalments of up to EUR 1,5 million per annum or a sum equal to50% of the contribution from AENEAS, whichever figure is lower; any part of this contribution not spent during the current year shall be made available in the following years for the R&D activities;


(a) a financial contribution from the Community of up to EUR 440 million to finance Projects;

(a) a financial contribution from the Community of up to EUR 440 million to finance Projects, which may be increased by any unspent part of the contribution from the Community towards running costs, as provided for in paragraph 2(b);

Amendment 15Article 6, title and paragraph 1

Financial Regulation

1. The ENIAC Joint Undertaking shall adopt specific financial rules based on the principles of the Regulation (EC, Euratom) No2343/2002. They may depart from that regulation where the specific operating

Financial rules

1. The financial rules applicable to the ENIAC Joint Undertaking shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior

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needs of the ENIAC Joint Undertaking so require and subject to prior consent from the Commission.

consent of the Commission. The budgetary authority shall be informed of any such derogation.


2a. The Commission and the Member States may, in agreement with the Governing Board, second a number of officials to the ENIAC Joint Undertaking.


3. The Governing Board shall, in agreement with the Commission, adopt the necessary implementing measures, in accordance with provisions provided for in article 110 of the Staff Regulations of Officials of the European Communities, and the Conditions of Employment of Other Servants of the European Communities.

3. The Governing Board shall, in agreement with the Commission, adopt the necessary implementing measures regarding the secondment of officials of the European Communities and participant Member States and the employment of additional staff.


1a. The ENIAC Joint Undertaking shall be solely responsible for meeting its obligations.


1b. The ENIAC Joint Undertaking shall not be responsible for meeting the financial obligations of its Members. It shall not be liable for any ENIAC Member State failing to meet its obligations resulting from calls for proposals launched by the ENIAC Joint Undertaking.


1c. The Members shall not be liable for

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any of the ENIAC Joint Undertaking’s obligations. The financial liability of the Members shall be an internal liability towards the ENIAC Joint Undertaking only, limited to their commitment to contribute to the resources as set out in Article 4.


2. No later than 31 December 2010 and 31 December 2015, the Commission shall conduct interim evaluations of the ENIAC Joint Undertaking with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the ENIAC Joint Undertaking and progress towards the objectives set. The Commission shall communicate the conclusions thereof, accompanied by its observations to the European Parliament and the Council.

2. No later than 31 December 2011 the Commission shall present an evaluation of the ENIAC Joint Undertaking prepared with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the ENIAC Joint Undertaking and progress towards the objectives set. The Commission shall communicate the conclusions thereof, accompanied by its observations to the European Parliament and the Council. The results of the evaluation shall be taken into consideration so as to reorient, if necessary, the Research Agenda.


4. Discharge for the implementation of the budget of the ENIAC Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for in the financial rules of the ENIAC Joint Undertaking.

4. Discharge for the implementation of the budget of the ENIAC Joint Undertaking shall be given by the European Parliament, taking into account a recommendation from the Council.


The Commission and AENEAS shall take all necessary preparatory actions for the setting up of the ENIAC Joint Undertaking until its bodies are fully operational.

The Commission and AENEAS shall take all necessary preparatory actions for the setting up of the ENIAC Joint Undertaking until its bodies are fully operational and shall ensure that the ENIAC Joint Undertaking is fully operational within three months of the entry into force of this

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Regulation.


A host agreement shall be concluded between the ENIAC Joint Undertaking and Belgium concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the ENIAC Joint Undertaking.

A host agreement shall be concluded between the ENIAC Joint Undertaking and Belgium concerning the assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the ENIAC Joint Undertaking.


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

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union. It shall expire on 31 December 2017.


3. The ENIAC Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Communities for a period ending on 31 December 2017.

3. The ENIAC Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for a period ending on 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.


4. This period may be extended by amending these Statutes in accordance with the provisions of Article 22, taking into account the progress made towards achieving the objectives of the ENIAC Joint Undertaking and provided that financial sustainability is ensured.

deleted


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5a. The ENIAC Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.


(c) promote a public-private partnership aiming at mobilising and pooling Community, national and private efforts, increasing overall R&D investments in the field of Nanoelectronics, and fostering collaboration between the public and private sectors;

(c) promote a public-private partnership aiming at mobilising and pooling Community, national and private efforts, increasing overall R&D investments in the field of Nanoelectronics, fostering collaboration between the public and private sectors and creating synergies among all the Nanoelectronics industry's stakeholders, including corporate actors, SMEs and R&D institutes;

Amendment 30Annex, Article 2, paragraph 1, point (d)

(d) ensure the efficiency and durability of the JTI on Nanoelectronics;

deleted

Amendment 31Annex, Article 2, paragraph 2, point (e a) (new)

(ea) to ensure the participation of SMEs in order to enable at least 15% of available funding to be granted to them.

Amendment 32Annex, Article 2, paragraph 2, point (g)

(g) to manage communication and dissemination of the activities of the ENIAC Joint Undertaking subject to confidentiality obligations;

(g) to manage communication and dissemination of the activities of the ENIAC Joint Undertaking subject to confidentiality obligations, with special emphasis on communication and dissemination to SMEs and research centres;

Amendment 33Annex, Article 2, paragraph 2, point (h)

(h) to publish information on the Projects, (h) to publish information on the Projects,

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including the name of the participants and the amount of the financial contribution of the ENIAC Joint Undertaking;

including the names of the participants, the amount of the financial contribution per participant of the ENIAC Joint Undertaking and information on the participation of SMEs;


(b) any non-EU, non-candidate and non-associated country (hereinafter "Third Country") pursuing R&D policies or programmes in the area of Nanoelectronics;

deleted


3. Any application for membership of the ENIAC Joint Undertaking by Third Countries shall be considered by the Governing Board, which shall make a recommendation to the Commission. The Commission may make a proposal to amend this Regulation on the accession of the Third Country, subject to the successful completion of negotiations with the ENIAC Joint Undertaking.

deleted


4. Decisions of the Governing Board on accession of any other legal entity or recommendations of the Governing Board on the accession of Third Countries shall be made taking into account the relevance and potential added value of the applicant for the achievement of the objectives of the ENIAC Joint Undertaking.

4. Decisions of the Governing Board on the accession of any other legal entity shall be made taking into account the relevance and potential added value of the applicant for the achievement of the objectives of the ENIAC Joint Undertaking.


5. Any Member may withdraw from the ENIAC Joint Undertaking. Withdrawal shall become effective and irrevocable six

5. Any Member may withdraw from the ENIAC Joint Undertaking. Withdrawal shall become effective and irrevocable six

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months after notification to the other Members following which the former Member shall be discharged from any obligations other than those already existing previous to its withdrawal.

months after notification to the other Members following which the former Member shall be discharged from any obligations other than those already undertaken through decisions of the ENIAC Joint Undertaking in accordance with these Statutes prior to the Member's withdrawal.


(g) Decisions shall be adopted by a majority of at least 75% of votes unless otherwise explicitly stated in these Statutes. The Community shall hold a veto right on all decisions taken by this Board relating to the use of its financial contribution, the methodology for assessing the in-kind contributions, any amendments to these Statutes and the Financial Regulation of the ENIAC Joint Undertaking.

(g) Decisions shall be adopted by a majority of at least 75% of votes unless otherwise explicitly stated in these Statutes. The Community shall hold a veto right on all decisions taken by this Board relating to the use of its financial contribution, the methodology for assessing the in-kind contributions, any amendments to these Statutes and the financial rules of the ENIAC Joint Undertaking.


(c) approve the Financial Regulation of the ENIAC Joint Undertaking according to Article 12 of these Statutes;

(c) approve the financial rules of the ENIAC Joint Undertaking according to Article 12 of these Statutes, after consulting the Commission;

Amendment 40Annex, Article 7, paragraph 1, point (f a) (new)

(fa) The Public Authorities Board may allow other Member States which are not ENIAC Member States to participate in its activities as observers.


(b) The Public Authorities Board shall elect its Chairperson.

(b) The Public Authorities Board shall elect its Chairperson every two years.


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2. The Executive Director shall be appointed by the Governing Board from a list of candidates proposed by the Commission, for a period of up to three years. After an evaluation of the Executive Director's performance, the Board may extend the term of office once for a further period of not more than four years.

2. The Executive Director shall be appointed by the Governing Board on the basis of a list of candidates proposed by the Commission following a call for expression of interest published in the Official Journal of the European Union, on the internet and in the press in all the Member States of the European Union, for a period of up to three years. After an evaluation of the Executive Director's performance, the Board may extend the term of office for a further period of not more than three years, following which a call for expression of interest shall be published in the same way.

Amendment 43Annex, Article 9, paragraph 3, point (k)

(k) to carry out financial audits, directly or through the national public authorities, on Project participants as necessary, in compliance with the Financial Regulation of the ENIAC Joint Undertaking;

(k) to carry out financial audits, directly or through the national public authorities, on Project participants as necessary, in compliance with the financial rules of the ENIAC Joint Undertaking;

Amendment 44Annex, Article 9, paragraph 4, point (f)

(f) managing invitations to tender for ENIAC Joint Undertaking goods/services requirements according to the Financial Regulation of the ENIAC Joint Undertaking.

(f) managing invitations to tender for ENIAC Joint Undertaking goods/services requirements according to the financial rules of the ENIAC Joint Undertaking.


5. Non-financial tasks of the Secretariat may be contracted by the ENIAC Joint Undertaking to external service providers. Such contracts shall be established in accordance with the provisions of the Financial Regulation of the ENIAC Joint Undertaking.

5. Non-financial tasks of the Secretariat may be contracted by the ENIAC Joint Undertaking to external service providers. Such contracts shall be established in accordance with the provisions of the financial rules of the ENIAC Joint Undertaking.


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(c) in-kind contributions by R&D organisations participating in Projects which shall bear their share of the necessary cost of carrying out the Projects. Their overall contribution over the duration of the ENIAC Joint Undertaking shall be equal to or greater than the contribution of public authorities.

(c) in-kind contributions which shall be subject to an evaluation of their value and relevance to the activities of the ENIAC Joint Undertaking and to acceptance by the Governing Board. The procedure for evaluation of contributions in kind shall be adopted by the Governing Board and be based on the following principles:

the overall approach will be based on the Seventh Framework Programme modus operandi, where contributions in kind to projects are assessed at review level;

the implementing rules of the ENIAC Joint Undertaking financial rules will be used as a guideline;

additional items will be covered by International Accounting Standards;

assessment of contributions will be carried out in accordance with the costs generally accepted on the market in question (Article 172(2)(b) of Commission Regulation (EC, Euratom) No 2342/2002 of 23 December 2002 laying down detailed rules for the implementation of Council Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European Communities*).

Verification shall be carried out by an independent auditor.

* OJ L 357, 31.12.2002, p. 1. Regulation as last amended by Commission Regulation (EC, Euratom) No 478/2007 (OJ L 111, 28.4.2007, p. 13).


7. Should any Member of the ENIAC Joint Undertaking be in default of its commitments concerning its agreed financial contribution to the ENIAC Joint Undertaking, the Executive Director shall convene a meeting of the Governing Board to decide whether the remaining Members should revoke the defaulting Member's membership or if any other measures

7. Should any Member of the ENIAC Joint Undertaking be in default of its commitments concerning its agreed financial contribution to the ENIAC Joint Undertaking, the Executive Director shall notify such Member in writing thereof and shall set a reasonable period in which such default may be remedied. If the default has not been remedied within such

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should be taken until its obligations have been met.

period, the Executive Director shall convene a meeting of the Governing Board to decide whether the defaulting Member's membership should be revoked or if any other measures should be taken until its obligations have been met.

Amendment 48Annex, Article 12

Article 12

Financial Regulation

1. The Financial Regulation of the ENIAC Joint Undertaking shall be adopted by the Governing Board.

Article 12

Financial rules

1. The financial rules of the ENIAC Joint Undertaking shall be adopted by the Governing Board after consulting the Commission.

2. The Financial Regulation shall be based on the principles of the Framework Financial Regulation and shall include provisions for the planning and implementation of the budget of the ENIAC Joint Undertaking. The Financial Regulation may depart from the Framework Financial Regulation where the specific operating needs of the ENIAC Joint Undertaking so require and subject to prior consent from the Commission.

2. The ENIAC Joint Undertaking's financial rules shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.

3. Discharge for the implementation of the budget of the ENIAC Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure that shall be provided for by the Financial Regulation of the ENIAC Joint Undertaking.

3. Discharge for the implementation of the budget of the ENIAC Joint Undertaking shall be given by the European Parliament, taking into account a recommendation from the Council.


1. The Multiannual Strategic Plan shall specify the strategy and plans for achieving the objectives of the ENIAC Joint Undertaking, including the Research Agenda.

1. The Multiannual Strategic Plan shall specify the strategy and plans for achieving the objectives of the ENIAC Joint Undertaking, including the Research Agenda. Once approved by the Governing Board, the Multiannual Strategic Plan shall be made public.

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2. The Annual Work Programme shall describe the scope and budget of calls for proposals needed to implement the Research Agenda for a particular year.

2. The Annual Work Programme shall describe the scope and budget of calls for proposals needed to implement the Research Agenda for a particular year. Once approved by the Governing Board, the Annual Work Programme shall be made public.


3. The Annual Implementation Plan shall specify the plan for the execution of all the activities of the ENIAC Joint Undertaking for a particular year, including planned calls for proposals and actions needing to be implemented through Calls for tenders. The Annual Implementation Plan shall be presented by the Executive Director to the Governing Board together with the Annual Budget Plan.

3. The Annual Implementation Plan shall specify the plan for the execution of all the activities of the ENIAC Joint Undertaking for a particular year, including planned calls for proposals and actions needing to be implemented through Calls for tenders. The Annual Implementation Plan shall be presented by the Executive Director to the Governing Board together with the Annual Budget Plan. Once approved by the Governing Board, the Annual Implementation Plan shall be made public.


The Annual Activity Report shall be presented by the Executive Director together with the Annual Accounts and balance sheets.

The Annual Activity Report shall be presented by the Executive Director together with the Annual Accounts and balance sheets. The Annual Activity Report shall identify the participation of SMEs in the ENIAC Joint Undertaking and in the R&D activities.


6. Within two months after the end of each financial year the provisional accounts of the Joint Undertaking shall be submitted to the Commission and the Court of Auditors of the European Communities ('the Court of Auditors'). The Court of Auditors shall, by

6. Within two months after the end of each financial year the provisional accounts of the Joint Undertaking shall be submitted to the Commission and the Court of Auditors of the European Communities ('the Court of Auditors') and to the budgetary authority.

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15 June after the end of each financial year, make its observations on the provisional accounts of the Joint Undertaking.

The Court of Auditors shall, by 15 June after the end of each financial year, make its observations on the provisional accounts of the Joint Undertaking.


3. In order to enable the implementation of Projects and the granting of public funds, the ENIAC Joint Undertaking shall establish administrative arrangements with the national entities designated by the ENIAC Member States for that purpose, in line with the Financial Regulation of the ENIAC Joint Undertaking.

3. In order to enable the implementation of Projects and the granting of public funds, the ENIAC Joint Undertaking shall establish administrative arrangements with the national entities designated by the ENIAC Member States for that purpose, in line with the financial rules of the ENIAC Joint Undertaking.


(a) Calls for proposals launched by the ENIAC Joint Undertaking shall be open to participants established in ENIAC Member States and in any other Member State of the European Union or Associated Country.

a) Calls for proposals launched by the ENIAC Joint Undertaking shall be open to participants established in ENIAC Member States and in any other Member State of the European Union or Associated Country. Calls for proposals shall be made public to the greatest extent possible, including on the internet and in the press in all Member States of the European Union.


1. The staff resources shall be determined in an establishment plan to be set out in the Annual Budget Plan.

1. The staff resources shall be determined in an establishment plan to be set out in the Annual Budget Plan and to be forwarded by the Commission to the European Parliament and the Council together with the preliminary draft budget of the European Union.


2. The members of the staff of the ENIAC Joint Undertaking shall be temporary

2. The members of the staff of the ENIAC Joint Undertaking shall be temporary

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agents and contract agents and shall have fixed-term contracts extendable once up to a maximum total period of seven years.

agents and contract agents and shall have fixed-term contracts extendable twice up to a maximum total period of ten years. Furthermore, the Commission may, in agreement with the Government Board, second officials to the ENIAC Joint Undertaking.


5. When any physical asset has been dealt with as provided for in paragraph 4, any further assets shall be used to cover the liabilities of the ENIAC Joint Undertaking and the costs relating to its winding-up. Any surplus or deficit shall be distributed among or met by the Members existing at the time of the winding-up in proportion to their actual contribution to the ENIAC Joint Undertaking.

5. When any physical asset has been dealt with as provided for in paragraph 4, any further assets shall be used to cover the liabilities of the ENIAC Joint Undertaking and the costs relating to its winding-up. Any surplus shall be distributed among the Members existing at the time of the winding-up in proportion to their actual contribution to the ENIAC Joint Undertaking.


3. Proposals for amendments to the Statutes shall be approved by the Governing Board according to the provisions of Article 6 and submitted to the Commission for decision.

3. Proposals for amendments to the Statutes shall be approved by the Governing Board according to the provisions of Article 6 and submitted to the Commission for decision after consulting the European Parliament.


(i) "Access Right” shall mean non-exclusive licences and user rights to Foreground or Background, which rights shall not include the right to sublicense unless otherwise agreed upon in the Project Agreement;

(i) "Access Right” shall mean non-exclusive licenses and user rights to Foreground or Background to be granted under Project Agreements, which rights shall not include the right to sublicense unless otherwise agreed upon in the Project Agreement;

Amendment 62Annex, Article 23, paragraph 3, subparagraph 3.2.1

3.2.1. Project participants in the same Project shall conclude among themselves a

3.2.1. Project participants in the same Project shall conclude among themselves a

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Project Agreement that shall govern, inter alia, the Access Rights to be granted in accordance with this Article. Project participants may define the Background needed for the purposes of the Project and, where appropriate, may agree to exclude specific Background.

Project Agreement that shall govern, inter alia, the Access Rights to be granted in accordance with this Article. Project participants may decide to grant broader Access Rights than required by this Article. Project participants may define the Background needed for the purposes of the Project and, where appropriate, may agree to exclude specific Background.


3.2.4. Participants in the same Project shall enjoy Access Rights to Background if this is needed for the Use of their own Foreground of that Project, provided that the owner of the Background is entitled to grant them. Such Access Rights shall be granted on a non-exclusive basis on fair, reasonable and non-discriminatory conditions.

3.2.4. Participants in the same Project shall enjoy Access Rights to Background if this is needed for the Use of their own Foreground of that Project, provided that the owner of the Background is entitled to grant them. Such Access Rights shall be granted on a non-exclusive and non-transferable basis on fair, reasonable and non-discriminatory conditions.


3.3.1. Where Foreground is capable of being profitably exploited, its owner (i) shall provide for its appropriate and effective protection, having due regard to its legitimate interests, particularly commercial interests, and those of the other participants in the Project concerned and (ii) shall use it or ensure that it is used.

3.3.1. Where Foreground is capable of being profitably exploited, its owner (i) shall provide for its appropriate and effective protection, and (ii) shall use it, or license its use either royalty-free or on fair, reasonable and non-discriminatory terms, having due regard to its legitimate interests, particularly commercial interests, and those of the other participants in the Project concerned.


3.4.1. Where a participant transfers ownership of Foreground, it shall pass on its obligations regarding such Foreground to the transferee including the obligation to pass those obligations on to any subsequent transferee. These obligations shall include those relating to the granting of Access Rights, and dissemination and use.

3.4.1. Where a participant transfers ownership of Foreground, it shall pass on its obligations regarding such Foreground to the transferee including the obligation to pass those obligations on to any subsequent transferee. These obligations shall include those relating to the granting of Access Rights, and dissemination and use. In the

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event of such a transfer, the participant concerned shall notify in advance the other participants in the same Project of the name and contact details of the transferee.


3.4.2. Subject to its obligations concerning confidentiality, where a Project participant is required to pass on its obligations to provide access rights, it shall give at least 45 days prior notice to the other participants of the envisaged transfer , together with sufficient information concerning the envisaged new owner of the Foreground to permit the other participants to exercise their access rights. Following notification, any other participant may object within 30 days or within a different time-limit agreed in writing, to any envisaged transfer of ownership on the grounds that it would adversely affect its access rights. Where any of the other participants demonstrate that their access rights would be adversely affected, the intended transfer shall not take place until agreement has been reached between participants concerned.

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P6_TA-PROV(2007)0590

The Innovative Medicines Initiative Joint Undertaking *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the Innovative Medicines Initiative Joint Undertaking (COM(2007)0241 – C6-0171/2007 – 2007/0089(CNS))





– 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 management2(IIA), and in particular Point 47 thereof,



– having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Budgets and the Committee on the Environment, Public Health and Food Safety (A6-0479/2007),



3. Recalls that the opinion delivered by the Committee on Budgets does not pre-empt the outcome of the procedure laid down in Point 47 of the IIA of 17 May 2006 which applies to the setting up of the Innovative Medicines Initiative Joint Undertaking;



2 OJ C 139, 14.6.2006, p. 1.

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(10) The objective of the Joint Technology Initiative on "Innovative Medicines” should be to foster collaboration between all stakeholders such as industry, public authorities (including regulators), organisations of patients, academia and clinical centres. The Joint Technology Initiative on "Innovative Medicines” should define a commonly agreed research agenda (hereinafter referred to as "Research Agenda"), closely following the recommendations of the Strategic Research Agenda developed by the European Technology Platform on "Innovative Medicines".

(10) The objective of the Joint Technology Initiative on "Innovative Medicines” should be to foster collaboration between all stakeholders such as industry, including small and medium-sized enterprises (SMEs), public authorities (including regulators), organisations of patients, academia and clinical centres. The Joint Technology Initiative on "Innovative Medicines” should define a commonly agreed research agenda (hereinafter referred to as "Research Agenda"), closely following the recommendations of the Strategic Research Agenda developed by the European Technology Platform on "Innovative Medicines".


(11) The Joint Technology Initiative on "Innovative Medicines” should propose a coordinated approach to overcome identified research bottlenecks in the drug development process, and to support 'pre-competitive pharmaceutical research and development', in order to accelerate the development of safe and more effective medicines for patients. In the present context 'pre-competitive pharmaceutical research and development' should be understood as research on the tools and methodologies used in the drug development process.

(11) The Joint Technology Initiative on "Innovative Medicines” should propose a coordinated approach to overcome identified research bottlenecks in the drug development process, and to support 'pre-competitive pharmaceutical research and development', in order to accelerate the development of safe and more effective medicines for patients. In the present context 'pre-competitive pharmaceutical research and development' should be understood as research into the tools and methodologies used in the drug development process generally, rather than in the process of developing any

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particular drug. Intellectual property arising under a Joint Technology Initiative on "Innovative Medicines" project should be licensed to third parties on fair and reasonable terms.


(13a) In pursuit of the objectives of the Specific Programme Cooperation, the IMI Joint Undertaking should make provision for boosting SME participation, inter alia by improving administrative procedures, taking their requirements more fully into account and deploying support measures.

Amendment 4Recital 13 b (new)

(13b) In pursuit of the objectives of 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 (2007-2013)1, the IMI Joint Undertaking should be attuned to investment in research for the benefit of SMEs and to enhancing their capacity for innovation and their ability to exploit the results of research.

____________________1OJ L 400, 30.12.2006, p. 299.


(14) The IMI Joint Undertaking should be set up for an initial period ending on 31 December 2017 to ensure the appropriate management of research activities initiated but not concluded during the Seventh Framework Programme (2007-2013).

(14) The IMI Joint Undertaking should be set up for an initial period ending on 31 December 2013. To ensure the appropriate management of research activities initiated but not concluded during the Seventh Framework Programme (2007-2013), work in progress should continue until 31 December 2017, if necessary.

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Amendment 6 Recital 16

(16) The IMI Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, on the recommendation of the Council, taking however into account the specificities resulting from the nature of JTIs as public-private partnerships and in particular from the private sector contribution to the budget.

(16) The IMI Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, taking into account a recommendation from the Council.


(17) Founding members of the IMI Joint Undertaking should be the European Community and EFPIA.

(17) The founding members of the IMI Joint Undertaking are the European Community and EFPIA.


(26) The research based pharmaceutical companies that are full members of EFPIA activities shall not be eligible to receive support from the IMI Joint Undertaking.

(26) The research based pharmaceutical companies that are full members of EFPIA activities shall not be eligible to receive direct or indirect support from the IMI Joint Undertaking.


(27) The IMI Joint Undertaking should have, subject to prior consultation with the Commission, a distinct Financial Regulation based on the principles of the framework financial regulation1 which takes into account its specific operating needs arising, in particular, from the need to combine Community and private funding to support research and development activities in an efficient and timely manner.

1 Commission Regulation (EC, Euratom) No 2343/2002 of 23 December 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom)

(27) The financial rules applicable to the IMI Joint Undertaking should not depart from Commission Regulation (EC, Euratom) No 2343/2002 of 19 November 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1, unless its specific operating needs so require, in particular the need to combine Community and private funding to support research and development activities in an efficient and timely manner. The prior

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No 1605/2002 on the Financial Regulation applicable to the budget of the European Communities, OJ L 357, 31.12.2002 p. 72; corrigendum in OJ L 2, 7.1.2003, p. 39.

consent of the Commission is required for the adoption of any rules which depart from Regulation (EC, Euratom) No 2343/2002. The budgetary authority should be informed of any such derogation.1 OJ L 357, 31.12.2002, p. 72. Corrigendum in OJ L 2, 7.1.2003, p. 39.


(28) The need to ensure stable employment conditions and equal treatment of staff, and in order to attract specialised scientific and technical staff of the highest calibre, requires the application of the Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities, ("the Staff Regulation") to all staff recruited by the IMI Joint Undertaking.

(28) The requirement to ensure stable employment conditions and equal treatment of staff, and the need for specialised scientific and technical staff of the highest calibre, call for a degree of flexibility in the recruitment of staff for the IMI Joint Undertaking. The partnership should be balanced and each of the Founding Members should be in a position to recruit staff. The Commission should thus be free to second as many officials as it regards necessary to the IMI Joint Undertaking and the latter to recruit staff on a contractual basis in accordance with the employment law in force in the state where it has its seat.


(33) The IMI Joint Undertaking should be established in Brussels, Belgium. A host agreement should be concluded between the IMI Joint Undertaking and Belgium concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the IMI Joint Undertaking.

(33) The IMI Joint Undertaking should be established in Brussels, Belgium. A host agreement should be concluded between the IMI Joint Undertaking and Belgium concerning the assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the IMI Joint Undertaking.


1. For the implementation of the Joint Technology Initiative on Innovative Medicines, a Joint Undertaking is hereby set up for a period ending on 31 December 2017 (hereinafter referred to as "IMI Joint Undertaking"). This period may be extended

1. For the implementation of the Joint Technology Initiative on Innovative Medicines, a Joint Undertaking is hereby set up for a period ending on 31 December 2013 (hereinafter referred to as "IMI Joint Undertaking"). Work in progress may

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by the Council. nonetheless continue until 31 December 2017. The IMI Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.

Amendment 13Article 3, point (b)

(b) support the implementation of the research priorities as set out by the Research Agenda of the Joint Technology Initiative on "Innovative Medicines" (hereinafter referred to as "Research Activities"), notably by awarding grants following competitive calls for proposals;

(b) support the implementation of the research priorities as set out by the Research Agenda of the Joint Technology Initiative on "Innovative Medicines" (hereinafter referred to as "Research Activities"), notably by awarding grants following competitive calls for proposals relating to research to be carried out exclusively in the Member States and the countries associated with the Seventh Framework Programme;


2. The running costs of the IMI Joint Undertaking shall be financed by its Members. The Community and EFPIA shall contribute in equal part to such running costs.

2. The running costs of the IMI Joint Undertaking shall be financed by its Members. The Community and EFPIA shall contribute in equal part to such running costs. The running costs shall not exceed 4% of the total budget of the IMI Joint Undertaking.

Amendment 15Article 7, point (a)

(a) micro, small and medium-sized enterprises within the meaning of Commission Recommendation 2003/361/EC;

(a) micro, small and medium-sized enterprises within the meaning of Commission Recommendation 2003/361/EC, in accordance with the specific objectives set for them in the Seventh Framework Programme;

Amendment 16Article 7, point (g)

(g) qualified non-profit patients organisations.

(g) legally established non-profit patients' organisations.

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1. The IMI Joint Undertaking's Financial Regulation shall be based on the principles of the Framework Financial Regulation. It may depart from the Framework Financial Regulation where the specific operating needs of the IMI Joint Undertaking so require and subject to prior consultation with the Commission.

1. The financial rules applicable to the IMI Joint Undertaking shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.


2a. The IMI Joint Undertaking may appoint an external auditor in order to verify the fairness and accuracy of the annual accounts drawn up by the IMI Joint Undertaking.


2b. The external auditor shall be responsible for ensuring satisfactory scrutiny of the annual accounts and the evaluation of the contributions made by the members and by the participants in the research projects.


2c. The IMI Joint Undertaking may make use of ad hoc external audits.

Amendment 22Article 8, paragraph 2 d (new)

2d. The European Parliament shall be entitled to scrutinise the annual accounts of the IMI Joint Undertaking.


1. The Staff Regulations of Officials of the 1. The IMI Joint Undertaking shall rectuit

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European Communities, the Conditions of Employment of Other Servants of the European Communities and the rules adopted jointly by the Eeuropean Community institutions for the purpose of applying these Staff Regulations and Conditions of Employment shall apply to the staff of the IMI Joint undertaking and its Executive Director.

its staff in accordance with applicable regulations of the host country. The Commission may second to the IMI Joint Undertaking as many officials as may be needed.


2. In respect of its staff, the IMI Joint Undertaking shall exercise the powers conferred on the appointing authority by the Staff Regulations of Officials of the European Communities and on the authority empowered to conclude contracts by the Conditions of Employment of Other Servants of the European Communities.

deleted


3. The IMI Joint Undertaking shall, in agreement with the Commission, adopt the necessary implementing measures, in accordance with arrangements provided for in article 110 of the Staff Regulations of Officials of the European Communities, and the Conditions of Employment of Other Servants of the European Communities.

3. The IMI Joint Undertaking shall, in agreement with the Commission, adopt the necessary implementing measures concerning the secondment of officials of the European Communities.


1. The Commission shall present to the European Parliament and to the Council an annual report on the progress achieved by the IMI Joint Undertaking.

1. The Commission shall present to the European Parliament and to the Council an annual report covering, in particular, the progress achieved by the IMI Joint Undertaking.


2. Two years after the establishment of the IMI Joint Undertaking, but in any case no

2. No later than 31 December 2011, the Commission shall present to the European

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later than 2010, the Commission shall conduct an interim evaluation of the IMI Joint Undertaking with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the IMI Joint Undertaking and progress towards the objectives set. The Commission shall communicate the conclusions thereof, accompanied by its observations to the European Parliament and to the Council.

Parliament and to the Council an interim evaluation of the IMI Joint Undertaking prepared with the assistance of independent experts. This evaluation shall cover the quality and efficiency of the IMI Joint Undertaking and progress towards the objectives set.


3. At the end of 2017, the Commission shall conduct a final evaluation of the IMI Joint Undertaking with the assistance of independent experts. The results of the final evaluation shall be presented the European Parliament and to the Council.

3. By 31 December 2013 or, if work in progress continues beyond that date, by 31 December 2017, the Commission shall conduct a final evaluation of the IMI Joint Undertaking with the assistance of independent experts. The results of the final evaluation shall be presented to the European Parliament and the Council.


4. Discharge for the implementation of the budget of the IMI Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for by the Financial Regulation of the IMI Joint Undertaking.

4. Discharge for the implementation of the budget of the IMI Joint Undertaking shall be given by the European Parliament, taking into account a recommendation from the Council.


The IMI Joint Undertaking shall adopt rules governing the use and dissemination of research results which ensure that, where appropriate, intellectual property generated in Research Activities under this Regulation is protected, and that research results are used and disseminated.

The IMI Joint Undertaking shall adopt rules governing the use and dissemination of research results which ensure that, where appropriate, intellectual property generated in Research Activities under this Regulation is protected, and that research results are used and published by the IMI Joint Undertaking.


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A host agreement shall be concluded between the IMI Joint Undertaking and Belgium concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the IMI Joint Undertaking.

A host agreement shall be concluded between the IMI Joint Undertaking and Belgium concerning the assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the IMI Joint Undertaking.


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

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


3. The IMI Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for an initial period ending on 31 December 2017.

3. The IMI Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for a period ending on 31 December 2013.


4. The initial period may be extended by amending these Statutes in accordance with the provisions of Article 21, taking into account the progress made towards achieving the objectives of the IMI Joint Undertaking and provided that financial sustainability is ensured.

deleted


(i) to organise an annual meeting, hereafter referred to as a Stakeholder Forum, with interest groups to ensure openness and transparency of the Research Activities of the IMI Joint Undertaking with its stakeholders.

(i) to organise an annual meeting, hereafter referred to as a Stakeholder Forum, an open meeting for relevant organisations with an interest in biomedical research to provide feedback on IMI activities, with interest groups to ensure openness and transparency of the Research Activities of the IMI Joint Undertaking with its stakeholders.

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Amendment 35Annex, Article 2, paragraph 2, point (k)

(k) to publish information on the projects, including the name of the participants, and the amount of the financial contribution of the IMI Joint Undertaking.

(k) to publish, inter alia on its website, information on the projects, including the name of the participants, and the amount of the financial contribution of the IMI Joint Undertaking.


The bodies IMI Joint Undertaking shall be the Board, the Executive Office and the Scientific Committee.

The bodies of the IMI Joint Undertaking shall be the Board, the Executive Director and the Scientific Committee.


(b) the voting right of any new Member shall be determined in proportion to its contribution towards the total contributions to the activities of the IMI Joint Undertaking;

(b) the voting right of any new Member shall be determined in proportion to its contribution towards the total contributions to the activities of the IMI Joint Undertaking. However, the total number of votes held by new Members may not exceed the total number of votes held by the Founding Members;


(c) the vote of each Member shall be indivisible;

(c) the vote of each Member shall be indivisible; there shall be no proxy voting;

Amendment 40Annex, Article 5, paragraph 2, point (c), indents 9 to 13

– approve the guidelines on evaluation and selection of project proposals as proposed by the Executive Office;

– approve the guidelines on evaluation and selection of project proposals as proposed by the Executive Director;

approve the list of selected project proposals;

approve the list of selected project proposals;

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appoint the Executive Director, provide guidance and direction to the Executive Director, monitor the Executive Director's performance and, if necessary, replace the Executive Director;

appoint the Executive Director, provide guidance and direction to the Executive Director, monitor the Executive Director's performance and, if necessary, replace the Executive Director;

– approve the organisational structure of the Executive Office based on recommendations of the Executive Director;

– approve the financial regulation of the IMI Joint Undertaking in accordance with Article 11;

– approve the financial rules of the IMI Joint Undertaking in accordance with Article 11, after consulting the Commission;

Amendment 41Annex, Article 5, paragraph 3, subparagraph c a (new)

(ca) Three Members of the European Parliament may attend meetings as observers and shall be invited by the Board.


3a. The Board shall inform the Member States of decisions concerning the Research Agenda of the Joint Technology Initiative on "Innovative Medicines".

Amendment 43Annex, Article 6, title and paragraph 1

Executive Office Executive Director

1. The Executive Office shall be composed of an Executive Director and supporting staff.

Amendment 44Annex, Article 6, paragraph 2, introductory part, points (a) to (d) and point (e), introductory

part

2. The tasks of the executive office are the following:

2. The tasks of the Executive Director are the following:

(a) The Executive Office shall be in charge of the day-to-day management of the IMI Joint Undertaking;

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(b) The Executive Office shall be responsible for the operational aspects of the IMI Joint Undertaking;

(b) The Executive Director, assisted by his secretariat, shall be responsible for the operational aspects of the IMI Joint Undertaking;

(c) The Executive Office shall be responsible for the communication activities related to the IMI Joint Undertaking;

(c) The Executive Director, assisted by his secretariat, shall be responsible for the communication activities related to the IMI Joint Undertaking;

(d) The Executive Office shall manage appropriately the public and private funds;

(d) The Executive Director, assisted by his secretariat, shall manage appropriately the public and private funds;

(e) The Executive Office shall in particular: (e) The Executive Director, assisted by his secretariat, shall in particular:

Amendment 45Annex, Article 6, paragraph 2, point (e), indent 6

prepare the annual budget proposal, including the staff establishment plan;

prepare the annual budget proposal, including the staff establishment plan, after consulting the Scientific Committee and the Stakeholder Forum;


(g) submit to the Board his/her proposal(s) concerning the organisation structure of the Executive Office and organise, direct and supervise the staff of the IMI Joint Undertaking;

(g) direct and supervise the staff of the IMI Joint Undertaking;


The Scientific Committee is an advisory body to the Board and it shall conduct its activities in close liaison and with the support of the Executive Office.

1. The Scientific Committee is an advisory body to the Board and it shall conduct its activities in close liaison and with the support of the Executive Director.


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(c) advise the Board and the Executive Office on the scientific achievements described in the annual activity report;.

(c) advise the Board and the Executive Director on the scientific achievements described in the annual activity report;


6a. The evaluation of proposals shall establish whether the funds requested are commensurate with the work involved in carrying out the project.

Amendment 50Annex, Article 11, title and paragraph 1


1. The IMI Joint Undertaking’s financial regulation shall be agreed and adopted by the Board.

1. The IMI Joint Undertaking’s financial rules shall be adopted by the Board after consulting the Commission.


2. The purpose of the financial regulation is to ensure the sound financial management of the IMI Joint Undertaking.

2. The purpose of the financial rules is to ensure the sound financial management of the IMI Joint Undertaking.


3. The IMI Joint Undertaking's Financial Regulation shall be based on the principles of the Framework Financial Regulation. It may depart from the Framework Financial Regulation where the specific operating needs of the IMI Joint Undertaking so require and subject to prior consultation with the Commission.

3. The IMI Joint Undertaking's financial rules shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.


5. The annual accounts and balance sheets for the preceding year shall be submitted to the Court of Auditors of the European Communities. An audit may be executed by

5. The annual accounts and balance sheets for the preceding year shall be submitted to the Court of Auditors of the European Communities and to the budgetary

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the Court of Auditors in accordance with its standard procedures.

authority. An audit may be executed by the Court of Auditors in accordance with its standard procedures.

Amendment 54Annex, Article 13, paragraph 2, subparagraph 1 a (new)

The Executive Director shall present the annual activity report to the European Parliament.


1. The staff resources shall be determined in the establishment plan to be set out in the annual budget.

1. The staff resources shall be determined in the establishment plan to be set out in the annual budget and to be forwarded by the Commission to the European Parliament and the Council together with the preliminary draft general budget of the European Union.


2. The members of the staff of the IMI Joint Undertaking shall be temporary agents and contract agents and shall have fixed term contracts extendable once up to a maximum total period of seven years.

deleted


(a) micro, small and medium-sized enterprises within the meaning of Commission Recommendation 2003/361/EC;

(a) micro, small and medium-sized enterprises within the meaning of Commission Recommendation 2003/361/EC, in accordance with the specific objectives set for them by the Seventh Framework Programme;

Amendment 20Annex, Article 17 a (new)

Article 17a

Scientific and financial reports

Annual scientific and financial reports on

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the projects supported shall be submitted to the IMI Joint Undertaking by the participants. Such reports shall give details of the research activities carried out and the costs of such activities. Statements of expenditure shall be accompanied by an audit certificate. The external auditor shall examine the audit certificates and determine whether the in kind contributions match the contributions from public funds to the project.


2. Amendment to these Statutes shall be approved by the Board. If such amendment affects the overall principals and objectives of these Statutes, in particular any amendment to Article 1, first indent of Article 5(2)(c), Article 8(3) and Article 21 shall be subject to approval by the Council based on a proposal by the Commission.

2. Amendment to these Statutes shall be approved by the Board. If such amendment affects the overall principles and objectives of these Statutes, in particular any amendment to Article 1, the first indent of Article 5(2)(c), Article 8(3) and Article 21 shall be subject to approval by the Council based on a proposal by the Commission, and after consulting the European Parliament.


(a) Each participant in a project shall remain the owner of the intellectual property that it introduces into a project, and shall remain the owner of the intellectual property that it generates in a project unless otherwise mutually agreed by the participants in a project. The terms and conditions of access rights and licenses with regard to the intellectual property introduced into or generated by participants in a project, shall be defined in the Grant Agreement and the Project Agreement of the project concerned.

(a) Each participant in a project shall remain the owner of the intellectual property that it introduces into a project, and shall remain the owner of the intellectual property that it generates in a project unless otherwise mutually agreed by the participants in a project. The terms and conditions of access rights and licenses with regard to the intellectual property introduced into or generated by participants in a project, shall be defined in the Grant Agreement and the Project Agreement of the project concerned. Project participants should establish any cases of co-ownership of intellectual property arising from projects.


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Article 23a

Host Agreement

A host agreement shall be concluded between the IMI Joint Undertaking and the Kingdom of Belgium.

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P6_TA-PROV(2007)0591

The Clean Sky Joint Undertaking *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation setting up the Clean Sky Joint Undertaking (COM(2007)0315 – C6-0226/2007 – 2007/0118(CNS))








– having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Budgets and the Committee on the Environment, Public Health and Food Safety (A6-0483/2007),



3. Recalls that the opinion delivered by the Committee on Budgets does not pre-empt the outcome of the procedure laid down in Point 47 of the IIA of 17 May 2006 which applies to the setting up of the Clean Sky Joint Undertaking;




2 OJ C 139, 14.6.2006, p. 1.

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(12) The Clean Sky Joint Undertaking should be set up for an initial period ending on 31 December 2017 to ensure the appropriate management of research activities initiated but not concluded during the 7th Framework Programme (2007-2013).

(12) The Clean Sky Joint Undertaking should be set up for an initial period ending on 31 December 2017 to ensure the appropriate management of research activities initiated but not concluded during the Seventh Framework Programme (2007-2013), including the exploitation of the results of such research activities.


(16) The Clean Sky Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, on the recommendation of the Council, taking however into account the specificities resulting from the nature of JTIs as public-private partnerships and in particular from the private sector contribution to the budget.

(16) The Clean Sky Joint Undertaking should be a body set up by the Communities and discharge for the implementation of its budget should be given by the European Parliament, taking into account a recommendation from the Council.


(16a) The Clean Sky Joint Undertaking and public stakeholders should seek to recognise the opportunities presented by the Joint Technology Initiatives as new mechanisms for implementing public-private partnerships, and to work alongside private stakeholders to find a more efficient solution for the purpose of discharging the Community's budget.

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(19) The running costs of the Clean Sky Joint Undertaking should be covered by equal amounts by the European Community and the other members.

(19) The running costs of the Clean Sky Joint Undertaking should be covered in equal amounts by the European Community and the other members. The running costs should not exceed 3% of the total budget of the Clean Sky Joint Undertaking.


(23) The Clean Sky Joint Undertaking should have, subject to prior concertation with the Commission, a distinct Financial Regulation based on the principles of the framework financial regulation1 which takes into account its specific operating needs arising, in particular, from the need to combine Community and private funding to support research and development activities in an efficient and timely manner.

(23) The financial rules applicable to the Clean Sky Joint Undertaking should not depart from Commission Regulation (EC, Euratom) No 2343/2002 of 19 November 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1, unless its specific operating needs so require, in particular the need to combine Community and private funding to support research and development activities in an efficient and timely manner. The prior consent of the Commission is required for the adoption of any rules which depart from Regulation (EC, Euratom) No 2343/2002. The budgetary authority should be informed of any such derogation.

_________1 Commission Regulation (EC, Euratom) No 2343/2002 of 23 December 2002 on the framework Financial Regulation for the bodies referred to in Article 185 of Council Regulation (EC,Euratom) No 1605/2002 on the Financial Regulation applicable to the budget of the European Cpmmunities (OJ L 357, 31.12.2002, p. 72; corrigendum in OJ L 2, 7.1.2003, p. 39).

_____________________

1 OJ L 357, 31.12.2002, p. 72. Corrigendum in OJ L 2, 7.1.2003, p. 39.


(24) The need to ensure stable employment conditions and equal treatment of staff, and in order to attract specialised scientific and

(24) The need to ensure stable employment conditions and equal treatment of staff, and to attract specialised scientific and technical

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technical staff of the highest calibre, requires the application of the Staff Regulations of Officials of the European Communities and the Conditions of Employment of Other Servants of the European Communities, ("the Staff Regulation") to all staff recruited by the Clean Sky Joint Undertaking.

staff of the highest calibre, requires that the Commission be authorised to second as many officials as it regards necessary to the Joint Undertaking. The remaining staff should be recruited by the Clean Sky Joint Undertaking in accordance with the host country employment regulations.


(25) Taking into account that the Clean Sky Joint Undertaking is not designed to fulfil an economic purpose and is responsible for managing the Joint Technology Initiative on "environmentally friendly Technologies in Air Transport", it is necessary for the performance of its tasks that the Protocol on the Privileges and Immunities of the European Communities of 8 April 1965 apply to the Clean Sky Joint Undertaking and its staff.

deleted


(27) The Clean Sky Joint Undertaking shall regularly report on its progress.

(27) The Clean Sky Joint Undertaking should report regularly to the Council and the European Parliament on its progress.


(32) The Clean Sky Joint Undertaking should be established in Brussels, Belgium. A host agreement should be concluded between the Clean Sky Joint Undertaking and Belgium concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the Clean Sky Joint Undertaking.

(32) The Clean Sky Joint Undertaking should be established in Brussels, Belgium. A host agreement should be concluded between the Clean Sky Joint Undertaking and the Kingdom of Belgium concerning the assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the Clean Sky Joint Undertaking.


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1. For the implementation of the Joint Technology Initiative on "Clean Sky", a Joint Undertaking within the meaning of Article 171 of the Treaty, whose name is "Clean Sky Joint Undertaking", is hereby set up for a period up to 31 December 2017 (hereinafter referred to as "Clean Sky Joint Undertaking"). This period may be extended by a revision of this Regulation.

1. For the implementation of the Joint Technology Initiative on "Clean Sky", a Joint Undertaking within the meaning of Article 171 of the Treaty, whose name is "Clean Sky Joint Undertaking", is hereby set up for a period up to 31 December 2017 (hereinafter referred to as "Clean Sky Joint Undertaking"). It shall be ensured that after the last call for proposals in 2013 the projects still in progress are implemented, monitored and funded until 2017. The Clean Sky Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.

Amendment 11Article 3, bullet -1 (new)

• contributing to the implementation of the Seventh Framework Programme and in particular to the Theme 'Transport' (including Aeronautics) of the Specific Programme Cooperation;

Amendment 12Article 3, bullet 2 a (new)

• ensuring coherent implementation of EU research efforts aimed at environmental improvements in the field of air transport;

Amendment 13Article 3, bullet 2 b (new)

• promoting the involvement of small and medium-sized enterprises (SMEs) in its activities in order to enable at least 15% of the funding available to be granted to SMEs;


2. The running cost of the Clean Sky Joint Undertaking shall be shared equally in cash between on the one hand the European

2. The running cost of the Clean Sky Joint Undertaking shall be shared equally in cash between on the one hand the European

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Community, which will contribute with 50% of total cost, and on the other hand the rest of the Members, that will contribute to the remaining 50%.

Community, which will contribute with 50% of total cost, and on the other hand the rest of the Members, that will contribute to the remaining 50%. The running costs shall not exceed 3% of the total budget of the Clean Sky Joint Undertaking.


5. ITD Leaders and Associates shall contribute resources at least equal to the Community contribution excluding those allocated through Calls for Proposals in order to carry out the research activities of Clean Sky.

5. ITD Leaders and Associates shall contribute resources evaluated in accordance with the practices established under the Seventh Framework Programme at least equal to the Community contribution excluding those allocated through Calls for Proposals in order to carry out the research activities of Clean Sky.


The evaluation and selection process, which shall be carried out with the assistance of external experts, shall ensure that the allocation of the Clean Sky Joint Undertaking public funding follows the principles of excellence and competition.



1. The Clean Sky Joint Undertaking shall adopt a distinct Financial Regulation based on the principles of the Framework Financial Regulation. It may depart from the Framework Financial Regulation where the specific operating needs of the Clean Sky Joint Undertaking so require and subject to prior consent of the Commission.

1. The financial rules applicable to the Clean Sky Joint Undertaking shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.


1. The Staff Regulations of Officials of the 1. The Clean Sky Joint Undertaking shall

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European Communities, the Conditions of Employment of Other Servants of the European Communities and the rules adopted jointly by the European Community institutions for the purpose of applying these Staff Regulations and Conditions of Employment shall apply to the staff of the Clean Sky Joint undertaking and its Director.

recruit its staff in accordance with the employment rules in force in its host country. The Commission may second to the Clean Sky Joint Undertaking as many officials as it regards necessary.


2. In respect of its staff, the Clean Sky Joint Undertaking shall exercise the powers conferred on the appointing authority by the Staff Regulations of Officials of the European Communities and on the authority empowered to conclude contracts by the Conditions of Employment of Other Servants of the European Communities.

deleted


3. The Clean Sky Joint Undertaking shall, in agreement with the Commission, adopt the necessary implementing measures, in accordance with arrangements provided for in Article 110 of the Staff Regulations of Officials of the European Communities, the Conditions of Employment of Other Servants of the European Communities.

3. The Clean Sky Joint Undertaking shall, in agreement with the Commission, adopt the necessary implementing measures concerning the secondment of officials of the European Communities.


Article 10

Privileges and Immunities

deleted

The Protocol on the Privileges and Immunities of the European Communities shall apply to the Clean Sky Joint Undertaking and its staff.


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3a. The Clean Sky Joint Undertaking shall be solely responsible for meeting its obligations.


3. By 3 years after the start of the Joint Undertaking, but in any case no later than 31 December 2010, the Commission shall carry out an evaluation on the basis of terms of reference to be agreed with the Executive Board. On the basis of the progress made towards achieving the objectives of the Clean Sky Joint Undertaking, the aim of this evaluation is to determine whether the duration of the Clean Sky Joint Undertaking should be extended beyond the period specified in Article 1, paragraph 1, and appropriate changes to this Regulation and the Statutes of Clean Sky Joint Undertaking to be adopted.

3. No later than 31 December 2010 and 31 December 2015, the Commission shall conduct interim evaluations of the Clean Sky Joint Undertaking with the assistance of independent experts. These evaluations shall cover the quality and efficiency of the Clean Sky Joint Undertaking and its progress towards the objectives set. The Commission shall communicate the conclusions of the evaluations, accompanied by its observations and, where appropriate, proposals for the amendment of this Regulation to the European Parliament and to the Council.


4. At the end of 2017, the Commission shall conduct a final evaluation of the Clean Sky Joint Undertaking with the assistance of independent experts. The results of the final evaluation shall be presented to the European Parliament and to the Council.

4. At the end of the Clean Sky Joint Undertaking, the Commission shall conduct a final evaluation of the Clean Sky Joint Undertaking with the assistance of independent experts. The results of the final evaluation shall be presented to the European Parliament and to the Council.


5. Discharge for the implementation of the budget of the Clean Sky Joint Undertaking shall be given by the European Parliament, upon recommendation of the Council, in accordance with a procedure provided for by the Financial Regulations of the Clean Sky Joint Undertaking.

5. Discharge for the implementation of the budget of the Clean Sky Joint Undertaking shall be given by the European Parliament, taking into account a recommendation from the Council.

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The Clean Sky Joint Undertaking shall adopt rules governing the dissemination of research results which ensure that, where appropriate, intellectual property generated in Research Activities under this Regulation is protected, and that research results are used and disseminated.

The Clean Sky Joint Undertaking shall adopt rules governing the dissemination of research results based on the rules of the Seventh Framework Programme which ensure that, where appropriate, intellectual property generated in Research Activities under this Regulation is protected, and that research results are used and disseminated.


A host agreement shall be concluded between the Clean Sky Joint Undertaking and Belgium concerning office accommodation, privileges and immunities and other support to be provided by Belgium to the Clean Sky Joint Undertaking.

A host agreement shall be concluded between the Clean Sky Joint Undertaking and Belgium concerning the assistance with regard to office accommodation, privileges and immunities and other support to be provided by Belgium to the Clean Sky Joint Undertaking.


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

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union. It shall expire on 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.


3. Duration: The Clean Sky Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for an initial period up to 31 December 2017.

3. Duration: The Clean Sky Joint Undertaking shall be established as from the publication of these Statutes in the Official Journal of the European Union for a period up to 31 December 2017. It shall be ensured that after the last call for proposals in 2013 projects still in progress are implemented, monitored and funded until 2017.

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The Clean Sky Joint Undertaking is a body as referred to in Article 185 of the Financial Regulation and Point 47 of the IIA of 17 May 2006.


The initial period may be extended by amending these Statutes in accordance with the provisions of Article 23 taking into account the progress made towards achieving the objectives of the Clean Sky Joint Undertaking and provided that financial sustainability is ensured.

deleted


Decisions of the Executive Board on new applications for membership shall be made taking into account the relevance and potential added value of the applicant for the achievement of the objectives of the Clean Sky Joint Undertaking. For any new application for membership, the Commission shall provide timely information to the Council on the assessment and, where applicable, on the decision of the Executive Board.


Any Member may withdraw from the Clean Sky Joint Undertaking. Withdrawal shall become effective and irrevocable six months after notification to the other Members, following which the former Member shall be discharged from any obligations other than those already undertaken through decisions of the Clean Sky Joint Undertaking in accordance with these Statutes, prior to the Member's withdrawal.

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Amendment 34Annex, Article 3, paragraph 1, bullet 8 a (new)

• Stimulating the involvement of SMEs in its activities, in line with the 15% target laid down in the Seventh Framework Programme;

Amendment 35Annex, Article 3, paragraph 1, bullet 9

• Implementing the research and development activities needed, where appropriate by awarding grants following Calls for Proposal.

• Implementing the research and development activities needed, by awarding grants following Calls for Proposals.

Amendment 36Annex, Article 3, paragraph 2, bullet 7 a (new)

Promoting the involvement of SMEs in its activities;

Amendment 37Annex, Article 3, paragraph 2, bullet 7 b (new)

Publishing information on the Projects, including the names of the participants and the amount of the financial contribution of the Clean Sky Joint Undertaking per participant.


3. An Advisory Board shall be established as appropriate by the JU to advise, and issue recommendations to, the Clean Sky Joint Undertaking on managerial, financial and technical topics. The Advisory Board shall be appointed by the Commission.

deleted


1. The Director shall be appointed by the Executive Board, from a list of candidates proposed by the Commission, for a period

1. The Director shall be appointed by the Executive Board on the basis of a list of candidates proposed by the Commission,

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of up to three years. After an evaluation of the Director's performance, the Executive Board may extend the term of office once for a further period of no more than four years.

following a call for expression of interest published in the Official Journal of the European Union and in other periodicals or on the Internet, for a period of up to three years. After an evaluation of the Director's performance, the Executive Board may extend the term of office once for a further period of no more than four years.


• Defining contents of the Calls for Proposals as well as selecting the external partners.

• Defining the content, the objectives and the launch of Calls for Proposals as well as selecting the external partners.


5. Voting: Each Integrated Technology Demonstrator Steering Committee shall make decisions by a simple majority with votes weighted according to the financial commitment to the Integrated Technology Demonstrator of each member of the Steering Committee. The Integrated Technology Demonstrator Leaders will have a right of veto over any resolution of the Steering Committee of the Integrated Technology Demonstrator of which they are leaders.

5. Voting: Each Integrated Technology Demonstrator Steering Committee shall make decisions by a simple majority with votes weighted according to the financial commitment to the Integrated Technology Demonstrator of each member of the Steering Committee.


• An amount of at least EUR 200 million shall be allocated to external partners [projects] selected via competitive calls for proposals. The Community financial contribution shall be limited to up to 50% of the total eligible costs.

• An amount of at least EUR 200 million shall be allocated to external partners [projects] selected via competitive calls for proposals. Particular attention shall be paid to ensuring adequate participation of SMEs in an amount equal to 15% of the total Community funding. The Community financial contribution shall comply with the upper funding limits of the total eligible costs, laid down by the Rules for participation in the Seventh Framework Programme.

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Article 14

Financial regulation

Article 14

Financial rules

1. The Clean Sky Joint Undertaking’s financial regulation shall be agreed and adopted by the Clean Sky Executive Board.

1. The Clean Sky Joint Undertaking’s financial rules shall be adopted by the Clean Sky Executive Board after consulting the Commission.

2. The Clean Sky Joint Undertaking's Financial Regulation shall be based on the principles of the Framework Financial Regulation1. It may depart from the Framework Financial Regulation where the specific operating needs of the Clean Sky Joint Undertaking so require and subject to prior consent of the Commission.

2. The Clean Sky Joint Undertaking's financial rules shall not depart from Regulation (EC, Euratom) No 2343/2002, unless its specific operating needs so require and subject to the prior consent of the Commission. The budgetary authority shall be informed of any such derogation.

_______ OJ L 357, 31.12.2002, p. 72; corrigendum in OJ L 2 7.1.2003, p. 39.


5. Within two months after the end of each financial year the provisional accounts of the Joint Undertaking shall be submitted to the Commission and the Court of Auditors of the European Communities ('the Court of Auditors'). The Court of Auditors shall, by 15 June after the end of each financial year, make its observations on the provisional accounts of the Joint Undertaking.

5. Within two months after the end of each financial year the provisional accounts of the Joint Undertaking shall be submitted to the Commission, the Court of Auditors of the European Communities ('the Court of Auditors') and to the budgetary authority. The Court of Auditors shall, by 15 June after the end of each financial year, make its observations on the provisional accounts of the Joint Undertaking.


1. An annual report shall describe the activities performed during the previous year and the corresponding costs.

1. An annual report which shall present the progress made by the Clean Sky Joint Undertaking every calendar year, in particular in relation to the annual implementation plan for that year. The annual report shall be presented by the Director together with the annual accounts and balance sheets and shall include the participation of SMEs in the

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R&D activities of the Clean Sky Joint Undertaking.


2. The annual implementation plan shall describe the activities planned for the coming year, and resources estimated.

2. The annual implementation plan shall specify the plan for the execution of all the activities of the Clean Sky Joint Undertaking for a particular year, including planned Calls for Proposals and actions which should be implemented through Calls for Tender. The annual implementation plan shall be presented by the Director to the Executive Board together with the annual budget plan.


2a. An annual work programme shall describe the scope of and the budget for Calls for Proposals needed to implement the research agenda for the coming year.


1. The staff resources shall be determined in the establishment plan of the Clean Sky Joint Undertaking that will be set out in the annual budget.

1. The staff resources shall be determined in the establishment plan of the Clean Sky Joint Undertaking that will be set out in the annual budget and be forwarded by the Commission to the European Parliament and the Council together with the preliminary draft budget of the European Union.

Amendment 49Annex, Article 18, point 2

2. The members of the staff of the Clean Sky Joint Undertaking shall be temporary agents and contract agents and shall have fixed term contracts renewable once up to a maximum total period of seven years.

deleted


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2. The Members shall have no liability for the debts of the Clean Sky JU.

2. The Members shall not be liable for any obligations of the Clean Sky Joint Undertaking. The financial liability of the Members shall be an internal liability towards the Clean Sky Joint Undertaking only and shall be limited to their commitment to contribute to the resources as set out in Article 11(1) of this Annex.


3a. Without prejudice to the financial contributions due to Project participants pursuant to Article 11(2) of this Annex, the financial liability of the Clean Sky Joint Undertaking for its debts shall be limited to the contributions made by the Members to the running costs as set out in Article 10(4) of this Annex.

Amendment 52Annex, Article 21, first paragraph

The intellectual property policy of the Clean Sky Joint Undertaking will be incorporated in the grant agreements concluded by the Clean Sky Joint Undertaking.

The intellectual property policy of the Clean Sky Joint Undertaking will be incorporated in the grant agreements concluded by the Clean Sky Joint Undertaking and shall conform to the principles set out in the Seventh Framework Programme.


2. Amendment to these Statutes shall be approved by the Board, and shall be decided by the Commission. If such amendment affects the overall principals and objectives of these Statutes, they shall require the approval by the Council. Any amendment to Article 1, paragraph 3, and Article 10, paragraph 3, shall be subject to a revision of the Regulation setting up the Clean Sky Joint Undertaking.

2. Amendment to these Statutes shall be approved by the Board, and shall be decided by the Commission after consulting of the European Parliament. If such amendment affects the overall principles and objectives of these Statutes, they shall require approval by the Council. Any amendment to Article 1, paragraph 3, and Article 10, paragraph 3, shall be subject to a revision of the Regulation setting up the Clean Sky Joint Undertaking.


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Article 24a

Host agreement

A host agreement shall be concluded between the Clean Sky Joint Undertaking and the Kingdom of Belgium.

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P6_TA-PROV(2007)0592

Green Paper: Diplomatic and consular protection of Union citizens

European Parliament resolution of 11 December 2007 on the Green Paper: Diplomatic and consular protection of Union citizens in third countries (2007/2196(INI))


– having regard to the Commission's Green Paper of 28 November 2006 on diplomatic and consular protection of Union citizens in third countries (COM(2006)0712),


– having regard to the report of the Committee on Civil Liberties, Justice and Home Affairs (A6-0454/2007),

A. whereas the representation of the Member States in third countries is very uneven,

B. whereas in particular in only three countries in the world (China, Russia and the USA) does each of the EU Member States have diplomatic and consular representation, whereas in 107 countries 10 Member States at most are represented and whereas in certain popular destinations such as the Maldives there is no representation at all,

C. whereas in response to the explosion in the number of EU citizens travelling (180 million travel documents were sold in 2006) or resident outside the EU, the European presence represented by the Commission delegations could be taken into account in a joint effort to pool resources in order to compensate for the limitations of the Member States' consular and diplomatic networks,

D. whereas the relevant Community acquis is very restricted in extent and consists only of Decision 95/553/EC of the Representatives of the Governments of the Member States meeting within the Council of 19 December 1995 regarding protection for citizens of the European Union by diplomatic and consular representations1, and of exchanges of information among the Member States within COCON (the Council working party on consular cooperation, the task of which is to organise the exchange of information concerning good practices followed by the Member States),

E. having regard to the Commission's initiative in the form of a Green Paper which is intended to put flesh on the little-known Article 20 of the EC Treaty, pursuant to which every Union citizen, in the absence of an embassy or a consular post belonging to his own Member State in a third country, shall enjoy the diplomatic and consular protection of any other Member State represented in that third country, in accordance with the principle of non-discrimination and under the same conditions as nationals of that State,

F. whereas in this connection the Commission:

1 OJ L 314, 28.12.1995, p. 73.

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– acknowledges Article 46 of the Charter of Fundamental Rights of the European Union, in which the right to consular and diplomatic protection is enshrined as a fundamental right of Union citizens,

– meets the requirement for Decision 95/553/EC, which came into effect in May 2002, to be revised after five years,

– looks ahead to the Commission's fifth report on Union citizenship, which constitutes a special opportunity for announcing initiatives enabling diplomatic and consular protection to be developed further,

G. whereas, however, the existing legal framework has hitherto been interpreted restrictively, since diplomatic or consular protection has been regarded as coming within the narrow field of inter-governmental relations as governed by the 1963 Vienna Convention rather than by Article 20 of the Treaty,

H whereas diplomatic and consular protection should not be confused with, among other things, the public registrar or notary duties often assigned to consular representatives,

I. whereas there are indeed differences (of nature and structure and as regards the triggering of procedures) between diplomatic protection and consular protection, since although the latter may, in certain cases at least, be obligatory, diplomatic protection has always been subject to a discretionary power and therefore a distinction should be made, in the respective legal instruments, between consular and diplomatic protection,

J. whereas, on the contrary, the Maastricht Treaty created a Union citizenship stemming from citizenship of the Member States and it would be desirable, so as to flesh that concept out, for comparable protection to be achieved for all Union citizens irrespective of their nationality,

K. whereas from this point of view the conditions for a revision of Decision 95/553/EC (with the aim of extending it) must be created without delay and diplomatic protection must be included fairly and squarely within its scope,

L. whereas the Member States are already pursuing initiatives, such as the 'Pilot State' and joint simulation exercises, which will enable a better response to be made in the event of a crisis and/or exceptional circumstances and to which the Commission could contribute by carrying out assessments,

M. whereas still under-exploited networks, such as the Honorary Consuls network, exist which nonetheless constitute a significant resource to which the necessary aid should be allocated,

N. whereas the Treaty of Lisbon establishes a European Foreign Service with its own competences and responsibilities,

1. Wholeheartedly endorses the Commission's initiative which rejects a shallow interpretation of Article 20 of the EC Treaty and is intended to lay the foundations for a genuine harmonised fundamental right to diplomatic and consular protection for each and every citizen of the Union;

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2. Calls on the Commission to refer to its Legal Service the question of whether the EC Treaty or EU Treaty contains a legal basis for approximating Member State arrangements in the field of diplomatic and consular protection;

3. Supports the Commission in its efforts to establish an ambitious long-term strategy within which information and communication will be key elements;

4. Suggests that the Commission should propose without delay to the Council (over and above the requirement for it to report every three years on Union citizenship pursuant to Article 22 of the EC Treaty) that common concepts and binding guidelines enabling common standards to be established in the field of consular protection be adopted;

5. Encourages the Commission to begin work immediately on a rationalised structure to enable resources to be pooled straight away and on greater sharing of best practices by immediately carrying out an inventory of all relevant public and private resources which are available and can be marshalled, and by establishing varied forms of cooperation amongst the many parties which, in their response to the Commission consultation, have offered to contribute to the project (Member States and also Honorary Consuls, local authorities and NGOs);

6. Calls on the Commission to intensify its communication and information efforts, in particular by:

– establishing a single European emergency telephone number for inclusion in the passports of Union citizens together with the text of Article 20 of the EC Treaty, enabling any Union citizen to be connected to a call centre which will provide him with comprehensive information in the event of a critical situation triggering the consular protection process in particular an up-to-date list of contact details for the Member States’ embassies and consulates to which he is entitled to apply; the number could be administered on a central basis in Brussels;

– raising awareness among those professionally involved in the (short or long-term) stay of Union citizens in third countries by distributing booklets tailored to their area of activity;

– drawing up a recommendation on good practice in the drafting of advice to travellers, with a view to ensuring that it is clearly and unambiguously worded;

– creating under its own responsibility a harmonised website containing information for travellers and compiling and/or summarising each Member State’s advice to travellers;

– raising awareness among Union citizens travelling outside the Union, notably in airports and ports, through travel agents and operators, on travel tickets and through national agencies involved in travel and tourism;

– setting up a working party made up of representatives of the European institutions and highly qualified diplomats from each Member State to exchange information on the assessment by each Member State of the risks involved in travelling in third countries and work towards a common approach to advice to travellers;

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7. Urges the Commission to issue a recommendation to the Member States calling on them to reproduce Article 20 of the EC Treaty in the passports issued to their nationals;

8. Calls on the Commission to submit to it, once the Lisbon Treaty has been ratified, a proposal for amending Decision 95/553/EC, so that it expressly includes:

– diplomatic protection;– the identification and repatriation of mortal remains;– simplification of the procedures for advancing money;

9. Encourages the Commission to extend consular protection to the family members of Union citizens who are third country nationals, as well as recognised refugees and stateless persons and other persons who do not hold the nationality of any country but who reside in a Member State and are holders of a travel document issued by that Member State;

10. Calls on the Commission to take appropriate steps to ensure that legal assistance is provided to Union citizens in the event of their arrest or detention in a third country, and to make such assistance more effective;

11. Wholeheartedly endorses the initiative which has already been announced in the Barnier Report concerning the establishment of ‘joint offices’ in four ‘test’ areas (the Caribbean, the Balkans, the Indian Ocean and West Africa) and encourages the Commission to launch (at the same time as the ‘joint offices’ are established) an information campaign targeted at Union nationals resident in those areas in order to ensure that they complete the necessary registration formalities;

12. Considers that, pending the advent of joint offices performing all the most important consular tasks (issue of visas, legalisation of documents, etc.), the Commission should make a contribution to the efforts being made by the Member States in order to enhance their cooperation, in particular:

– as regards the assessment and analysis of exercises and simulations undertaken under the aegis of ‘Pilot States' in order to improve yet further their coordination and response skills should exceptional circumstances arise, while endeavouring to clarify the procedures applicable during implementation of the Pilot States initiative and to ensure greater consultation of interested third parties, particularly in the transport and tourism industries;

– as regards the coordination and provision of logistical capacity and civil defence resources;

13. Calls on the Commission to resort where possible to training and technology in order to make good certain shortcomings and/or to make optimum use of certain resources which are still under-exploited; in this connection the Commission should in particular marshal its resources in order to finance specific training courses given by experienced diplomats and consular staff from the Member States for the benefit of Honorary Consuls who are already established in third countries; such training should subsequently be given to

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Union representatives as well, once the 'joint offices' and subsequently the Union delegations are actually responsible for the consular tasks which these days are performed exclusively by the Member States' representations;

14. Notes that the procedures for granting financial assistance are often slowed down by the amount of consultation that needs to be carried out, thus creating an additional difficulty at a time when Union citizens in an emergency situation in a third country require straightforward assistance; calls on the Commission to look into the possibility of streamlining and standardising the procedures for granting such assistance;

15. Calls on the Commission to analyse the possibilities and implications with regard to consular and diplomatic protection which may result from establishing a European Foreign Service as provided for by the Treaty of Lisbon;

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

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P6_TA-PROV(2007)0593

Draft amending budget No 7/2007

European Parliament resolution of 11 December 2007 on Draft amending budget No 7/2007 of the European Union for the financial year 2007, Section III - Commission (15715/2007 – C6-0434/2007 – 2007/2237(BUD))


– having regard to Article 272 of the EC Treaty and Article 177 of the Euratom Treaty,

– having regard to Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities1, and particularly Articles 37 and 38,

– having regard to the general budget of the European Union for the financial year 2007, as finally adopted on 14 December 20062,

– 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 management3,

– having regard to Preliminary draft amending budget No 7/2007 of the European Union for the financial year 2007, which the Commission presented on 7 November 2007 (COM(2007)0687), and amended by letter of 12 November 2007,

– having regard to Draft amending budget No 7/2007, which the Council established on 26 November 2007 (15715/2007 – C6-0434/2007),

– having regard to Rule 69 of and Annex IV to its Rules of Procedure,

– having regard to the report of the Committee on Budgets (A6-0493/2007),

A. whereas Draft amending budget No 7/2007 to the General Budget 2007 covers the following items:

– a substantial increase in the forecast of revenue, in particular for the revision of the forecasts of VAT and GNI balances (EUR 3 830 000 000);

– further decrease of payment appropriations in budget lines for headings 1a, 1b, 2 and 3a (EUR 1 651 400 000), after the redeployments proposed in the global transfer DEC36/2007 (EUR 425 000 000),

B. whereas the purpose of Draft amending budget No 7/2007 is to formally enter these budgetary resources and technical adjustments into the 2007 budget,


2 OJ L 77, 16.3.2007, p. 1.3 OJ C 139, 14.6.2006, p. 1.

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1. Takes note of Draft amending budget No 7/2007;

2. Recognises that the current under-implementation of certain lines might be a consequence of the late adoption of legal bases in the first year of the multiannual financial framework; insists on closely monitoring the implementation of the 2008 Budget through the different tools such as the regular budgetary forecast alert and monitoring groups; invites its specialised committees to give an early input about the funds needed and possible problems of implementation as regards multi-annual programmes;

3. Underlines that there will certainly be a need for a higher amount in payments in the 2008 budget;

4. Approves Draft amending budget No 7/2007 unamended;

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

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P6_TA-PROV(2007)0594

A paperless environment for customs and trade ***II

European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a decision of the European Parliament and of the Council on a paperless environment for customs and trade (8520/4/2007 – C6-0267/2007 – 2005/0247(COD))

(Codecision procedure: second reading)


– having regard to the Council common position (8520/4/2007 – C6-0267/2007),

– having regard to its position at first reading1 on the Commission proposal to Parliament and the Council (COM(2005)0609),

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


– having regard to the recommendation for second reading of the Committee on the Internal Market and Consumer Protection (A6-0466/2007),

1. Approves the common position;

2. Notes that the act is adopted in accordance with the common position;

3. Instructs its President to sign the act with the President of the Council pursuant to Article 254(1) of the EC Treaty;

4. Instructs its Secretary-General to sign the act, once it has been verified that all the procedures have been duly completed, and, in agreement with the Secretary-General of the Council, to have it published in the Official Journal of the European Union;


1 OJ C 317 E, 23.12.2006, p. 74.

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P6_TA-PROV(2007)0595

Protection and conservation of the marine environment: Marine Strategy Directive ***II

European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a directive of the European Parliament and of the Council establishing a Framework for Community Action in the field of Marine Environmental Policy (Marine Strategy Framework Directive) (9388/2/2007 – C6-0261/2007 – 2005/0211(COD))







– having regard to the recommendation for second reading of the Committee on the Environment, Public Health and Food Safety (A6-0389/2007),

1. Approves the common position as amended;


1 OJ C 314 E, 21.12.2006, p. 86.

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P6_TC2(COD)2005(0211)

Position of the European Parliament adopted at first reading on 11 December 2007 with a view to the adoption of Directive 2008/.../EC of the European Parliament and of the Council establishing a Framework for Community Action in the field of Marine Environmental Policy (Marine Strategy Framework Directive)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Economic and Social Committee1,

Having regard to the opinion of the Committee of the Regions2,

Acting in accordance with the procedure laid down in Article 251 of the Treaty3,

1 OJ C 185, 18.8.2006, p. 20.2 OJ C 206, 29.8.2006, p. 5.3 Opinion of the European Parliament of 14 November 2006 (OJ C 314 E, 21.12.2006, p. 86),

Council Common Position of 23 July 2007 (OJ C 242 E, 16.10.2007, p. 11) and Position of the European Parliament of 11 December 2007.

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Whereas:

(1) Marine waters under the sovereignty and jurisdiction of Member States of the European Union include waters in the Mediterranean Sea, the Baltic Sea, the Black Sea and the North-East Atlantic Ocean, including the waters surrounding the Azores, Madeira and the Canary Islands.

(2) It is evident that pressures on natural marine resources and the demand for marine ecological services are often too high and that the Community needs to reduce its impact on marine waters regardless of where their effects occur.

(3) The marine environment is a precious heritage that must be protected, preserved and, where practicable, restored with the ultimate aim of maintaining biodiversity and providing diverse and dynamic oceans and seas which are clean, healthy and productive. In that respect, this Directive should, inter alia, promote the integration of environmental considerations into all relevant policy areas and deliver the environmental pillar of the future Maritime Policy for the European Union.

(4) In line with Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 2002 laying down the Sixth Community Environment Action Programme1, a thematic strategy for the protection and conservation of the marine environment has been developed with the overall aim of promoting sustainable use of the seas and conserving marine ecosystems.

(5) The development and implementation of the thematic strategy should be aimed at the conservation of the marine ecosystems. This approach should include protected areas and should address all human activities that have an impact on the marine environment.

(6) The establishment of marine protected areas, including areas already designated or to be designated under Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (hereinafter referred to as the "Habitats Directive")2, Council Directive 79/409/EEC of 2 April 1979 on the conservation of wild birds (hereinafter referred to as the "Birds Directive")3, ▌and under international or regional agreements to which the European Community or Member States concerned are Parties, is an important contribution to the achievement of good environmental status under this Directive.

(7) Establishing such protected areas under this Directive will be an important step to fulfil the commitments undertaken at the World Summit on Sustainable Development and in the Convention on Biological Diversity, approved by Council Decision 93/626/EEC4, and to contribute to the creation of coherent and representative networks of such areas.

(8) By applying an ecosystem-based approach to the management of human activities while enabling a sustainable use of marine goods and services, priority should be given to achieving or maintaining good environmental status in the Community's marine

1 OJ L 242, 10.9.2002, p. 1.2 OJ L 206, 22.7.1992, p. 7. Directive as last amended by Directive 2006/105/EC (OJ L 363,

20.12.2006, p. 368).3 OJ L 103, 25.4.1979, p. 1. Directive as last amended by Directive 2006/105/EC.4 OJ L 309, 13.12.1993, p. 1.

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environment, to continuing its protection and preservation, and to preventing subsequent deterioration.

(9) In order to achieve those objectives, a transparent and coherent legislative framework is required. This framework should contribute to coherence between different policies and foster the integration of environmental concerns into other policies, such as the Common Fisheries Policy, the Common Agricultural Policy and other relevant Community policies. The legislative framework should provide an overall framework for action and enable the action taken to be coordinated, consistent and properly integrated with action under other Community legislation and international agreements.

(10) The diverse conditions, problems and needs of the various Marine Regions or Sub-Regions making up the marine environment in the Community require different and specific solutions. That diversity should be taken into account at all stages of the preparation of marine strategies, but especially during the preparation, planning and execution of measures to achieve good environmental status in the Community's marine environment at the level of Marine Regions and Sub-Regions.

(11) Each Member State should therefore develop a Marine Strategy for its marine waters which, while being specific to its own waters, reflects the overall perspective of the Marine Region or Sub-Region concerned. Marine Strategies should culminate in the execution of programmes of measures designed to achieve or maintain good environmental status. However, Member States should not be required to take specific steps where there is no significant risk to the marine environment, or where the costs would be disproportionate taking account of the risks to the marine environment, provided that any decision not to take action is properly justified.

(12) Coastal waters, including their seabed and subsoil, are an integral part of the marine environment, and as such should also be covered by this Directive, in so far as particular aspects of the environmental status of the marine environment are not already addressed through Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy1 or other Community legislation, so as to ensure complementarity while avoiding unnecessary overlaps.

(13) By reason of the transboundary nature of the marine environment, Member States should cooperate to ensure the coordinated development of Marine Strategies for each Marine Region or Sub-Region. Since Marine Regions or Sub-Regions are shared both with other Member States and with third countries, Member States should make every effort to ensure close coordination with all Member States and third countries concerned. Where practical and appropriate, existing institutional structures established in Marine Regions or Sub-Regions, in particular Regional Sea Conventions, should be used to ensure such coordination.

(14) Member States having borders on the same Marine Region or Sub-Region covered by this Directive, where the status of the sea is critical to the extent that urgent action is needed, should endeavour to agree on a plan of action including the earlier entry into operation of

1 OJ L 327, 22.12.2000, p. 1. Directive as amended by Decision No 2455/2001/EC (OJ L 331, 15.12.2001, p. 1).

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programmes of measures. In such cases, the Commission should be invited to consider providing supportive action to Member States for their enhanced efforts to improve the marine environment by making the region in question a pilot project.

(15) Not all Member States have marine waters as defined in this Directive and, therefore, the effect of the provisions of this Directive which exclusively address Member States which have marine waters should be limited to those Member States.

(16) Since action at international level is indispensable to achieve cooperation and coordination, this Directive should further enhance the coherence of the contribution of the Community and its Member States under international agreements.

(17) The Community and its Member States are each parties to the United Nations Convention on the Law of the Sea (UNCLOS) approved by Council Decision 98/392/EC of 23 March 1998 concerning the conclusion by the European Community of the UNCLOS and the Agreement of 28 July 1994 relating to the implementation of Part XI thereof1. The obligations of the Community and its Member States under those agreements should therefore be taken fully into account in this Directive. In addition to the provisions applicable to the marine waters of the Parties, the Convention includes general obligations to ensure that activities under the jurisdiction or control of a Party do not cause damage beyond its marine waters, and to avoid that damage or hazards are transferred from one area to another or that one type of pollution is transformed into another.

(18) This Directive should also support the strong position taken by the Community, in the context of the Convention on Biological Diversity ║, on halting biodiversity loss, ensuring the conservation and sustainable use of marine biodiversity, and on the creation of a global network of marine protected areas by 2012. Additionally, it should contribute to the achievement of the objectives of the Seventh Conference of the Parties to the Convention on Biological Diversity, which adopted an elaborate programme of work on marine and coastal biodiversity with a number of goals, targets and activities aimed at halting the loss of biological diversity nationally, regionally and globally and at securing the capacity of the marine ecosystems to support the provision of goods and services, and a programme of work on protected areas with the objective of establishing and maintaining ecologically representative systems of marine protected areas by 2012. The obligation for Member States to designate Natura 2000 sites under the Birds Directive and the Habitats Directive will make an important contribution to this process.

(19) This Directive should contribute to the fulfilment of the obligations and important commitments of the Community and the Member States under several relevant international agreements relating to the protection of the marine environment from pollution: the Convention on the Protection of the Marine Environment of the Baltic Sea Area, approved by Council Decision 94/157/EC2, the Convention for the Protection of the Marine Environment of the North-East Atlantic, approved by Council Decision 98/249/EC3, including its new Annex V on the Protection and Conservation of the Ecosystems and Biological Diversity of the Maritime Area and the

1 OJ L 179, 23.6.1998, p. 1.2 OJ L 73, 16.3.1994, p. 19.3 OJ L 104, 3.4.1998, p. 1.

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corresponding Appendix 3, approved by Council Decision 2000/340/EC1, the Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean, approved by Council Decision 77/585/EEC2, and its amendments from 1995, approved by Council Decision 1999/802/EC3, as well as its Protocol for the Protection of the Mediterranean Sea Against Pollution from Land-Based Sources, approved by Council Decision 83/101/EEC4, and its amendments from 1996, approved by Council Decision 1999/801/EC5. This Directive should also contribute to the fulfilment of Member States' obligations under the Convention on the Protection of the Black Sea Against Pollution, under which they have entered into important commitments relating to the protection of the marine environment from pollution, and to which the Community is not yet a party but in respect of which it has observer status.

(20) Third countries with waters in the same Marine Region or Sub-Region as a Member State should be invited to participate in the process laid down in this Directive, thereby facilitating achievement of good environmental status in the Marine Region or Sub-Region concerned.

(21) It is crucial for the achievement of the objectives of this Directive to ensure the integration of conservation objectives, management measures and monitoring and assessment activities set up for spatial protection measures such as special areas of conservation, special protection areas or marine protected areas▌.

(22) Account should also be taken of biodiversity and the potential for marine research associated with deep-water environments.

(23) Since programmes of measures executed under Marine Strategies will be effective only if they are devised on the basis of a sound knowledge of the state of the marine environment in a particular area and are tailored as closely as possible to the needs of the waters concerned in the case of each Member State and from the general perspective of the Marine Region or Sub-Region concerned, provision should be made for the preparation at national level of an appropriate framework, including marine research and monitoring operations, for informed policy-making. At Community level, support for associated research should be continuously enshrined in research and development policies. Recognition of marine issues in the Seventh Framework Programme on Research and Development is an important step in that direction.

(24) As a first step in the preparation of programmes of measures, Member States across a Marine Region or Sub-Region should undertake an analysis of the features or characteristics of, and pressures and impacts on, their marine waters, identifying the predominant pressures and impacts on those waters, and an economic and social analysis of their use and of the cost of degradation of the marine environment. They may use assessments already carried out in the context of Regional Sea Conventions as a basis for their analyses.

1 OJ L 118, 19.5.2000, p. 44.2 OJ L 240, 19.9.1977, p. 1.3 OJ L 322, 14.12.1999, p. 32.4 OJ L 67, 12.3.1983, p. 1.5 OJ L 322, 14.12.1999, p. 18.

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(25) On the basis of such analyses, Member States should then determine for their marine waters a set of characteristics for good environmental status. For those purposes, it is appropriate to make provision for the development of criteria and methodological standards to ensure consistency and to allow for comparison between Marine Regions or Sub-Regions of the extent to which good environmental status is being achieved. These should be developed with the involvement of all interested parties.

(26) The next step towards achieving good environmental status should be the establishment of environmental targets and monitoring programmes for ongoing assessment, enabling the state of the marine waters concerned to be evaluated on a regular basis.

(27) Member States should then establish and implement programmes of measures which are designed to achieve or maintain good environmental status in the waters concerned, while accommodating existing Community and international requirements and the needs of the Marine Region or Sub-Region concerned. Those measures should be devised on the basis of the precautionary principle and the principles that preventive action should be taken, that environmental damage should, as a priority, be rectified at source and that the polluter should pay.

(28) It is appropriate that Member States take the abovementioned steps, given the precision of focus needed. In order to ensure cohesion of action across the Community as a whole and in relation to commitments at global level, it is essential that Member States notify the Commission of the steps taken, in order to enable the Commission to assess the coherence of action across the Marine Region or Sub-Region concerned and ▌as appropriate provide guidance on possible necessary modifications.

(29) Member States should take the necessary measures to achieve or maintain good environmental status in the marine environment. However, it should be recognised that achieving or maintaining good environmental status in every aspect may not be possible in all marine waters by 2020. Therefore, for reasons of fairness and feasibility, it is appropriate to make provision for cases where it would be impossible for a Member State to achieve the level of ambition of the environmental targets set or to achieve or maintain good environmental status.

(30) In that context provision should be made for two special cases. The first special case refers to the situation where it is impossible for a Member State to meet its environmental targets because of action or inaction for which the Member State concerned is not responsible, or because of natural causes or force majeure, or because of actions which that Member State has itself taken for reasons of overriding public interest which outweigh the negative impact on the environment, or because natural conditions do not allow timely improvement in the status of marine waters. The Member State concerned should substantiate why it considers that such a special case has arisen and identify the area concerned, and should take appropriate ad hoc measures with the aim of continuing to pursue the environmental targets, preventing further deterioration in the status of the marine waters affected and mitigating the adverse impact within the Marine Region or Sub-Region concerned.

(31) The second special case refers to the situation where a Member State identifies an issue which has an impact on the environmental status of its marine waters, perhaps even of the entire Marine Region or Sub-Region concerned, but which cannot be tackled by measures

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taken at national level or which is linked to another Community policy or to an international agreement. In such a case, arrangements should be made to inform the Commission of this within the framework of notification of programmes of measures and, where Community action is needed, to make appropriate recommendations to the Commission and the Council.

(32) However, the flexibility introduced for special cases should be subject to control at Community level. As regards the first special case, it is therefore appropriate that ▌due consideration be given to the efficacy of any ad hoc measures taken. Moreover, in cases where the Member State refers to action taken for overriding reasons of public interest, the Commission should assess whether any modifications or alterations made to the marine environment as a consequence do not permanently preclude or compromise the achievement of good environmental status in the Marine Region or Sub-Region concerned or across marine waters of other Member States. The Commission should provide guidance on possible necessary modifications if it considers that the measures envisaged are not sufficient or suitable to ensure coherence of action across the Marine Region

(33) As regards the second special case, the Commission should consider the issue and respond within a period of six months. The Commission should reflect, as appropriate, the recommendations of the Member State concerned when presenting related proposals to the European Parliament and the Council.

(34) In view of the dynamic nature of marine ecosystems and their natural variability, and given that the pressures and impacts on them may vary with the evolvement of different patterns of human activity and the impact of climate change, it is essential to recognise that the determination of good environmental status may have to be adapted over time. Accordingly, it is appropriate that programmes of measures for the protection and management of the marine environment be flexible and adaptive and take account of scientific and technological developments. Provision should therefore be made for the updating of Marine Strategies on a regular basis.

(35) Provision should also be made for the publication of programmes of measures and updates thereof, and for the presentation to the Commission of interim reports describing progress in the implementation of these programmes.

(36) To ensure the active involvement of the general public in the establishment, implementation and updating of Marine Strategies, provision should be made for proper public information on the different elements of Marine Strategies, or their related updates, as well as, upon request, relevant information used for the development of the Marine Strategies in accordance with Community legislation on public access to environmental information.

(37) The Commission should present a first evaluation report on the implementation of this Directive within two years of receiving all programmes of measures and, in any case, by 2019 at the latest. Subsequent Commission reports should be published every six years thereafter.

(38) Provision should be made for the adoption of methodological standards for the assessment of the status of the marine environment, monitoring, environmental targets

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and the adoption of technical formats for the purposes of transmission and processing of data in line with Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007 establishing an Infrastructure for Spatial Information in the European Community (INSPIRE)1.

(39) Measures regulating fisheries management can be taken ▌in the context of the Common Fisheries Policy, as set out in Council Regulation (EC) No 2371/2002 of 20 December 2002 on the conservation and sustainable exploitation of fisheries resources under the Common Fisheries Policy2, based on scientific advice with a view to supporting the achievement of the objectives addressed by this Directive, including the full closure to fisheries of certain areas, to enable the integrity, structure and functioning of ecosystems to be maintained or restored and, where appropriate, in order to safeguard, inter alia, spawning, nursery and feeding grounds. Articles 30 and 31 of the EURATOM Treaty regulate discharges and emissions resulting from the use of radioactive material and this Directive should therefore not address them.

(40) The Common Fisheries Policy, including in the future reform, should take into account the environmental impacts of fishing and the objectives of this Directive.

(41) In the event that Member States consider that action in the fields mentioned above or other fields linked to another Community policy or to an international agreement is desirable, they should make appropriate recommendations for Community action.

(42) The serious environmental concerns, in particular those due to climate change, relating to the Arctic waters, a neighbouring marine environment of particular importance for the Community, need to be assessed by the Community institutions and may require action to ensure the environmental protection of the Arctic.

(43) Since the objectives of this Directive, namely protection and preservation of the marine environment, the prevention of its deterioration and where practicable the restoration of that environment in areas where it has been adversely affected, cannot be sufficiently achieved by Member States and can therefore, by reason of the scale and effects of the Directive, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(44) Programmes of measures and subsequent action by Member States should be based on an ecosystem-based approach to the management of human activities and on the principles referred to in Article 174 of the Treaty, in particular the precautionary principle.

(45) This Directive respects the fundamental rights, and observes the principles, recognised by the Charter of Fundamental Rights of the European Union3, in particular Article 37 thereof which seeks to promote the integration into the policies of the Union of a high level of environmental protection and the improvement of environmental quality in accordance with the principle of sustainable development.

1 OJ L 108, 25.4.2007, p. 1.2 OJ L 358, 31.12.2002, p. 59. Regulation as amended by Regulation (EC) No 865/2007 (OJ L 192,

24.7.2007, p. 1).3 OJ C 364, 18.12.2000, p. 1.

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(46) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission2.

(47) In particular, the Commission should be empowered to adapt Annexes III, IV and V to this Directive to scientific and technical progress. Since those measures are of general scope and are designed to amend non-essential elements of this Directive, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

(48) ║The Commission should also be empowered to lay down criteria and methodological standards to be used by the Member States and to adopt specifications and standardised methods for monitoring and assessment. Since those measures are of general scope and are designed to supplement this Directive by the addition of new non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC,

HAVE ADOPTED THIS DIRECTIVE:

Chapter IGeneral provisions

Article 1Subject-matter

1. This Directive establishes a framework within which Member States shall take the necessary measures to achieve or maintain good environmental status in the marine environment by the year 2020 at the latest.

2. For that purpose, Marine Strategies shall be developed and implemented in order to:

(a) protect and preserve the marine environment, prevent its deterioration or, where practicable, restore marine ecosystems in areas where they have been adversely affected;

(b) prevent and reduce inputs in the marine environment, with a view to phasing out pollution as defined in Article 3(8), so as to ensure that there are no significant impacts on or risks to marine biodiversity, marine ecosystems, human health or legitimate uses of the sea.

3. Marine Strategies shall apply an ecosystem-based approach to the management of human activities, ensuring that the collective pressure of such activities is kept within levels compatible with the achievement of good environmental status and that the capacity of marine ecosystems to respond to human-induced changes is not compromised, while enabling the sustainable use of marine goods and services by present and future generations.

2 OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11).

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4. This Directive shall contribute to coherence between, and aim to ensure the integration of environmental concerns into, the different policies, agreements and legislative measures which have an impact on the marine environment.

Article 2Scope

1. This Directive shall apply to all marine waters as defined in Article 3(1) , and shall take account of the transboundary effects on the quality of the marine environment of third States in the same Marine Region or Sub-Region.

2. This Directive shall not apply to activities the sole purpose of which is defence or national security. Member States shall, however, endeavour to ensure that such activities are conducted in a manner that is compatible, so far as reasonable and practicable, with the objectives of this Directive.

Article 3Definitions

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

1) "marine waters" means:

(a) waters, the sea-bed and subsoil on the seaward side of the baseline from which the extent of territorial waters is measured extending to the outmost reach of the area where a Member State has and/or exercises jurisdictional rights, in accordance with the UNCLOS, with the exception of waters adjacent to the countries and territories mentioned in Annex II to the Treaty and the French Overseas Departments and Collectivities; and

(b) coastal waters as defined by Directive 2000/60/EC, their seabed and their subsoil, in so far as particular aspects of the environmental status of the marine environment are not already addressed through that Directive or other Community legislation;

2) "Marine Region" means a sea region which is identified under Article 4. Marine Regions and their Sub-Regions are designated for the purpose of facilitating implementation of this Directive and are determined taking into account hydrological, oceanographic and bio-geographic features;

3) "Marine Strategy" means the Strategy to be developed and implemented in respect of each Marine Region or Sub-Region concerned as laid down in Article 5;

4) "environmental status" means the overall state of the environment in marine waters, taking into account the structure, function and processes of the constituent marine ecosystems together with natural physiographic, geographic, biological, geological and

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climatic factors, as well as physical, acoustic and chemical conditions, including those resulting from human activities inside or outside the area concerned;

5) "good environmental status" means the environmental status of marine waters where these provide ecologically diverse and dynamic oceans and seas which are clean, healthy and productive within their intrinsic conditions, and the use of the marine environment is at a level that is sustainable, thus safeguarding the potential for uses and activities by current and future generations, i.e.:

(a) the structure, functions and processes of the constituent marine ecosystems, together with the associated physiographic, geographic, geological and climatic factors, allow those ecosystems to function fully and to maintain their resilience to human-induced environmental change. Marine species and habitats are protected, human-induced decline of biodiversity is prevented and diverse biological components function in balance;

(b) hydro-morphological, physical and chemical properties of the ecosystems, including those properties which result from human activities in the area concerned, support the ecosystems as described above. Anthropogenic inputs of substances and energy, including noise, into the marine environment do not cause pollution effects;

Good environmental status shall be determined at the level of the Marine Region or Sub-Region as referred to in Article 4, on the basis of the ▌qualitative descriptors in Annex I. Adaptive management on the basis of the ecosystem approach shall be applied with the aim of attaining good environmental status;

6) "criteria" means distinctive technical features that are closely linked to ▌qualitative descriptors;

7) "environmental target" means a qualitative or quantitative statement on the desired condition of the different components of, and pressures and impacts on, marine waters in respect of each Marine Region or Sub-Region. Environmental targets are established in accordance with Article 10;

8) "pollution" means the direct or indirect introduction into the marine environment, as a result of human activity, of substances or energy, including human-induced marine underwater noise, which results or is likely to result in deleterious effects such as harm to living resources and marine ecosystems, including loss of biodiversity, hazards to human health, the hindering of marine activities, including fishing, tourism and recreation and other legitimate uses of the sea, impairment of the quality for use of sea water and reduction of amenities or, in general, impairment of the sustainable use of marine goods and services;

9) "specific area" means an area in the marine waters of a Member State where environmental targets cannot be achieved through measures taken by that Member State for reasons listed in Article 14;

10) "regional cooperation" means cooperation and coordination of activities between Member States and, whenever possible, third countries sharing the same Marine Region or Sub-Region, for the purpose of developing and implementing Marine Strategies;

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11) "Regional Sea Convention" means any of the international conventions or international agreements together with their governing bodies established for the purpose of protecting the marine environment of the Marine Regions referred to in Article 4, such as the Convention on the Protection of the Marine Environment of the Baltic Sea, the Convention for the Protection of the Marine Environment of the North-East Atlantic and the Convention for the Marine Environment and the Coastal Region of the Mediterranean Sea.

Article 4Marine Regions and Sub-Regions

1. Member States shall, when implementing their obligations under this Directive, take due account of the fact that marine waters covered by their sovereignty or jurisdiction form an integral part of the following Marine Regions:

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(a) the Baltic Sea;

(b) the North East Atlantic Ocean;

(c) the Mediterranean Sea;

(d) the Black Sea.

2. Member States may, in order to take into account the specificities of a particular area, implement this Directive by reference to subdivisions at the appropriate level of the marine waters referred to in paragraph 1, provided that such subdivisions are delimited in a manner compatible with the following Marine Sub-Regions:

(a) in the North East Atlantic Ocean:

(i) the Greater North Sea, including the Kattegat, and the English Channel;

(ii) the Celtic Seas;

(iii) the Bay of Biscay and the Iberian Coast;

(iv) in the Atlantic Ocean, the Macaronesian bio-geographic region, being the waters surrounding the Azores, Madeira and the Canary Islands;

(b) in the Mediterranean Sea:

(i) the Western Mediterranean Sea;

(ii) the Adriatic Sea;

(iii) the Ionian Sea and the Central Mediterranean Sea;

(iv) the Aegean-Levantine Sea.

Member States shall inform the Commission of any subdivisions by the date specified in the first subparagraph of Article 26(1) but may revise these upon completion of the initial assessment referred in Article 5(2), point (a)(i).

Article 5Marine Strategies

1. Each Member State shall, in respect of each Marine Region or Sub-Region concerned, develop a Marine Strategy for its marine waters in accordance with the plan of action set out in points (a) and (b) of paragraph 2.

2. Member States sharing a Marine Region or Sub-Region shall cooperate to ensure that, within each Marine Region or Sub-Region, the measures required to achieve the objectives of this Directive, in particular the different elements of the Marine Strategies referred to in points (a) and (b), are coherent and coordinated across the Marine Region or Sub-Region

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concerned, in accordance with the following plan of action for which Member States concerned endeavour to follow a common approach:

(a) preparation:

(i) an initial assessment, to be completed by ...* of the current environmental status of the waters concerned and the environmental impact of human activities thereon, in accordance with Article 8;

(ii) a determination, to be established by ... * of good environmental status for the waters concerned, in accordance with Article 9(1);

(iii) establishment, by ...*, of a series of environmental targets and associated indicators, in accordance with Article 10(1);

(iv) establishment and implementation, by ...** except where otherwise specified in the relevant Community legislation, of a monitoring programme for ongoing assessment and regular updating of targets, in accordance with Article 11(1);

(b) programme of measures:

(i) development, by 2015 at the latest, of a programme of measures designed to achieve or maintain good environmental status, in accordance with Article 13(1), (2) and (3);

(ii) entry into operation of the programme provided for in point (i), by 2016 at the latest, in accordance with Article 13(10).

3. Member States having borders on the same Marine Region or Sub-Region covered by this Directive should, where the status of the sea is so critical as to necessitate urgent action, devise a plan of action in accordance with paragraph 1 which includes an earlier entry into operation of programmes of measures as well as possible stricter protective measures, provided that this does not prevent good environmental status from being achieved or maintained in another Marine Region or Sub-Region. In these cases:

(a) the Member States concerned shall inform the Commission of their revised timetable and proceed accordingly;

(b) the Commission shall be invited to consider providing supportive action to Member States for their enhanced efforts to improve the marine environment by making the region in question a pilot project.

▌

Article 6Regional cooperation

* OJ: 4 years after the date of entry into force of this Directive.* * 6 years after the date of entry into force of this Directive.▌

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1. In order to achieve the coordination referred to in Article 5(2), Member States shall, where practical and appropriate, use existing regional institutional cooperation structures, including those under Regional Sea Conventions, covering that Marine Region or Sub-Region.

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2. For the purpose of establishing and implementing Marine Strategies, Member States shall, within each Marine Region or Sub-Region, make every effort, using relevant international fora, including mechanisms and structures of Regional Sea Conventions, to coordinate their actions with third countries having sovereignty or jurisdiction over waters in the same Marine Region or Sub-Region.

In that context, Member States shall, as far as possible, build upon relevant existing programmes and activities developed in the framework of structures stemming from international agreements such as Regional Sea Conventions.

Coordination and cooperation shall be extended, where appropriate, to all Member States in the catchment area of a Marine Region or Sub-Region, including land-locked countries, in order to allow Member States within that Marine Region or Sub-Region to meet their obligations under this Directive, using established cooperation structures prescribed in this Directive or in Directive 2000/60/EC.

Article 7Competent authorities

1. Member States shall, by …*, for each Marine Region or Sub-Region concerned, designate the authority or authorities competent for the implementation of this Directive with respect to their marine waters.

By …**, Member States shall provide the Commission with a list of the competent authorities designated, together with the items of information listed in Annex II.

At the same time, Member States shall send to the Commission a list of their competent authorities as regards those international bodies in which they participate and which are relevant for the implementation of this Directive.

Member States within the catchment area of each Marine Region or Sub-Region shall also designate the authority or authorities competent for cooperation and coordination as referred to in Article 6.

2. Member States shall inform the Commission of any changes to the information provided pursuant to paragraph 1 within six months of such a change coming into effect.

Chapter IIMarine Strategies: preparation

Article 8Assessment

1. In respect of each Marine Region or Sub-Region, Member States shall make an initial assessment of their marine waters, taking account of existing data where available and

* OJ: please insert the date specified in the first subparagraph of Article 26(1).* * OJ: please insert the date specified in the first subparagraph of Article 26(1) + 6 months.

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comprising the following:

(a) an analysis of the essential features and characteristics, and current environmental status of those waters, based on the indicative lists of elements set out in Table 1 of Annex III, and covering the physical and chemical features, the habitat types, the biological features and the hydro-morphology;

(b) an analysis of the predominant pressures and impacts, including human activity, on the ▌environmental status of those waters which:

(i) is based on the indicative lists of elements set out in Table 2 of Annex III, and covers the qualitative and quantitative mix of the various pressures, as well as discernible trends;

(ii) covers the main cumulative and synergetic effects, and

(iii) takes account of the relevant assessments which have been made pursuant to existing Community legislation;

(c) an economic and social analysis of the use of those waters and of the cost of degradation of the marine environment.

2. The analyses referred to in paragraph 1 shall take into account elements regarding coastal, transitional and territorial waters covered by relevant provisions of existing Community legislation, in particular Directive 2000/60/EC. They shall also take into account, or use as their basis, other relevant assessments such as those carried out jointly in the context of Regional Sea Conventions, so as to produce a comprehensive assessment of the status of the marine environment.

3. In preparing assessments pursuant to paragraph 1, Member States shall, by means of the coordination established pursuant to Articles 5 and 6, make every effort to ensure that:

(a) assessment methodologies are consistent across the Marine Region or Sub-Region;

(b) transboundary impacts and transboundary features are taken into account.

Article 9Determination of good environmental status

1. By reference to the initial assessment made pursuant to Article 8(1), Member States shall, in respect of each Marine Region or Sub-Region concerned, determine, for the marine waters, a set of characteristics for good environmental status, on the basis of the ▌qualitative descriptors listed in Annex I ▌.

Member States shall take into account the indicative lists of elements set out in Table 1 of Annex III and, in particular, physical and chemical features, habitat types, biological features and hydro-morphology.

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Member States shall also take into account the pressures or impacts of human activities in each Marine Region or Sub-Region, having regard to the indicative lists set out in Table 2 of Annex III.

2. Member States shall notify the Commission of the assessment made pursuant to Article 8(1) and of the determination made pursuant to paragraph 1 of this Article within three months of completion of the latter.

3. Criteria and methodological standards to be used by the Member States, which are designed to amend non-essential elements of this Directive by supplementing it, shall be laid down, on the basis of Annexes I and III, in accordance with the regulatory procedure with scrutiny referred to in Article 25(3) by …* in such a way as to ensure consistency and to allow for comparison between Marine Regions or Sub-Regions of the extent to which good environmental status is being achieved. Before proposing such criteria and standards the Commission shall consult all interested parties, including Regional Sea Conventions.

Article 10Establishment of environmental targets

1. On the basis of the initial assessment made pursuant to Article 8(1), Member States shall, in respect of each Marine Region or Sub-Region, establish a comprehensive set of environmental targets and associated indicators for their marine waters so as to guide progress towards achieving good environmental status in the marine environment, taking into account the indicative lists of pressures and impacts set out in Table 2 of Annex III, and of characteristics set out in Annex IV.

When devising those targets and indicators, Member States shall take into account the continuing application of relevant existing environmental targets laid down at national, Community or international level in respect of the same waters, ensuring that these targets are mutually compatible and that relevant transboundary impacts and transboundary features are also taken into account, to the extent possible.

2. Member States shall notify the Commission of the environmental targets within three months of their establishment.

Article 11Monitoring programmes

1. On the basis of the initial assessment made pursuant to Article 8(1), Member States shall establish and implement coordinated monitoring programmes for the ongoing assessment of the environmental status of their marine waters on the basis of the indicative lists of elements set out in Annex III and the list set out in Annex V, and by reference to the environmental targets established pursuant to Article 10.

Monitoring programmes shall be compatible within Marine Regions or Sub-Regions and shall build upon, and be compatible with, relevant provisions for assessment and monitoring laid

* OJ: 2 years after entry into force of this Directive.

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down by Community legislation, including the Habitats and Birds Directives, or under international agreements.

2. Member States sharing a Marine Region or Sub-Region shall draw up monitoring programmes in accordance with paragraph 1 and shall - in the interest of coherence and coordination - endeavour to ensure that:

(a) monitoring methods are consistent across the Marine Region or Sub-Region so as to facilitate comparability of monitoring results;

(b) relevant transboundary impacts and transboundary features are taken into account.

3. Member States shall notify the Commission of the monitoring programmes within three months of their establishment.

4. Specifications and standardised methods for monitoring and assessment which take into account existing commitments and ensure comparability between monitoring and assessment results, and which are designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 25(3).

Article 12Notifications and Commission's assessment

On the basis of all the notifications made pursuant to Articles 9(2), 10(2) and 11(3) in respect of each Marine Region or Sub-Region, the Commission shall assess whether, in the case of each Member State ▌, the elements notified constitute an appropriate framework to meet the requirements of this Directive and may ask the Member State concerned to provide any additional information that is available and necessary.

In drawing up those assessments, the Commission shall consider the coherence of frameworks within the different Marine Regions or Sub-Regions and across the Community ▌.

Within six months of receiving all those notifications, the Commission informs Member States concerned whether, in its opinion, the elements notified are consistent with this Directive and provides guidance on any modifications it considers necessary.

Chapter IIIMarine Strategies: programmes of measures

Article 13Programmes of measures

1. Member States shall, in respect of each Marine Region or Sub-Region concerned, identify the measures which need to be taken in order to achieve or maintain good environmental status, as determined pursuant to Article 9(1), in their marine waters.

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Those measures shall be devised on the basis of the initial assessment made pursuant to Article 8(1) and by reference to the environmental targets established pursuant to Article 10(1), and taking into consideration the types of measures listed in Annex VI.

2. Member States shall integrate the measures devised pursuant to paragraph 1 into a programme of measures, taking into account relevant measures required under Community legislation, in particular Directive 2000/60/EC, Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment1, Directive 2006/7/EC of the European Parliament and of the Council of 15 February 2006 concerning the management of bathing water quality2 and Directive .../.../EC [on environmental quality standards in the field of water policy], or international agreements.

3. When drawing up the programme of measures pursuant to paragraph 2, Member States shall give due consideration to sustainable development and, in particular, to the social and economic impacts of the measures envisaged. To assist the competent authority or authorities referred to in Article 7 to pursue their objectives in an integrated manner, Member States may identify or establish administrative frameworks in order to benefit from such interaction.

Member States shall ensure that measures are cost-effective and technically feasible, and shall carry out impact assessments, including cost-benefit analyses, prior to the introduction of any new measure.

4. Programmes of measures established pursuant to this Article shall include spatial protection measures, contributing to coherent and representative networks of marine protected areas, adequately covering the diversity of the constituent ecosystems, such as special areas of conservation pursuant to the Habitats Directive ║ ▌, special protection areas pursuant to the Birds Directive ║, and marine protected areas as agreed by the Community or Member States concerned in the framework of international or regional agreements to which they are parties.

▌

5. Where Member States consider that the management of a human activity at Community or international level is likely to have a significant impact on the marine environment, particularly in the areas addressed in paragraph 4, they shall, individually or jointly, address the competent authority or international organisation concerned with a view to the consideration and possible adoption of measures that may be necessary in order to achieve the objectives of this Directive, so as to enable the integrity, structure and functioning of ecosystems to be maintained or, where appropriate, restored.

6. By 2013 at the latest, Member States shall make publicly available, in respect of each Marine Region or Sub-Region, relevant information on the areas referred to in paragraphs 4 and 5.

7. Member States shall indicate in their programmes of measures how the measures are to be implemented and how they will contribute to the achievement of the environmental targets established pursuant to Article 10(1).1 OJ L 135, 30.5.1991, p. 40. Directive as last amended by Regulation (EC) No 1882/2003 of the

European Parliament and of the Council (OJ L 284, 31.10.2003, p. 1).2 OJ L 64, 4.3.2006, p. 37.

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8. Member States shall consider the implications of their programmes of measures on waters beyond their marine waters in order to minimise the risk of damage to, and if possible have a positive impact on, those waters.

9. Member States shall notify the Commission and any other Member State concerned of their programmes of measures, within three months of their establishment.

10. Subject to Article 16, Member States shall ensure that the programmes are made operational within two years of their establishment.

Article 14Exceptions

1. A Member State may identify instances within its marine waters where, for any of the reasons listed under points (a) to (d), the environmental targets or good environmental status cannot be achieved in every aspect through measures taken by that Member State, or, for reasons referred to under point (e), they cannot be achieved within the time schedule concerned:

(a) action or inaction for which the Member State concerned is not responsible;

(b) natural causes;

(c) force majeure;

(d) modifications or alterations to the physical characteristics of marine waters brought about by actions taken for reasons of overriding public interest which outweigh the negative impact on the environment, including any transboundary impact;

(e) natural conditions which do not allow timely improvement in the status of the marine waters concerned.

The Member State concerned shall identify such instances clearly in its programme of measures and shall substantiate its view to the Commission. In identifying instances a Member State shall consider the consequences for Member States in the Marine Region or Sub-Region concerned.

However, the Member State concerned shall take appropriate ad hoc measures aiming to continue pursuing the environmental targets, to prevent further deterioration in the status of the marine waters affected for reasons identified under points (b), (c) or (d) and to mitigate the adverse impact at the level of the Marine Region or Sub-Region concerned or in the marine waters of other Member States.

2. In the situation covered by point (d) of paragraph 1, Member States shall ensure that the modifications or alterations do not permanently preclude or compromise the achievement of good environmental status at the level of the Marine Region or Sub-Region concerned or in the marine waters of other Member States.

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3. The ad hoc measures referred to in the third subparagraph of paragraph 1 shall be integrated as far as practicable into the programmes of measures.

4. Member States shall develop and implement all the elements of Marine Strategies referred to in Article 5(2), but shall not be required, except in respect of the initial assessment described in Article 8, to take specific steps where there is no significant risk to the marine environment, or where the costs would be disproportionate taking account of the risks to the marine environment, and provided that there is no further deterioration.

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Where, for either of these reasons, a Member State does not take any steps, it shall provide the Commission with the necessary justification to substantiate its decision, while avoiding that the achievement of good environmental status is permanently compromised.

Article 15Recommendations for Community action

1. Where a Member State identifies an issue which has an impact on the environmental status of its marine waters and which cannot be tackled by measures adopted at national level, or which is linked to another Community policy or international agreement, it shall inform the Commission accordingly and provide a justification to substantiate its view.

The Commission shall respond within a period of six months.

2. Where action by Community institutions is needed, Member States shall make appropriate recommendations to the Commission and the Council for measures regarding the issues referred to in paragraph 1. Unless otherwise specified in relevant Community legislation, the Commission shall respond to any such recommendation within a period of six months and, as appropriate, reflect the recommendations when presenting related proposals to the European Parliament and to the Council.

Article 16Notifications and Commission's assessment

On the basis of the notifications of programmes of measures made pursuant to Article 13(9), the Commission shall assess whether, in the case of each Member State ▌, the programmes notified constitute an appropriate framework to meet the requirements of this Directive, and may ask the Member State concerned to provide any additional information that is available and necessary.

In drawing up those assessments, the Commission shall consider the coherence of programmes of measures within the different Marine Regions or Sub-Regions and across the Community ▌.

Within six months of receiving all those notifications, the Commission informs Member States concerned whether, in its opinion, the programmes of measures notified are consistent with this Directive and provides guidance on any modifications it considers necessary.

Chapter IVUpdating, reports and public information

Article 17Updating

1. Member States shall ensure that, in respect of each Marine Region or Sub-Region concerned, Marine Strategies are kept up to date.

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2. For the purposes of paragraph 1, Member States shall review, in a coordinated manner as referred to in Article 5, the following elements of their Marine Strategies every six years after their initial establishment:

(a) the initial assessment and the determination of good environmental status, as provided for in Articles 8(1) and 9(1) respectively;

(b) the environmental targets established pursuant to Article 10(1);

(c) the monitoring programmes established pursuant to Article 11(1);

(d) the programmes of measures established pursuant to Article 13(2).

3. Details of any updates made following the reviews provided for in paragraph 2 shall be sent to the Commission, to the Regional Sea Conventions and to any other Member States concerned within three months of their publication in accordance with Article 19(2).

4. Articles 12 and 16 shall apply mutatis mutandis to this Article.

Article 18Interim reports

Member States shall, within three years of the publication of each programme of measures or update thereof in accordance with Article 19(2), submit to the Commission a brief interim report describing progress in the implementation of that programme.

Article 19Public consultation and information

1. In accordance with relevant existing Community legislation, Member States shall ensure that all interested parties are given early and effective opportunities to participate in the implementation of this Directive, involving, where possible, existing management bodies or structures, including Regional Sea Conventions, Scientific Advisory Bodies and Regional Advisory Councils.

2. Member States shall publish, and make available to the public for comment, summaries of the following elements of their Marine Strategies, or the related updates, as follows:

(a) the initial assessment and the determination of good environmental status, as provided for in Articles 8(1) and 9(1) respectively;

(b) the environmental targets established pursuant to Article 10(1);

(c) the monitoring programmes established pursuant to Article 11(1);

(d) the programmes of measures established pursuant to Article 13(2).

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3. With regard to access to environmental information, Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information1 shall apply.

In accordance with Directive 2007/2/EC, Member States shall provide the Commission, for the performance of its tasks in relation to this Directive, in particular the review of the status of the marine environment in the Community under Article 20(3)(b), with access and use rights in respect of data and information resulting from the initial assessments made pursuant to Article 8 and from the monitoring programmes established pursuant to Article 11.

No later than six months after the data and information resulting from the initial assessment made pursuant to Article 8 and from the monitoring programmes established pursuant to Article 11 have become available, such information and data shall also be made available to the European Environment Agency, for the performance of its tasks.

Article 20Commission reports

1. The Commission shall publish a first evaluation report on the implementation of this Directive within two years of receiving all programmes of measures and, in any case, by 2019 at the latest.

The Commission shall publish further reports every six years thereafter. It shall submit the reports to the European Parliament and to the Council.

2. By ...* at the latest, the Commission shall publish a report assessing the contribution of this Directive to the implementation of existing obligations, commitments and initiatives of the Member States or the Community at Community or international level in the sphere of environmental protection in marine waters.

That report shall be submitted to the European Parliament and to the Council.

3. The reports provided for in paragraph 1 shall include the following:

(a) a review of progress in the implementation of this Directive;

(b) a review of the status of the marine environment in the Community, undertaken in coordination with the European Environment Agency and the relevant regional marine and fisheries organisations and conventions;

(c) a survey of the Marine Strategies, together with suggestions for their improvement;

(d) a summary of the information received from Member States pursuant to Articles 12 and 16 and of the assessments made by the Commission, in accordance with Article 16, in relation to information received from Member States pursuant to Article 15;

1 OJ L 41, 14.2.2003, p. 26.* 4 years after the date of entry into force of this Directive.

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(e) a summary of the response to each of the reports submitted to the Commission by Member States pursuant to Article 18;

(f) a summary of the responses to comments made by the European Parliament and the Council on previous Marine Strategies;

(g) a summary of the contribution made by other relevant Community policies to the attainment of the objectives of this Directive.

Article 21Progress report on protected areas

On the basis of the information provided by the Member States by 2013, the Commission shall report by 2014 on progress in the establishment of marine protected areas, having regard to existing obligations under applicable Community law and international commitments of the Community and the Member States.

The report shall be submitted to the European Parliament and to the Council.

Article 22Community financing

1. Given the priority inherently attached to the establishment of Marine Strategies, the implementation of this Directive shall be supported by existing Community financial instruments in accordance with applicable rules and conditions.

2. The programmes drawn up by the Member States shall be co-financed by the EU in accordance with existing financial instruments.

Article 23Review of this Directive

The Commission shall review this Directive by …* and shall, where appropriate, propose any necessary amendments.

Chapter VFinal provisions

Article 24Technical adaptations

1. Annexes III, IV and V may be amended in the light of scientific and technical progress in accordance with the regulatory procedure with scrutiny referred to in Article 25(3), taking into account the periods for the review and updating of Marine Strategies laid down in Article 17(2).

2. In accordance with the regulatory procedure referred to in Article 25(2),* OJ: 15 years after the date of entry into force of this Directive.

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(a) methodological standards may be adopted for the application of Annexes I, III, IV and V;

(b) technical formats may be adopted for the purposes of transmission and processing of data, including statistical and cartographic data.

Article 25Regulatory Committee

1. The Commission shall be assisted by a committee.

2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

Article 26Transposition

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by …* at the latest. They shall forthwith communicate to the Commission the text of those provisions.

When Member States adopt those measures, they shall contain a reference to this Directive or shall be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

2. Member States shall communicate to the Commission the texts of the main measures of national law which they adopt in the field covered by this Directive.

3. Member States without marine waters shall bring into force only those measures which are necessary to ensure compliance with requirements under Article 6 and Article 7.

Where such measures are already in force in national legislation, Member States concerned shall communicate to the Commission the text of those measures.

Article 27Entry into force

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

* OJ: 2 years after the date of entry into force of this Directive.

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Article 28Addressees

This Directive is addressed to the Member States.

Done at ║,

For the European Parliament For the CouncilThe President The President

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ANNEX I

▌Qualitative Descriptors for determining good environmental status(referred to in Articles 3║(5), 9(1), 9(3) and 24)

(1) Biological diversity is maintained. The quality and occurrence of habitats and the distribution and abundance of species are in line with prevailing physiographic, geographic and climatic conditions.

(2) Non-indigenous species introduced by human activities are at levels that do not adversely alter the ecosystems.

(3) Populations of all commercially exploited fish and shellfish are within safe biological limits, exhibiting a population age and size distribution that is indicative of a healthy stock.

(4) All elements of the marine food webs, to the extent that they are known, occur at normal abundance and diversity and levels capable of ensuring the long-term abundance of the species and the retention of their full reproductive capacity.

(5) Human-induced eutrophication is minimised, especially adverse effects thereof, such as losses in biodiversity, ecosystem degradation, harmful algae blooms and oxygen deficiency in bottom waters.

(6) Sea floor integrity is at a level that ensures that the structure and functions of the ecosystems are safeguarded and benthic ecosystems, in particular, are not adversely affected.

(7) Permanent alteration of hydrographical conditions does not adversely affect marine ecosystems.

(8) Concentrations of contaminants are at levels not giving rise to pollution effects.

(9) Contaminants in fish and other seafood for human consumption do not exceed levels established by Community legislation or other relevant standards.

(10) Properties and quantities of marine litter do not cause harm to the coastal and marine environment.

(11) Introduction of energy, including underwater noise, is at levels that do not adversely affect the marine environment.

To determine the characteristics of good environmental status in a Marine Region or Sub-Region as provided for in Article 9(1)║, Member States shall consider each of the ▌qualitative descriptors listed in this Annex in order to identify those descriptors which are to be used to determine good environmental status for that Marine Region or Sub-Region. When a Member State considers that it is not appropriate to use one or more of those descriptors, it shall provide the Commission with a justification in the framework of the notification made pursuant to Article 9(2)║.

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ANNEX II

Competent authorities(referred to in Article 7(1))

(1) Name and address of the competent authority or authorities – the official name and address of the competent authority or authorities identified.

(2) Legal status of the competent authority or authorities – a brief description of the legal status of the competent authority, or authorities.

(3) Responsibilities – a brief description of the legal and administrative responsibilities of the competent authority or authorities, and of its role in relation to the marine waters concerned.

(4) Membership – when the competent authority or authorities acts as a coordinating body for other competent authorities, a list of these is required together with a summary of the institutional relationships established in order to ensure coordination.

(5) Regional or sub-regional coordination – a summary is required of the mechanisms established in order to ensure coordination between the Member States whose marine waters fall within the same Marine Region or Sub-Region.

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ANNEX III

Indicative lists of characteristics, pressures and impacts(referred to in Articles 8(1), 9(1), 9(3), 10(1), 11(1) and 24)

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Table 1 – CharacteristicsPhysical and chemical features

– Topography and bathymetry of the seabed;

– Annual and seasonal temperature regime and ice cover, current velocity, upwelling, wave exposure, mixing characteristics, turbidity, residence time;

– Spatial and temporal distribution of salinity;

– Spatial and temporal distribution of nutrients (DIN, TN, DIP, TP, TOC) and oxygen;

– pH, pCO2 profiles or equivalent information used to measure marine acidification.

Habitat types – The predominant seabed and water column habitat type(s) with a description of the characteristic physical and chemical features, such as depth, water temperature regime, currents and other water movements, salinity, structure and substrata composition of the sea bed;

– Identification and mapping of special habitat types, especially those recognised or identified under Community legislation (the Habitats Directive and the Birds Directive) or international conventions as being of special scientific or biodiversity interest;

– Habitats in areas which by virtue of their characteristics, location or strategic importance merit a particular reference. This may include areas subject to intense or specific pressures or areas which merit a specific protection regime.

Biological features – A description of the biological communities associated with the predominant seabed and water column habitats. This would include information on the phytoplankton and zooplankton communities, including the species and seasonal and geographical variability;

– Information on angiosperms, macro-algae and invertebrate bottom fauna, including species composition, biomass and annual/seasonal variability;

– Information on the structure of fish populations, including the abundance, distribution and age/size structure of the populations;

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– A description of the population dynamics, natural and actual range and status of species of marine mammals and reptiles occurring in the Marine Region or Sub-Region;

– A description of the population dynamics, natural and actual range and status of species of seabirds occurring in the Marine Region or Sub-Region;

– A description of the population dynamics, natural and actual range and status of other species occurring in the Marine Region or Sub-Region which are the subject of Community legislation or international agreements;

– An inventory of the temporal occurrence, abundance and spatial distribution of non-indigenous, exotic species or, where relevant, genetically distinct forms of native species, which are present in the Marine Region or Sub-Region.

Other features – A description of the situation with regard to chemicals, including chemicals giving rise to concern, sediment contamination, hot spots, health issues and contamination of biota (especially biota meant for human consumption);

– A description of any other features or characteristics typical of or specific to the Marine Region or Sub-Region.

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Table 2 - Pressures and ImpactsPhysical loss – Smothering (e.g. by man-made structures, disposal of dredge

spoil);

– Sealing (e.g. by permanent constructions).

Physical damage – Changes in siltation (e.g. by outfalls, increased run-off, dredging/disposal of dredge spoil);

– Abrasion (e.g. impact on the seabed by commercial fishing, boating, anchoring);

– Selective extraction (e.g. exploration and exploitation of living and non-living resources on seabed and subsoil).

Other physical disturbance

– Underwater noise (e.g. from shipping, underwater acoustic equipment);

– Marine litter.

Interference with ▌ hydrological processes

– Significant changes in thermal regime (e.g. by outfalls from power stations);

– Significant changes in salinity regime (e.g. by constructions impeding water movements, water abstraction).

Contamination by hazardous substances

– Introduction of synthetic compounds (e.g. priority substances under Directive 2000/60/EC which are relevant for the marine environment such as pesticides, antifoulants, pharmaceuticals, resulting e.g. from losses from diffuse sources, ▌pollution by ships, atmospheric deposition and biologically active substances);

– Introduction of non-synthetic substances and compounds (e.g. heavy metals, hydrocarbons, resulting e.g. from ▌ pollution by ships and oil, gas and mineral exploration and exploitation, atmospheric deposition, riverine inputs);

– Introduction of radio nuclides.

Systematic and/or intentional release of substances

– Introduction of other substances, whether solid, liquid or gas, in marine waters, resulting from their systematic and/or intentional release into the marine environment, as permitted in accordance with other Community legislation and/or international conventions.

Nutrient and organic matter enrichment

– Inputs of fertilisers and other nitrogen- and phosphorus-rich substances (e.g. ▌from point and diffuse sources, including agriculture, aquaculture, atmospheric deposition);

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– Inputs of organic matter (e.g. sewers, mariculture, riverine inputs).

Biological disturbance

– Introduction of microbial pathogens;

– Introduction of non-indigenous species and translocations;

– Selective extraction of species, including incidental non-target catches (e.g. by commercial and recreational fishing).

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ANNEX IV

Indicative list of characteristics to be taken into account for setting environmental targets(referred to in Articles 10(1) and 24)

(1) Adequate coverage of the elements characterising marine waters under the sovereignty or jurisdiction of Member States within a Marine Region or Sub-Region.

(2) Need to set (a) targets establishing desired conditions based on the definition of good environmental status; (b) measurable targets and associated indicators that allow for monitoring and assessment; and (c) operational targets relating to concrete implementation measures to support their achievement.

(3) Specification of environmental status to be achieved or maintained and formulation of that status in terms of measurable properties of the elements characterising the marine waters of a Member State within a Marine Region or Sub-Region.

(4) Consistency of the set of targets; absence of conflicts between them.

(5) Specification of the resources needed for the achievement of targets.

(6) Formulation of targets, including possible interim targets, with a timescale for their achievement.

(7) Specification of indicators intended to monitor progress and guide management decisions with a view to achieving targets.

(8) Where appropriate, specification of reference points (target and limit reference points).

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(9) Due consideration of social and economic concerns in the setting of targets.

(10) Examination of the set of environmental targets, associated indicators and limit and target reference points developed in light of the environmental objectives laid down in Article 1║, in order to assess whether the achievement of the targets would lead the marine waters falling under the sovereignty or jurisdiction of Member States within a Marine Region to a status matching them.

(11) Compatibility of targets with objectives to which the Community and its Member States have committed themselves under relevant international and regional agreements, making use of those that are most relevant for the Marine Region or Sub-Region concerned with a view to achieving the environmental objectives laid down in Article 1║.

(12) When the set of targets and indicators has been assembled, they should be examined together relative to the environmental objectives laid down in Article 1║ to assess whether the achievement of the targets would lead the marine environment to a status matching them.

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ANNEX V

Monitoring programmes(referred to in Articles 11(1) and 24)

(1) Need to provide information for an assessment of the environmental status and for an estimate of the distance from, and progress towards, good environmental status in accordance with Annex III and with the criteria and methodological standards to be defined pursuant to Article 9(3)║.

(2) Need to ensure the generation of information enabling the identification of suitable indicators for the environmental targets provided for in Article 10║.

(3) Need to ensure the generation of information allowing the assessment of the impact of the measures referred to in Article 13║.

(4) Need to include activities to identify the cause of the change and hence the possible corrective measures that would need to be taken to restore the good environmental status, when deviations from the desired status range have been identified.

(5) Need to provide information on chemical contaminants in species for human consumption from commercial fishing areas.

(6) Need to include activities to confirm that the corrective measures deliver the desired changes and not any unwanted side effects.

(7) Need to aggregate the information on the basis of Marine Regions or Sub-Regions in accordance with Article 4║.

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(8) Need to ensure comparability of assessment approaches and methods within and between Marine Regions and/or Sub-Regions.

(9) Need to develop technical specifications and standardised methods for monitoring at Community level, so as to allow comparability of information.

(10) Need to ensure, as far as possible, compatibility with existing programmes developed at regional and international level with a view to fostering consistency between these programmes and avoiding duplication of effort, making use of those monitoring guidelines that are the most relevant for the Marine Region or Sub-Region concerned.

(11) Need to include, as part of the initial assessment provided for in Article 8║, an assessment of major changes in the environmental conditions as well as, where necessary, new and emerging issues.

(12) Need to address, as part of the initial assessment provided for in Article 8║, the relevant elements listed in Annex III including their natural variability and to evaluate the trends towards the achievement of the environmental targets laid down pursuant to Article 10(1)║, using, as appropriate, the indicators established and their limit or target reference points.

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ANNEX VI

Programmes of measures(referred to in Articles 13(1) and 24)

(1) Input controls: management measures that influence the amount of a human activity that is permitted.

(2) Output controls: management measures that influence the degree of perturbation of an ecosystem component that is permitted.

(3) Spatial and temporal distribution controls: management measures that influence where and when an activity is allowed to occur.

(4) Management coordination measures: tools to ensure that management is coordinated.

(5) Measures to improve the traceability, where feasible, of marine pollution.

(6) Economic incentives: management measures which make it in the economic interest of those using the marine ecosystems to act in ways which help to achieve the good environmental status objective.

(7) Mitigation and remediation tools: management tools which guide human activities to restore damaged components of marine ecosystems.

(8) Communication, stakeholder involvement and raising public awareness.

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P6_TA-PROV(2007)0596

Air pollution: ambient air quality and cleaner air for Europe ***II

European Parliament legislative resolution of 11 December 2007 on the Council common position for adopting a directive of the European Parliament and of the Council on ambient air quality and cleaner air for Europe (16477/1/2006 – C6-0260/2007 – 2005/0183(COD))






– having regard to the Commission declaration annexed hereto,


– having regard to the recommendation for second reading of the Committee on the Environment, Public Health and Food Safety (A6-0398/2007),

1. Approves the common position as amended;


1 OJ C 306 E, 15.12.2006, p. 103.

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P6_TC2-COD(2005)0183

Position of the European Parliament adopted at second reading on 11 December 2007 with a view to the adoption of Directive 2008/.../EC of the European Parliament and of the Council on ambient air quality and cleaner air for Europe


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

Article 175 thereof,

Having regard to the proposal from the Commission,



Acting in accordance with the procedure laid down in Article 251 of the Treaty3,

Whereas:

(1) The Sixth Community Environment Action Programme adopted by Decision No 1600/2002/EC of the European Parliament and of the Council of 22 July 20024 establishes the need to reduce pollution to levels which minimise harmful effects on human health, paying particular attention to sensitive populations, and the environment as a whole, to improve the monitoring and assessment of air quality including the deposition of pollutants and to provide information to the public.

(2) In order to protect human health and the environment as a whole, it is particularly important to combat emissions of pollutants at source and to identify and implement the most effective emission reduction measures at local, national and Community level. Therefore, emissions of harmful air pollutants should be avoided, prevented or reduced and appropriate objectives set for ambient air quality taking into account relevant World Health Organisation standards, guidelines and programmes.

(3) Council Directive 96/62/EC of 27 September 1996 on ambient air quality assessment and management5, Council Directive 1999/30/EC of 22 April 1999 relating to limit values for sulphur dioxide, nitrogen dioxide and oxides of nitrogen, particulate matter and lead in ambient air6, Directive 2000/69/EC of the European Parliament and of the Council of 16 November 2000 relating to limit values for benzene and carbon monoxide in ambient air7, Directive 2002/3/EC of the European Parliament and of the Council of

1 OJ C 195, 18.8.2006, p. 84.2 OJ C 206, 29.8.2006, p. 1.3 Position of the European Parliament of 26 September 2006 (OJ C 306 E, 15.12.2006, p. 103),

Council Common Position of 25 June 2007 (OJ C 236 E, 6.11.2007, p. 1) and Position of the European Parliament of 11 December 2007.

4 OJ L 242, 10.9.2002, p. 1.5 OJ L 296, 21.11.1996, p. 55. Directive as amended by Regulation (EC) No 1882/2003 of the

European Parliament and of the Council (OJ L 284, 31.10.2003, p. 1).6 OJ L 163, 29.6.1999, p. 41. Directive as amended by Commission Decision 2001/744/EC (OJ L

278, 23.10.2001, p. 35).7 OJ L 313, 13.12.2000, p. 12.

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12 February 2002 relating to ozone in ambient air1 and Council Decision 97/101/EC of 27 January 1997 establishing a reciprocal exchange of information and data from networks and individual stations measuring ambient air pollution within the Member States2 need to be substantially revised in order to incorporate the latest health and scientific developments and the experience of the Member States. In the interests of clarity, simplification and administrative efficiency it is therefore appropriate that those five acts be replaced by a single Directive and, where appropriate, by implementing measures.

(4) Once sufficient experience has been gained in relation to the implementation of Directive 2004/107/EC of the European Parliament and of the Council of 15 December 2004 relating to arsenic, cadmium, mercury, nickel and polycyclic aromatic hydrocarbons in ambient air 3 consideration may be given to the possibility of merging its provisions with those of this Directive.

(5) A common approach to the assessment of ambient air quality should be followed according to common assessment criteria. When assessing ambient air quality, account should be taken of the size of populations and ecosystems exposed to air pollution. It is therefore appropriate to classify the territory of each Member State into zones or agglomerations reflecting the population density.

(6) Where possible modelling techniques should be applied to enable point data to be interpreted in terms of geographical distribution of concentration. This could serve as a basis for calculating the collective exposure of the population living in the area.

(7) In order to ensure that the information collected on air pollution is sufficiently representative and comparable across the Community, it is important that standardised measurement techniques and common criteria for the number and location of measuring stations are used for the assessment of ambient air quality. Techniques other than measurements can be used to assess ambient air quality and it is therefore necessary to define criteria for the use and required accuracy of such techniques.

(8) Detailed measurements of fine particulate matter at rural background locations should be made in order to understand better the impacts of this pollutant and to develop appropriate policies. Such measurements should be made in a manner consistent with those of the cooperative programme for monitoring and evaluation of the long range transmission of air pollutants in Europe (EMEP) set up under the 1979 Convention on Long-range Transboundary Air Pollution approved by Council Decision 81/462/EEC of 11 June 19814.

(9) Air quality status should be maintained where it is already good, or improved. Where the objectives for ambient air quality laid down in this Directive are not met, Member States should take action in order to comply with the limit values and critical levels, and where possible, to attain the target values and long-term objectives.

1 OJ L 67, 9.3.2002, p. 14.2 OJ L 35, 5.2.1997, p. 14. Decision as amended by Commission Decision 2001/752/EC (OJ L 282,

26.10.2001, p. 69).3 OJ L 23, 26.1.2005, p. 3.4 OJ L 171, 27.6.1981, p. 11.

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(10) The risk posed by air pollution to vegetation and natural ecosystems is most important in places away from urban areas. The assessment of such risks and the compliance with critical levels for the protection of vegetation should therefore focus on places away from built-up areas.

(11) Fine particulate matter (PM2,5) is responsible for significant negative impacts on human health. Further, there is as yet no identifiable threshold below which PM2,5 would not pose a risk. As such, this pollutant should not be regulated in the same way as other air pollutants. The approach should aim at a general reduction of concentrations in the urban background to ensure that large sections of the population benefit from improved air quality. However, to ensure a minimum degree of health protection everywhere, that approach should be combined with a limit value, which is to be preceded in a first stage by a target value.

(12) The existing target values and long-term objectives of ensuring effective protection against harmful effects on human health and vegetation and ecosystems from exposure to ozone should remain unchanged. An alert threshold and an information threshold for ozone should be set for the protection of the general population and sensitive sections, respectively, from brief exposures to elevated ozone concentrations. Those thresholds should trigger the dissemination of information to the public on the risks of exposure and the implementation, if appropriate, of short-term measures to reduce ozone levels where the alert threshold is exceeded.

(13) Ozone is a transboundary pollutant formed in the atmosphere from the emission of primary pollutants addressed by Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants1. Progress towards the air quality targets and long term objectives for ozone set in this Directive should be determined by the targets and emission ceilings provided for in Directive 2001/81/EC and, if appropriate, by implementing air quality plans as provided for in this Directive.

(14) Fixed measurements should be mandatory in zones and agglomerations where the long-term objectives for ozone or the assessment thresholds for other pollutants are exceeded. Information from fixed measurements may be supplemented by modelling techniques and/or indicative measurements to enable point data to be interpreted in terms of geographical distribution of concentrations. The use of supplementary techniques of assessment should also allow for reduction of the required minimum number of fixed sampling points.

(15) Contributions from natural sources can be assessed but cannot be controlled. Therefore, where natural contributions to pollutants in ambient air can be determined with sufficient certainty, and where exceedances are due in whole or in part to these natural contributions, these may, under the conditions laid down in this Directive, be subtracted when assessing compliance with air quality limit values. Contributions to exceedances of particulate matter PM10 limit values attributable to winter-sanding or -salting of roads may also be subtracted when assessing compliance with air quality limit values provided that reasonable measures have been taken to lower concentrations.

1 OJ L 309, 27.11.2001, p. 22. Directive as last amended by Council Directive 2006/105/EC (OJ L 363, 20.12.2006, p. 368).

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(16) For zones and agglomerations where conditions are particularly difficult, it should be possible to postpone the deadline for compliance with the air quality limit values in cases where, notwithstanding the implementation of appropriate pollution abatement measures, acute compliance problems exist in specific zones and agglomerations. Any postponement ▌ for a given zone or agglomeration should be accompanied by a comprehensive plan to be assessed by the Commission to ensure compliance by the revised deadline. The availability of necessary Community measures reflecting the chosen ambition level in the Thematic Strategy on air pollution to reduce emissions at source will be important for an effective emission reduction by the timeframe established in this Directive for compliance with the limit values and should be taken into account when assessing requests to postpone deadlines for compliance.

(17) The necessary Community measures to reduce emissions at source, in particular measures to improve the effectiveness of Community legislation on industrial emissions, to limit the exhaust emissions of engines installed in heavy duty vehicles, to further reduce the Member States' permitted national emissions of key pollutants and the emissions associated with refuelling of petrol cars at service stations, and to address the sulphur content of fuels including marine fuels should be duly examined as a priority by all institutions involved.

(18) Air quality plans should be developed for zones and agglomerations within which concentrations of pollutants in ambient air exceed the relevant air quality target values or limit values, plus any temporary margins of tolerance, where applicable. Air pollutants are emitted from many different sources and activities. To ensure coherence between different policies, such air quality plans should where feasible be consistent, and integrated with plans and programmes prepared pursuant to Directive 2001/80/EC of the European Parliament and of the Council of 23 October 2001 on the limitation of emissions of certain pollutants into the air from large combustion plants1, Directive 2001/81/EC, and Directive 2002/49/EC of the European Parliament and of the Council of 25 June 2002 relating to the assessment and management of environmental noise2. Full account will also be taken of the ambient air quality objectives provided for in this Directive, where permits are granted for industrial activities pursuant to Council Directive 96/61/EC of 24 September 1996 on integrated pollution prevention and control3.

(19) Action plans should be drawn up indicating the measures to be taken in the short term where there is a risk of an exceedance of one or more alert thresholds in order to reduce that risk and to limit its duration. When the risk applies to one or more limit values or target values, Member States may, where appropriate, draw up such short-term action plans. In respect of ozone, such short-term action plans should take into account the provisions of Commission Decision 2004/279/EC of 19 March 2004 concerning guidance for implementation of Directive 2002/3/EC of the European Parliament and of the Council relating to ozone in ambient air4.

1 OJ L 309, 27.11.2001, p. 1. Directive as last amended by Directive 2006/105/EC.2 OJ L 189, 18.7.2002, p. 12.3 OJ L 257, 10.10.1996, p. 26. Directive as last amended by Regulation (EC) No 166/2006 of the European

Parliament and of the Council (OJ L 33, 4.2.2006, p.1).4 OJ L 87, 25.3.2004, p. 50.

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(20) Member States should consult with one another if, following significant pollution originating in another Member State, the level of a pollutant exceeds, or is likely to exceed, the relevant air quality objectives plus the margin of tolerance where applicable or, as the case may be, the alert threshold. The transboundary nature of specific pollutants, such as ozone and particulate matter, may require coordination between neighbouring Member States in drawing up and implementing air quality plans and short-term action plans and in informing the public. Where appropriate, Member States should pursue cooperation with third countries, with particular emphasis on the early involvement of candidate countries.

(21) It is necessary for the Member States and the Commission to collect, exchange and disseminate air quality information in order to understand better the impacts of air pollution and develop appropriate policies. Up-to-date information on concentrations of all regulated pollutants in ambient air should also be readily available to the public.

(22) In order to facilitate the handling and comparison of air quality information, data should be made available to the Commission in a standardised form.

(23) It is necessary to adapt procedures for data provision, assessment and reporting of air quality to enable electronic means and the internet to be used as the main tools to make information available, and so that such procedures are compatible with Directive 2007/2/EC of the European Parliament and the Council of 14 March 2007 establishing an infrastructure for spatial information in the European Community (INSPIRE)1.

(24) It is appropriate to provide for the possibility of adapting the criteria and techniques used for the assessment of the ambient air quality to scientific and technical progress and adapting thereto the information to be provided.

(25) Since the objectives of this Directive cannot be sufficiently achieved by the Member States by reason of the transboundary nature of air pollutants and can therefore be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

(26) Member States should lay down rules on penalties applicable to infringements of the provisions of this Directive and ensure that they are implemented. The penalties should be effective, proportionate and dissuasive.

(27) Certain provisions of the acts repealed by this Directive should remain in force in order to ensure the continuance of existing air quality limits for nitrogen dioxide until they are replaced from 1 January 2010, the continuance of air quality reporting provisions until new implementing measures are adopted, and the continuance of obligations relating to the preliminary assessments of air quality required under Directive 2004/107/EC.

(28) The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directives.

1 OJ L

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(29) In accordance with paragraph 34 of the interinstitutional agreement on better lawmaking1, Member States are encouraged to draw up, for themselves and in the interest of the Community, their own tables illustrating, as far as possible, the correlation between the Directive and the transposition measures, and to make them public.

(30) This Directive respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union. In particular, this Directive seeks to promote the integration into the policies of the Union of a high level of environmental protection and the improvement of the quality of the environment in accordance with the principle of sustainable development as laid down in Article 37 of the Charter of Fundamental Rights of the European Union.


(32) In particular, power should be conferred on the Commission to amend Annexes I to VI, Annexes VIII to X and Annex XV. Since those measures are of general scope and are designed to amend non-essential elements of this Directive, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

(33) The transposition clause requires Member States to ensure that the necessary urban background measurements are in place well in time to define the Average Exposure Indicator, in order to guarantee that the requirements related to the assessment of the National Exposure Reduction Target and to the calculation of the Average Exposure Indicator are met,


Chapter IGeneral Provisions

Article 1Subject matter

This Directive lays down measures aimed at the following:

1) defining and establishing objectives for ambient air quality designed to avoid, prevent or reduce harmful effects on human health and the environment as a whole;

2) assessing the ambient air quality in Member States on the basis of common methods and criteria;

1 OJ C 321, 31.12.2003, p. 1.2 OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006,

p. 11).

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3) obtaining information on ambient air quality in order to help combat air pollution and nuisance and to monitor long-term trends and improvements resulting from national and Community measures;

4) ensuring that such information on ambient air quality is made available to the public;

5) maintaining air quality where it is good and improving it in other cases;

6) promoting increased cooperation between the Member States in reducing air pollution.

Article 2Definitions

For the purposes of this Directive:

1) "ambient air" shall mean outdoor air in the troposphere, excluding workplaces as defined by Council Directive 89/654/EEC1 where provisions concerning health and safety at work apply and to which members of the public do not have regular access;

2) "pollutant" shall mean any substance present in ambient air and likely to have harmful effects on human health and/or the environment as a whole;

3) "level" shall mean the concentration of a pollutant in ambient air or the deposition thereof on surfaces in a given time;

4) "assessment" shall mean any method used to measure, calculate, predict or estimate levels;

5) "limit value" shall mean a level fixed on the basis of scientific knowledge, with the aim of avoiding, preventing or reducing harmful effects on human health and/or the environment as a whole, to be attained within a given period and not to be exceeded once attained;

6) "critical level" shall mean a level fixed on the basis of scientific knowledge, above which direct adverse effects may occur on some receptors, such as trees, other plants or natural ecosystems but not on humans;

7) "margin of tolerance" shall mean the percentage of the limit value by which that value may be exceeded subject to the conditions laid down in this Directive;

8) "air quality plans" shall mean plans that set out measures in order to attain the limit values or target values;

9) "target value" shall mean a level fixed with the aim of avoiding, preventing or reducing harmful effects on human health and/or the environment as a whole, to be attained where possible over a given period;

10) "alert threshold" shall mean a level beyond which there is a risk to human health from brief exposure for the population as a whole and at which immediate steps are to be taken by the Member States;

1 OJ L 393, 30.12.1989, p. 1.

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11) "information threshold" shall mean a level beyond which there is a risk to human health from brief exposure for particularly sensitive sections of the population and for which immediate and appropriate information is necessary;

12) "upper assessment threshold" shall mean a level below which a combination of fixed measurements and modelling techniques and/or indicative measurements may be used to assess ambient air quality;

13) "lower assessment threshold" shall mean a level below which modelling or objective-estimation techniques alone may be used to assess ambient air quality;

14) "long-term objective" shall mean a level to be attained in the long term, save where not achievable through proportionate measures, with the aim of providing effective protection of human health and the environment;

15) "contributions from natural sources" shall mean emissions of pollutants not caused directly or indirectly by human activities, including natural events such as volcanic eruptions, seismic activities, geothermal activities, wild-land fires, high-wind events, sea sprays or the atmospheric re-suspension or transport of natural particles from dry regions;

16) "zone" shall mean part of the territory of a Member State, as delimited by that Member State for the purposes of air quality assessment and management;

17) "agglomeration" shall mean a zone that is a conurbation with a population in excess of 250 000 inhabitants or, where the population is 250 000 inhabitants or less, with a given population density per km² to be established by the Member States;

18) "PM10" shall mean particulate matter which passes through a size-selective inlet as defined in the reference method for the sampling and measurement of PM10, EN 12341, with a 50 % efficiency cut-off at 10 µm aerodynamic diameter;

19) "PM2,5" shall mean particulate matter which passes through a size-selective inlet as defined in the reference method for the sampling and measurement of PM2,5, EN 14907, with a 50 % efficiency cut-off at 2,5 µm aerodynamic diameter;

20) "average exposure indicator" shall mean an average level determined on the basis of measurements at urban background locations throughout the territory of a Member State and which reflects population exposure. It is used to calculate the national exposure reduction target and the exposure concentration obligation;

21) "exposure concentration obligation" shall mean a level fixed on the basis of the average exposure indicator with the aim of reducing harmful effects on human health, to be attained over a given period;

22) "national exposure reduction target" shall mean a percentage reduction of the average exposure of the population of a Member State set for the reference year with the aim of reducing harmful effects on human health, to be attained where possible over a given period;

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23) "urban background locations" shall mean places in urban areas where levels are representative of the exposure of the general urban population;

24) "oxides of nitrogen" shall mean the sum of the volume mixing ratio (ppbv) of nitrogen monoxide (nitric oxide) and nitrogen dioxide expressed in units of mass concentration of nitrogen dioxide (µg/m3);

25) "fixed measurements" shall mean measurements taken at fixed sites, either continuously or by random sampling, to determine the levels in accordance with the relevant data quality objectives;

26) "indicative measurements" shall mean measurements which meet data quality objectives that are less strict than those required for fixed measurements;

27) "volatile organic compounds" (VOC) shall mean organic compounds from anthropogenic and biogenic sources, other than methane, that are capable of producing photochemical oxidants by reactions with nitrogen oxides in the presence of sunlight;

28) "ozone precursor substances" means substances which contribute to the formation of ground-level ozone, some of which are listed in Annex X.

Article 3Responsibilities

Member States shall designate at the appropriate levels the competent authorities and bodies responsible for the following:

(a) assessment of ambient air quality;

(b) approval of measurement systems (methods, equipment, networks and laboratories);

(c) ensuring the accuracy of measurements;

(d) analysis of assessment methods;

(e) coordination on their territory if Community-wide quality assurance programmes are being organised by the Commission;

(f) cooperation with the other Member States and the Commission.

Where relevant, the competent authorities and bodies shall comply with Section C of Annex I.

Article 4Establishment of zones and agglomerations

Member States shall establish zones and agglomerations throughout their territory. Air quality assessment and air quality management shall be carried out in all zones and agglomerations.

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Chapter IIAssessment of ambient air quality

SECTION 1 ASSESSMENT OF AMBIENT AIR QUALITY IN RELATION TO SULPHUR DIOXIDE,

NITROGEN DIOXIDE AND OXIDES OF NITROGEN,PARTICULATE MATTER, LEAD, BENZENE

AND CARBON MONOXIDE

Article 5Assessment regime

1. The upper and lower assessment thresholds specified in Section A of Annex II shall apply to sulphur dioxide, nitrogen dioxide and oxides of nitrogen, particulate matter (PM10 and PM2,5), lead, benzene and carbon monoxide.

Each zone and agglomeration shall be classified in relation to those assessment thresholds.

2. The classification referred to in paragraph 1 shall be reviewed at least every five years in accordance with the procedure laid down in Section B of Annex II.

However, classifications shall be reviewed more frequently in the event of significant changes in activities relevant to the ambient concentrations of sulphur dioxide, nitrogen dioxide or, where relevant, oxides of nitrogen, particulate matter (PM10, PM2,5), lead, benzene or carbon monoxide.

Article 6Assessment criteria

1. Member States shall assess ambient air quality with respect to the pollutants referred to in Article 5 in all their zones and agglomerations, in accordance with the criteria laid down in paragraphs 2, 3 and 4 of this Article and in accordance with the criteria laid down in Annex III.

2. In all zones and agglomerations where the level of pollutants referred to in paragraph 1 exceeds the upper assessment threshold established for those pollutants, fixed measurements shall be used to assess the ambient air quality. Those fixed measurements may be supplemented by modelling techniques and/or indicative measurements to provide adequate information on the spatial distribution of the ambient air quality.

3. In all zones and agglomerations where the level of pollutants referred to in paragraph 1 is below the upper assessment threshold established for those pollutants, a combination of fixed measurements and modelling techniques and/or indicative measurements may be used to assess the ambient air quality.

4. In all zones and agglomerations where the level of pollutants referred to in paragraph 1 is below the lower assessment threshold established for those pollutants, modelling techniques or objective-estimation techniques or both shall be sufficient for the assessment of the ambient air quality.

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5. In addition to the assessments referred to in paragraphs 2, 3 and 4, measurements shall be made, at rural background locations away from significant sources of air pollution, for the purposes of providing, as a minimum, information on the total mass concentration and the chemical speciation concentrations of fine particulate matter (PM2,5) on an annual average basis and shall be conducted using the following criteria:

(a) one sampling point shall be installed every 100 000 km2;

(b) each Member State shall set up at least one measuring station or may, by agreement with adjoining Member States, set up one or several common measuring stations, covering the relevant neighbouring zones, to achieve the necessary spatial resolution;

(c) where appropriate, monitoring shall be coordinated with the monitoring strategy and measurement programme of the Cooperative Programme for Monitoring and Evaluation of the Long-range Transmission of Air Pollutants in Europe (EMEP);

(d) Sections A and C of Annex I shall apply in relation to the data quality objectives for mass concentration measurements of particulate matter and Annex IV shall apply in its entirety.

Member States shall inform the Commission of the measurement methods used in the measurement of the chemical composition of fine particulate matter (PM2,5).

Article 7Sampling points

1. The location of sampling points for the measurement of sulphur dioxide, nitrogen dioxide and oxides of nitrogen, particulate matter (PM10, PM2,5), lead, benzene and carbon monoxide in ambient air shall be determined using the criteria listed in Annex III.

2. In each zone or agglomeration where fixed measurements are the sole source of information for assessing air quality, the number of sampling points for each relevant pollutant shall not be less than the minimum number of sampling points specified in Section A of Annex V.

3. For zones and agglomerations within which information from fixed measurement sampling points is supplemented by information from modelling and/or indicative measurement, the total number of sampling points specified in Section A of Annex V may be reduced by up to 50 %, provided that the following conditions are met:

(a) the supplementary methods provide sufficient information for the assessment of air quality with regard to limit values or alert thresholds, as well as adequate information for the public;

(b) the number of sampling points to be installed and the spatial resolution of other techniques are sufficient for the concentration of the relevant pollutant to be established in accordance with the data quality objectives specified in Section A of Annex I and enable assessment results to meet the criteria specified in Section B of Annex I.

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The results of modelling and/or indicative measurement shall be taken into account for the assessment of air quality with respect to the limit values.

4. The application in Member States of the criteria for selecting sampling points shall be monitored by the Commission so as to facilitate the harmonised application of those criteria throughout the European Union.

Article 8 Reference measurement methods

1. Member States shall apply the reference measurement methods and criteria specified in Section A and Section C of Annex VI.

2. Other measurement methods may be used subject to the conditions set out in Section B of Annex VI.

SECTION 2ASSESSMENT OF AMBIENT AIR QUALITY IN RELATION TO OZONE

Article 9Assessment criteria

1. Where, in a zone or agglomeration, concentrations of ozone have exceeded the long-term objectives specified in Section C of Annex VII during any of the previous five years of measurement, fixed measurements shall be taken.

2. Where fewer than five years' data are available, Member States may, for the purposes of determining whether the long-term objectives referred to in paragraph 1 have been exceeded during those five years, combine the results from measurement campaigns of short duration carried out when and where levels are likely to be at their highest, with the results obtained from emission inventories and modelling.

Article 10 Sampling points

1. The siting of sampling points for the measurement of ozone shall be determined using the criteria set out in Annex VIII.

2. The sampling points for fixed measurements of ozone in each zone or agglomeration within which measurement is the sole source of information for assessing air quality shall not be less than the minimum number of sampling points specified in Section A of Annex IX.

3. For zones and agglomerations within which information from sampling points for fixed measurements is supplemented by information from modelling and/or indicative measurements, the number of sampling points specified in Section A of Annex IX may be reduced provided that the following conditions are met:

(a) the supplementary methods provide sufficient information for the assessment of air quality with regard to target values, long-term objectives, information and alert thresholds;

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(b) the number of sampling points to be installed and the spatial resolution of other techniques are sufficient for the concentration of ozone to be established in accordance with the data quality objectives specified in Section A of Annex I and enable assessment results to meet the criteria specified in Section B of Annex I;

(c) the number of sampling points in each zone or agglomeration amounts to at least one sampling point per two million inhabitants or one sampling point per 50 000 km2, whichever produces the greater number of sampling points, but must not be less than one sampling point in each zone or agglomeration;

(d) nitrogen dioxide is measured at all remaining sampling points except at rural background stations as referred to in Section A of Annex VIII.

The results of modelling and/or indicative measurement shall be taken into account for the assessment of air quality with respect to the target values.

4. Nitrogen dioxide shall be measured at a minimum of 50 % of the ozone sampling points required under Section A of Annex IX. That measurement shall be continuous except at rural background stations, as referred to in Section A of Annex VIII, where other measurement methods may be used.

5. In zones and agglomerations where, during each of the previous five years of measurement, concentrations are below the long-term objectives, the number of sampling points for fixed measurements shall be determined in accordance with Section B of Annex IX.

6. Each Member State shall ensure that at least one sampling point is installed and operated in its territory to supply data on concentrations of the ozone precursor substances listed in Annex X. Each Member State shall choose the number and siting of the stations at which ozone precursor substances are to be measured, taking into account the objectives and methods laid down in Annex X.

Article 11Reference measurement methods

1. Member States shall apply the reference method for measurement of ozone, set out in point 8 of Section A of Annex VI. Other measuring methods may be used subject to the conditions set out in Section B of Annex VI.

2. Each Member State shall inform the Commission of the methods it uses to sample and measure VOC, as listed in Annex X.

Chapter IIIAmbient Air Quality Management

Article 12Requirements where levels are lower than the limit values

In zones and agglomerations where the levels of sulphur dioxide, nitrogen dioxide, PM10, PM2,5, lead, benzene and carbon monoxide in ambient air are below the respective limit values specified in Annexes XI and XIV, Member States shall maintain the levels of those pollutants

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below the limit values and shall endeavour to preserve the best ambient air quality, compatible with sustainable development.

Article 13Limit values and alert thresholds for the protection of human health

1. Member States shall ensure that, throughout their zones and agglomerations, levels of sulphur dioxide, PM10, lead, and carbon monoxide in ambient air do not exceed the limit values laid down in Annex XI.

In respect of nitrogen dioxide and benzene, the limit values specified in Annex XI may not be exceeded from the dates specified therein.

Compliance with these requirements shall be assessed in accordance with Annex III.

The margins of tolerance laid down in Annex XI shall apply in accordance with Article 22(3) and Article 23(1).

2. The alert thresholds for concentrations of sulphur dioxide and nitrogen dioxide in ambient air shall be those laid down in Section A of Annex XII.

Article 14Critical levels

1. Member States shall ensure compliance with the critical levels specified in Annex XIII as assessed in accordance with Section A of Annex III.

2. Where fixed measurements are the sole source of information for assessing air quality, the number of sampling points shall not be less than the minimum number specified in Section C of Annex V. Where that information is supplemented by indicative measurements or modelling, the minimum number of sampling points may be reduced by up to 50 % so long as the assessed concentrations of the relevant pollutant can be established in accordance with the data quality objectives specified in Section A of Annex I.

Article 15National PM2,5 exposure reduction target

for the protection of human health

1. Member States shall take all necessary measures not entailing disproportionate costs to reduce exposure to PM2,5 with a view to attaining the national exposure reduction target laid down in Section B of Annex XIV by the year specified therein.

2. Member States shall ensure that the average exposure indicator for the year 2015 established in accordance with Section A of Annex XIV does not exceed the exposure concentration obligation laid down in Section C of that Annex.

3. The average exposure indicator for PM2,5 shall be assessed in accordance with Section A of Annex XIV.

4. Each Member State shall, in accordance with Annex III, ensure that the distribution and the number of sampling points on which the average exposure indicator for PM2,5 is based

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reflect the general population exposure adequately. The number of sampling points shall be no less than that determined by application of Section B of Annex V.

Article 16PM2,5 target value and limit value for

the protection of human health

1. Member States shall take all necessary measures not entailing disproportionate costs to ensure that concentrations of PM2,5 in ambient air do not exceed the target value laid down in Section C of Annex XIV as from the date specified therein.

2. Member States shall ensure that concentrations of PM2,5 in ambient air do not exceed the limit value laid down in Section D of Annex XIV throughout their zones and agglomerations as from the date specified therein. Compliance with this requirement shall be assessed in accordance with Annex III.

3. The margin of tolerance laid down in Section D of Annex XIV shall apply in accordance with Article 23(1).

Article 17Requirements in zones and agglomerations where ozone

concentrations exceed the target values and long-term objectives

1. Member States shall take all necessary measures not entailing disproportionate costs to ensure that the target values and long-term objectives are attained.

2. For zones and agglomerations in which a target value is exceeded, Member States shall ensure that the programme prepared pursuant to Article 6 of Directive 2001/81/EC and, if appropriate, an air quality plan is implemented in order to attain the target values, save where not achievable through measures not entailing disproportionate costs, as from the date specified in Section B of Annex VII to this Directive.

3. For zones and agglomerations in which the levels of ozone in ambient air are higher than the long-term objectives but below, or equal to, the target values, Member States shall prepare and implement cost-effective measures with the aim of achieving the long-term objectives. Those measures shall, at least, be consistent with all the air quality plans and the programme referred to in paragraph 2.

Article 18Requirements in zones and agglomerations where ozone

concentrations meet the long-term objectives

In zones and agglomerations in which ozone levels meet the long-term objectives, Member States shall, in so far as factors including the transboundary nature of ozone pollution and meteorological conditions permit, maintain those levels below the long-term objectives and shall preserve through proportionate measures the best ambient air quality compatible with sustainable development and a high level of environmental and human health protection.

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Article 19Measures required in the event of information

or alert thresholds being exceeded

Where the information threshold specified in Annex XII or any of the alert thresholds laid down therein is exceeded, Member States shall take the necessary steps to inform the public by means of radio, television, newspapers or the Internet.

Member States shall also forward to the Commission, on a provisional basis, information concerning the levels recorded and the duration of the periods during which the alert threshold or information threshold was exceeded.

Article 20Contributions from natural sources

1. Member States shall transmit to the Commission, for a given year, lists of zones and agglomerations where exceedances of limit values for a given pollutant are attributable to natural sources. Member States shall provide information on concentrations and sources and the evidence demonstrating that the exceedances are attributable to natural sources.

2. Where the Commission has been informed of an exceedance attributable to natural sources in accordance with paragraph 1, that exceedance shall not be considered as an exceedance for the purposes of this Directive.

3. The Commission shall by …* publish guidelines for demonstration and subtraction of exceedances attributable to natural sources.

Article 21Exceedances attributable to winter-sanding or -salting of roads

1. Member States may designate zones or agglomerations within which limit values for PM10 are exceeded in ambient air due to the re-suspension of particulates following winter-sanding or -salting of roads.

2. Member States shall send the Commission lists of any such zones or agglomerations together with information on concentrations and sources of PM10 therein.

3. When informing the Commission in accordance with Article 27, Member States shall provide the necessary evidence to demonstrate that any exceedances are due to re-suspended particulates and that reasonable measures have been taken to lower the concentrations.

4. Without prejudice to Article 20, in the case of zones and agglomerations referred to in paragraph 1 of this Article, Member States need to establish the air quality plan provided for in Article 23 only insofar as exceedances are attributable to PM10 sources other than winter-sanding or -salting of roads.

5. The Commission shall publish guidelines for determination of contributions from the re-suspension of particulates following winter-sanding or -salting of roads by ….1.

* OJ: Two years after the date of entry into force of this Directive.1

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Article 22Postponement of attainment deadlines and exemption

from the obligation to apply certain limit values

1. Where, in a given zone or agglomeration, conformity with the limit values for nitrogen dioxide or benzene cannot be achieved by the deadlines specified in Annex XI, a Member State may postpone those deadlines by a maximum of five years for that particular zone or agglomeration, on condition that an air quality plan is established in accordance with Article 23 for the zone or agglomeration to which the postponement would apply; such air quality plan shall be supplemented by the information listed in Section B of Annex XV related to the pollutants concerned and shall demonstrate how conformity will be achieved with the limit values before the new deadline.

2. Where, in a given zone or agglomeration, conformity with the limit values for PM10 as specified in Annex XI cannot be achieved because of site-specific dispersion characteristics, adverse climatic conditions or transboundary contributions, a Member State shall be exempt from the obligation to apply those limit values until …* provided that the conditions laid down in paragraph 1 are fulfilled and that the Member State shows that all appropriate measures have been taken at national, regional and local level to meet the deadlines.

3. Where a Member State applies paragraphs 1 or 2, it shall ensure that the limit value for each pollutant is not exceeded by more than the maximum margin of tolerance specified in Annex XI for each of the pollutants concerned.

4. Member States shall notify the Commission where, in their view, paragraphs 1 or 2 are applicable, and shall communicate the air quality plan referred to in paragraph 1 including all relevant information necessary for the Commission to assess whether or not the relevant conditions are satisfied. In its assessment, the Commission shall take into account estimated effects on ambient air quality in the Member States, at present and in the future, of measures that have been taken by the Member States as well as estimated effects on ambient air quality of current Community measures and planned Community measures to be proposed by the Commission.

Where the Commission has raised no objections within nine months of receipt of that notification, the relevant conditions for the application of paragraphs 1 or 2 shall be deemed to be satisfied.

If objections are raised, the Commission may require Member States to adjust or provide new air quality plans.

Chapter IVPlans

Article 23Air quality plans

1. Where, in given zones or agglomerations, the levels of pollutants in ambient air exceed any limit value or target value, plus any relevant margin of tolerance in each case, Member

* OJ: Three years after the date of entry into force of this Directive.

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States shall ensure that air quality plans are established for those zones and agglomerations in order to achieve the related limit value or target value specified in Annexes XI and XIV.

In the event of exceedances of those limit values for which the attainment deadline is already expired, the air quality plan shall set out appropriate measures, so that the exceedance period can be kept as short as possible. The air quality plan may additionally include specific measures aiming at the protection of sensitive population groups, including children.

Those air quality plans shall incorporate at least the information listed in Section A of Annex XV and may include measures pursuant to Article 24. Those plans shall be communicated to the Commission without delay, but no later than two years after the end of the year the first exceedance was observed.

Where air quality plans must be prepared or implemented in respect of several pollutants, Member States shall, where appropriate, prepare and implement integrated air quality plans covering all pollutants concerned.

2. Member States shall, to the extent feasible, ensure consistency with other plans required under Directive 2001/80/EC, Directive 2001/81/EC or Directive 2002/49/EC in order to achieve the relevant environmental objectives.

Article 24Short-term action plans

1. Where, in a given zone or agglomeration, there is a risk that the levels of pollutants will exceed one or more of the alert thresholds specified in Annex XII, Member States shall draw up action plans indicating the measures to be taken in the short term in order to reduce the risk or duration of such an exceedance. Where this risk applies to one or more limit values or target values specified in Annexes VII, XI and XIV, Member States may, where appropriate, draw up such short-term action plans.

However, where there is a risk that the alert threshold for ozone specified in Section B of Annex XII will be exceeded, Member States shall only draw up such short-term action plans when in their opinion there is a significant potential, taking into account national geographical, meteorological and economic conditions, to reduce the risk, duration or severity of such an exceedance. When drawing up such a short-term action plan Member States shall take account of Decision 2004/279/EC.

2. The short-term action plans referred to in paragraph 1 may, depending on the individual case, provide for effective measures to control and, where necessary, suspend activities ▌ which contribute to the risk of the respective limit values or target values or alert threshold being exceeded. Those action plans may ▌ include ▌ measures in relation to motor-vehicle traffic, construction works, ships at berth, and the use of industrial plants or products and domestic heating. Specific actions aiming at the protection of sensitive population groups, including children, may also be considered in the framework of those plans.

3. When Member States have drawn up a short-term action plan, they shall make available to the public and to appropriate organisations such as environmental organisations, consumer organisations, organisations representing the interests of sensitive population groups, other relevant health-care bodies and the relevant industrial federations both the results of their

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investigations on the feasibility and the content of specific short-term action plans as well as information on the implementation of these plans.

4. For the first time before …* and at regular intervals thereafter, the Commission shall publish examples of best practices for the drawing-up of short-term action plans, including examples of best practices for the protection of sensitive population groups, including children.

Article 25Transboundary air pollution

1. Where any alert threshold, limit value or target value plus any relevant margin of tolerance or long-term objective is exceeded due to significant transboundary transport of air pollutants or their precursors, the Member States concerned shall cooperate and, where appropriate, draw up joint activities, such as the preparation of joint or coordinated air quality plans pursuant to Article 23 in order to remove such exceedances through the application of appropriate but proportionate measures.

2. The Commission shall be invited to be present and to assist in any cooperation referred to in paragraph 1. Where appropriate, the Commission shall, taking into account the reports established pursuant to Article 9 of Directive 2001/81/EC, consider whether further action should be taken at Community level in order to reduce precursor emissions responsible for transboundary pollution.

3. Member States shall, if appropriate pursuant to Article 24, prepare and implement joint short-term action plans covering neighbouring zones in other Member States. Member States shall ensure that neighbouring zones in other Member States which have developed short-term action plans receive all appropriate information.

4. Where the information threshold or alert thresholds are exceeded in zones or agglomerations close to national borders, information shall be provided as soon as possible to the competent authorities in the neighbouring Member States concerned. That information shall also be made available to the public.

5. In drawing up plans as provided for in paragraphs 1 and 3 and in informing the public as referred to in paragraph 4, Member States shall, where appropriate, endeavour to pursue cooperation with third countries, and in particular with candidate countries.

Chapter VInformation and Reporting

Article 26Public information

1. Member States shall ensure that the public as well as appropriate organisations such as environmental organisations, consumer organisations, organisations representing the interests of sensitive populations, other relevant health-care bodies and the relevant industrial federations are informed, adequately and in good time, of the following:

* OJ: Two years after the date of entry into force of this Directive.

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(a) ambient air quality in accordance with Annex XVI;

(b) any postponement decisions pursuant to Article 22(1);

(c) any exemptions pursuant to Article 22(2);

(d) air quality plans as provided for in Article 22(1) and Article 23 and programmes referred to in Article 17(2).

The information shall be made available free of charge by means of any easily accessible media including the Internet or any other appropriate means of telecommunication, and shall take into account the provisions laid down in Directive 2007/2/EC.

2. Member States shall make available to the public annual reports for all pollutants covered by this Directive.

Those reports shall summarise the levels exceeding limit values, target values, long-term objectives, information thresholds and alert thresholds, for the relevant averaging periods. That information shall be combined with a summary assessment of the effects of those exceedances. The reports may include, where appropriate, further information and assessments on forest protection as well as information on other pollutants for which monitoring provisions are specified in this Directive, such as, inter alia, selected non-regulated ozone precursor substances as listed in Section B of Annex X.

3. Member States shall inform the public of the competent authority or body designated in relation to the tasks referred to in Article 3.

Article 27Transmission of information and reporting

1. Member States shall ensure that information on ambient air quality is made available to the Commission within the required timescale as determined by the implementing measures referred to in Article 28(2).

2. In any event, for the specific purpose of assessing compliance with the limit values and critical levels and the attainment of target values, such information shall be made available to the Commission no later than nine months after the end of each year and shall include:

(a) the changes made in that year to the list and delimitation of zones and agglomerations established under Article 4;

(b) the list of zones and agglomerations in which the levels of one or more pollutants are higher than the limit values plus the margin of tolerance where applicable or higher than target values or critical levels; and for these zones and agglomerations:

(i) levels assessed and, if relevant, the dates and periods when such levels were observed;

(ii) if appropriate, an assessment on contributions from natural sources and from re-suspension of particulates following winter-sanding or -salting of roads to the levels assessed, as declared to the Commission under Articles 20 and 21.

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3. Paragraphs 1 and 2 shall apply to information collected as from the beginning of the second calendar year after the entry into force of the implementing measures referred to in Article 28(2).

Article 28Implementing measures

1. The measures designed to amend the non-essential elements of this Directive, namely Annexes I to VI, Annexes VIII to X and Annex XV, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 29(3).

However, the amendments may not have the effect of directly or indirectly modifying either of the following:

(a) the limit values, exposure reduction targets, critical levels, target values, information or alert thresholds or long-term objectives specified in Annex VII and Annexes XI to XIV;

(b) dates for the compliance with any of the parameters referred to in point (a).

2. The Commission shall, in accordance with the regulatory procedure referred to in Article 29(2), determine the additional information to be made available by Member States pursuant to Article 27 as well as the timescales in which such information is to be communicated.

The Commission shall also identify ways of streamlining the way data are reported and the reciprocal exchange of information and data from networks and individual stations measuring ambient air pollution within the Member States, in accordance with the regulatory procedure referred to in Article 29(2).

3. The Commission shall draw up guidelines for the agreements on setting up common measuring stations as referred to in Article 6(5).

4. The Commission shall publish guidance on the demonstration of equivalence referred to in Section B of Annex VI.

Chapter VICommittee, transitional and final provisions

Article 29Committee

1. The Commission shall be assisted by a committee, "the Ambient Air Quality Committee".




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Article 30Penalties

Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive.

Article 31Repeal and transitional provisions

1. Directives 96/62/EC, 1999/30/EC, 2000/69/EC and 2002/3/EC are repealed as from ...*, without prejudice to the obligations on the Member States relating to time-limits for transposition or application of those Directives.

However, from the entry into force of this Directive, the following shall apply:

(a) in Directive 96/62/EC, paragraph 1 of Article 12 is replaced by the following:

"1. The detailed arrangements for forwarding the information to be provided under Article 11 shall be adopted in accordance with the procedure referred to in paragraph 3;"

(b) in Directive 1999/30/EC, Article 7(7), footnote 1 in point I of Annex VIII and point VI of Annex IX are deleted;

(c) in Directive 2000/69/EC, Article 5(7) and point III in Annex VII are deleted;

(d) in Directive 2002/3/EC, Article 9(5) and point II of Annex VIII are deleted.

2. Notwithstanding the first subparagraph of paragraph 1, the following Articles shall remain in force:

(a) Article 5 of Directive 96/62/EC until 31 December 2010;

(b) Article 11(1) of Directive 96/62/EC and Article 10(1) and (2) and (3) of Directive 2002/3/EC until the end of the second calendar year following the entry into force of the implementing measures referred to in Article 28(2) of this Directive;

(c) Article 9(3) and (4) of Directive 1999/30/EC until 31 December 2009.

3. References made to the repealed Directives shall be construed as being made to this Directive and should be read in accordance with the correlation table in Annex XVII.

4. Decision 97/101/EC is repealed with effect from the end of the second calendar year following the entry into force of the implementing measures referred to in Article 28(2) of this Directive.

However, the third, fourth and fifth indents of Article 7 of Decision 97/101/EC are deleted with effect from ...*.* Two years after the date of entry into force of this Directive.

* Date of entry into force of this Directive.

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Article 32Review

1. In 2013 the Commission shall review the provisions related to PM2,5 and, as appropriate, other pollutants, and shall present a proposal to the European Parliament and the Council.

As regards PM2,5, the review shall be undertaken with a view to establishing a legally binding national exposure reduction obligation in order to replace the national exposure reduction target and to review the exposure concentration obligation laid down in Article 15, taking into account, inter alia, the following elements:

– latest scientific information from WHO and other relevant organisations,

– air quality situations and reduction potentials in the Member States,

– the revision of Directive 2001/81/EC,

– progress made in implementing Community reduction measures for air pollutants.

2. The Commission shall take into account the feasibility of adopting a more ambitious limit value for PM2,5, shall review the indicative limit value of the second stage for PM2,5 and consider confirming or altering that value.

3. As part of the review, the Commission shall also prepare a report on the experience and on the necessity of monitoring of PM10 and PM2,5, taking into account technical progress in automatic measuring techniques. If appropriate, new reference methods for the measurement of PM10 and PM2,5 shall be proposed.

Article 33Transposition

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive before …. They shall forthwith communicate to the Commission the text of those measures.

When Member States adopt these measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

2. However, Member States shall ensure that a sufficient number of urban background measurement stations of PM2,5 necessary for the calculation of the Average Exposure Indicator, in accordance with Section B of Annex V, is established ▌ at the latest ║ by 1 January 2009, in order to comply with the timeframe and the conditions indicated in Section A of Annex XIV.

3. 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.

Two years after the date of entry into force of this Directive.

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Article 34

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

Article 35


Done at ,

For the European Parliament For the Council

The President The President

ANNEX I

DATA QUALITY OBJECTIVES

A. Data quality objectives for ambient air quality assessmentSulphur dioxide,

nitrogen dioxide and oxides of nitrogen and

carbon monoxide

Benzene Particulate matter (PM10/PM2,5)

and lead

Ozone and related NO and NO2

Fixed measurements(1)

UncertaintyMinimum data capture

Minimum time coverage:- urban background and traffic- industrial sites

15 %90 %

-

-

25 %90 %

35 %(2)

90 %

25 %90 %

-

-

15 %90 % during summer75 % during winter

-

-Indicative measurementsUncertaintyMinimum data captureMinimum time coverage

25 %90 %

14 %(4)

30 %90 %

14 %(3)

50 %90 %

14 %(4)

30 %90 %

>10 % during summer

Modelling uncertainty:HourlyEight-hour averagesDaily averagesAnnual averages

50 %50 %50 %30 %

---

50 %

--

not yet defined50 %

50 %50 %

--

Objective estimationUncertainty 75 % 100 % 100 % 75 %(1) Member States may apply random measurements instead of continuous measurements for

benzene, lead and particulate matter if they can demonstrate to the Commission that the uncertainty, including the uncertainty due to random sampling, meets the quality objective of 25 % and the time coverage is still larger than the minimum time coverage for indicative measurements. Random sampling must be evenly distributed over the year in order to avoid skewing of results. The uncertainty due to random sampling may be determined by the procedure laid down in ISO 11222 (2002) "Air Quality – Determination of the Uncertainty of the Time Average of Air Quality Measurements". If random measurements are used to assess the requirements of the PM10 limit value, the 90.4 percentile (to be lower than or equal to 50 µg/m³) should be evaluated instead of the number of exceedances, which is highly influenced by data coverage.

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(2) Distributed over the year to be representative of various conditions for climate and traffic.(3) One day's measurement a week at random, evenly distributed over the year, or 8 weeks

evenly distributed over the year.(4) One measurement a week at random, evenly distributed over the year, or 8 weeks evenly

distributed over the year.

The uncertainty (expressed at a 95 % confidence level) of the assessment methods will be evaluated in accordance with the principles of the CEN Guide to the Expression of Uncertainty in Measurement (ENV 13005-1999), the methodology of ISO 5725:1994 and the guidance provided in the CEN report "Air Quality – Approach to Uncertainty Estimation for Ambient Air Reference Measurement Methods" (CR 14377:2002E). The percentages for uncertainty in the above table are given for individual measurements averaged over the period considered by the limit value (or target value in the case of ozone), for a 95 % confidence interval. The uncertainty for the fixed measurements shall be interpreted as being applicable in the region of the appropriate limit value (or target value in the case of ozone).

The uncertainty for modelling is defined as the maximum deviation of the measured and calculated concentration levels for 90 % of individual monitoring points, over the period considered, by the limit value (or target value in the case of ozone), without taking into account the timing of the events. The uncertainty for modelling shall be interpreted as being applicable in the region of the appropriate limit value (or target value in the case of ozone). The fixed measurements that have to be selected for comparison with modelling results shall be representative of the scale covered by the model.

The uncertainty for objective estimation is defined as the maximum deviation of the measured and calculated concentration levels, over the period considered, by the limit value (or target value in the case of ozone), without taking into account the timing of the events.

The requirements for minimum data capture and time coverage do not include losses of data due to the regular calibration or the normal maintenance of the instrumentation.

B. Results of air quality assessment

The following information shall be compiled for zones or agglomerations within which sources other than measurement are employed to supplement information from measurement or as the sole means of air quality assessment:

a description of assessment activities carried out,

the specific methods used, with references to descriptions of the method,

the sources of data and information,

a description of results, including uncertainties and, in particular, the extent of any area or, if relevant, the length of road within the zone or agglomeration over which concentrations exceed any limit value, target value or long-term objective plus margin of tolerance, if applicable, and of any area within which

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concentrations exceed the upper assessment threshold or the lower assessment threshold,

the population potentially exposed to levels in excess of any limit value for protection of human health.

C. Quality assurance for ambient air quality assessment: data validation

1. To ensure accuracy of measurements and compliance with the data quality objectives laid down in Section A, the appropriate competent authorities and bodies designated pursuant to Article 3 shall ensure the following:

– that all measurements undertaken in relation to the assessment of ambient air quality pursuant to Articles 6 and 9 are traceable in accordance with the requirements set out in Section 5.6.2.2. of the ISO/IEC 17025:2005,

– that institutions operating networks and individual stations have an established quality assurance and quality control system which provides for regular maintenance to assure the accuracy of measuring devices,

– that a quality assurance/quality control process is established for the process of data collection and reporting and that institutions appointed for this task actively participate in the related Community-wide quality assurance programmes,

– that the national laboratories, when appointed by the appropriate competent authority or body designated pursuant to Article 3, that are taking part in Community-wide intercomparisons covering pollutants regulated in this Directive, are accredited according to EN/ISO 17025 by 2010 for the reference methods referred to in Annex VI. These laboratories shall be involved in the coordination on Member States territory of the Community wide quality assurance programmes to be organized by the Commission and shall also coordinate, on the national level, the appropriate realization of reference methods and the demonstration of equivalence of non-reference methods.

2. All reported data under Article 27 shall be deemed to be valid except data flagged as provisional.

ANNEX II

DETERMINATION OF REQUIREMENTS FOR ASSESSMENT OF CONCENTRATIONS OF SULPHUR DIOXIDE, NITROGEN DIOXIDE AND OXIDES OF NITROGEN,

PARTICULATE MATTER (PM10 and PM2,5), LEAD, BENZENE AND CARBON MONOXIDE IN AMBIENT AIR WITHIN A ZONE OR AGGLOMERATION

A. Upper and lower assessment thresholds

The following upper and lower assessment thresholds will apply:

1. Sulphur dioxideHealth protection Vegetation protection

Upper assessment threshold 60 % of 24-hour limit value (75 µg/m3, 60 % of winter critical level

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not to be exceeded more than 3 times in any calendar year)

(12 µg/m3)

Lower assessment threshold 40 % of 24-hour limit value (50 µg/m3, not to be exceeded more than 3 times in any calendar year)

40 % of winter critical level(8 µg/m3)

2. Nitrogen dioxide and oxides of nitrogenHourly limit value for the

protection of human health (NO2)

Annual limit value for the protection of human health

(NO2)

Annual critical level for the protection of vegetation and natural ecosystems (NOx)

Upper assessment threshold

70 % of limit value (140 µg/m3, not to be exceeded more than 18 times in any calendar year)

80 % of limit value (32 µg/m3)

80 % of critical level (24 µg/m3)

Lower assessment threshold

50 % of limit value (100 µg/m3, not to be exceeded more than 18 times in any calendar year)


65 % of critical level (19,5 µg/m3)

3. Particulate matter (PM10 /PM2,5)

24-hour average PM10

Annual averagePM10

Annual averagePM2,5

(1)

Upper assessment threshold 70 % of limit value (35 µg/m3, not to be exceeded more than 35 times in any calendar year)



Lower assessment threshold 50 % of limit value (25 µg/m3, not to be exceeded more than 35 times in any calendar year)



(1) The upper assessment threshold and the lower assessment threshold for PM 2,5 do not apply to the measurements to assess compliance with the PM2,5 exposure reduction target for the protection of human health.

4. LeadAnnual average

Upper assessment threshold 70 % of limit value (0,35 µg/m3)

Lower assessment threshold 50 % of limit value (0,25 µg/m3)

5. Benzene

Annual average

Upper assessment threshold 70 % of limit value (3,5 µg/m3)

Lower assessment threshold 40 % of limit value (2 µg/m3)

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6. Carbon MonoxideEight-hour average

Upper assessment threshold 70 % of limit value (7 mg/m3)Lower assessment threshold 50 % of limit value (5 mg/m3)

B. Determination of exceedances of upper and lower assessment thresholds

Exceedances of upper and lower assessment thresholds shall be determined on the basis of concentrations during the previous five years where sufficient data are available. An assessment threshold shall be deemed to have been exceeded if it has been exceeded during at least three separate years out of those previous five years.

Where fewer than five years' data are available, Member States may combine measurement campaigns of short duration during the period of the year and at locations likely to be typical of the highest pollution levels with results obtained from information from emission inventories and modelling to determine exceedances of the upper and lower assessment thresholds.

ANNEX III

ASSESSMENT OF AMBIENT AIR QUALITY AND LOCATION OF SAMPLING POINTS FOR THE MEASUREMENT OF SULPHUR DIOXIDE, NITROGEN DIOXIDE AND

OXIDES OF NITROGEN, PARTICULATE MATTER (PM10 and PM2,5), LEAD, BENZENE AND CARBON MONOXIDE IN AMBIENT AIR

A. General

Ambient air quality shall be assessed in all zones and agglomerations in accordance with the following criteria:

1. Ambient air quality shall be assessed at all locations except those listed in paragraph 2, in accordance with the criteria established by Sections B and C for the location of sampling points for fixed measurement. The principles established by Sections B and C shall also apply in so far as they are relevant in identifying the specific locations in which concentration of the relevant pollutants are established where ambient air quality is assessed by indicative measurement or modelling.

2. Compliance with the limit values directed at the protection of human health shall not be assessed at the following locations:

(a) any locations situated within areas where members of the public do not have access and there is no fixed habitation;

(b) in accordance with Article 2(1), on factory premises or at industrial installations to which all relevant provisions concerning health and safety at work apply;

(c) on the carriageway of roads; and on the central reservations of roads except where there is normally pedestrian access to the central reservation.

B. Macroscale siting of sampling points

1. Protection of human health

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(a) Sampling points directed at the protection of human health shall be sited in such a way as to provide data on the following:

– the areas within zones and agglomerations where the highest concentrations occur to which the population is likely to be directly or indirectly exposed for a period which is significant in relation to the averaging period of the limit value(s);

– levels in other areas within the zones and agglomerations which are representative of the exposure of the general population.

(b) Sampling points shall in general be sited in such a way as to avoid measuring very small micro-environments in their immediate vicinity, which means that a sampling point must be sited in such a way that the air sampled is representative of air quality for a street segment no less than 100 m length at traffic-orientated sites and at least 250 m x 250 m at industrial sites, where feasible.

(c) Urban background locations shall be located so that their pollution level is influenced by the integrated contribution from all sources upwind of the station. The pollution level should not be dominated by a single source unless such a situation is typical for a larger urban area. Those sampling points shall, as a general rule, be representative for several square kilometres.

(d) Where the objective is to assess rural background levels, the sampling point shall not be influenced by agglomerations or industrial sites in its vicinity, i.e. sites closer than five kilometres.

(e) Where contributions from industrial sources are to be assessed, at least one sampling point shall be installed downwind of the source in the nearest residential area. Where the background concentration is not known, an additional sampling point shall be situated within the main wind direction.

(f) Sampling points shall, where possible, also be representative of similar locations not in their immediate vicinity.

(g) Account shall be taken of the need to locate sampling points on islands where that is necessary for the protection of human health.

2. Protection of vegetation and natural ecosystems

Sampling points targeted at the protection of vegetation and natural ecosystems shall be sited more than 20 km away from agglomerations or more than 5 km away from other built-up areas, industrial installations or motorways or major roads with traffic counts of more than 50 000 vehicles per day, which means that a sampling point must be sited in such a way that the air sampled is representative of air quality in a surrounding area of at least 1 000 km2. A Member State may provide for a sampling point to be sited at a lesser distance or to be representative of air quality in a less extended area, taking account of geographical conditions or of the opportunities to protect particularly vulnerable areas.

Account shall be taken of the need to assess air quality on islands.

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C. Microscale siting of sampling points

Insofar as is practicable, the following shall apply:

the flow around the inlet sampling probe shall be unrestricted (free in an arc of at least 270°) without any obstructions affecting the airflow in the vicinity of the sampler (normally some metres away from buildings, balconies, trees and other obstacles and at least 0,5 m from the nearest building in the case of sampling points representing air quality at the building line),

in general, the inlet sampling point shall be between 1,5 m (the breathing zone) and 4 m above the ground. Higher positions (up to 8 m) may be necessary in some circumstances. Higher siting may also be appropriate if the station is representative of a large area,

the inlet probe shall not be positioned in the immediate vicinity of sources in order to avoid the direct intake of emissions unmixed with ambient air,

the sampler's exhaust outlet shall be positioned so that recirculation of exhaust air to the sampler inlet is avoided,

for all pollutants, traffic-orientated sampling probes shall be at least 25 m from the edge of major junctions and no more than 10 m from the kerbside.

The following factors may also be taken into account:

interfering sources,

security,

access,

availability of electrical power and telephone communications,

visibility of the site in relation to its surroundings,

safety of the public and operators,

the desirability of co-locating sampling points for different pollutants,

planning requirements.

D. Documentation and review of site selection

The site-selection procedures shall be fully documented at the classification stage by such means as compass-point photographs of the surrounding area and a detailed map. Sites shall be reviewed at regular intervals with repeated documentation to ensure that selection criteria remain valid over time.

ANNEX IV

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MEASUREMENTS AT RURAL BACKGROUND LOCATIONS IRRESPECTIVE OF CONCENTRATION

A. Objectives

The main objectives of such measurements are to ensure that adequate information is made available on levels in the background. This information is essential to judge the enhanced levels in more polluted areas (such as urban background, industry related locations, traffic related locations), assess the possible contribution from long-range transport of air pollutants, support source apportionment analysis and for the understanding of specific pollutants such as particulate matter. It is also essential for the increased use of modelling also in urban areas.

B. Substances

Measurement of PM2,5 must include at least the total mass concentration and concentrations of appropriate compounds to characterise its chemical composition. At least the list of chemical species given below shall be included.

SO42- Na+ NH4

+ Ca2+ elemental carbon (EC)

NO3- K+ Cl- Mg2+ organic carbon (OC)

C. Siting

Measurements should be taken in particular in rural background areas in accordance with parts A, B║ and C of Annex III.

ANNEX V

CRITERIA FOR DETERMINING MINIMUM NUMBERS OF SAMPLING POINTS FOR FIXED MEASUREMENT OF CONCENTRATIONS OF SULPHUR DIOXIDE, NITROGEN

DIOXIDE AND OXIDES OF NITROGEN, PARTICULATE MATTER (PM10, PM2,5), LEAD, BENZENE AND CARBON MONOXIDE IN AMBIENT AIR

A. Minimum number of sampling points for fixed measurement to assess compliance with limit values for the protection of human health and alert thresholds in zones and agglomerations where fixed measurement is the sole source of information

1. Diffuse sources

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Population of agglomeration or zone(thousands)

If maximum concentrations exceed the upper assessment threshold (1)

If maximum concentrations are between the upper and lower assessment thresholds

Pollutants except PM

PM (2)(sum of PM10

and PM2,5)

(sum of PM10

and PM2.5

)

Pollutants except PM

PM (2) )(sum of

PM10 and PM2,5)(sum of PM

10 and PM

2.5)

0-249 1 2 1 1

250-499 2 3 1 2

500-749 2 3 1 2

750-999 3 4 1 2

1 000-1 499 4 6 2 3

1 500-1 999 5 7 2 3

2 000-2 749 6 8 3 4

2 750-3 749 7 10 3 4

3 750-4 749 8 11 3 6

4 750-5 999 9 13 4 6

≥ 6 000 10 15 4 7

(1) For nitrogen dioxide, particulate matter, benzene and carbon monoxide: to include at least one urban background monitoring station and one traffic-orientated station provided this does not increase the number of sampling points. For these pollutants, the total number of urban-background stations and the total number of traffic oriented stations in a Member State required under Section A (1) shall not differ by more than a factor of 2. Sampling points with exceedances of the limit value for PM10 within the last three years shall be maintained, unless a relocation is necessary owing to special circumstances, in particular spatial development.

(2) Where PM2,5 and PM10 are measured in accordance with Article 8 at the same monitoring station, these shall count as two separate sampling points. The total number of PM2,5 and PM10 sampling points in a Member State required under Section A (1) shall not differ by more than a factor of 2, and the number of PM2,5 sampling points in the urban background of agglomerations and urban areas shall meet the requirements under Section B of Annex V.

2. Point sources

For the assessment of pollution in the vicinity of point sources, the number of sampling points for fixed measurement shall be calculated taking into account emission densities, the likely distribution patterns of ambient-air pollution and the potential exposure of the population.

B. Minimum number of sampling points for fixed measurement to assess compliance with the PM2,5 exposure reduction target for the protection of human health

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One sampling point per million inhabitants summed over agglomerations and additional urban areas in excess of 100 000 inhabitants shall be operated for this purpose. Those sampling points may coincide with sampling points under Section A.

C. Minimum number of sampling points for fixed measurements to assess compliance with critical levels for the protection of vegetation in zones other than agglomerationsIf maximum concentrations exceed the upper assessment threshold

If maximum concentrations are between upper and lower assessment threshold

1 station every 20 000 km2 1 station every 40 000 km2

In island zones the number of sampling points for fixed measurement should be calculated taking into account the likely distribution patterns of ambient-air pollution and the potential exposure of vegetation.

ANNEX VI

REFERENCE METHODS FOR ASSESSMENT OF CONCENTRATIONS OF SULPHUR DIOXIDE, NITROGEN DIOXIDE AND OXIDES OF NITROGEN, PARTICULATE MATTER

(PM10 AND PM2,5), LEAD, BENZENE, CARBON MONOXIDE, AND OZONE

A. REFERENCE MEASUREMENT METHODS

1. Reference method for the measurement of sulphur dioxide

The reference method for the measurement of sulphur dioxide is that described in EN 14212:2005 "Ambient air quality – Standard method for the measurement of the concentration of sulphur dioxide by ultraviolet fluorescence".

2. Reference method for the measurement of nitrogen dioxide and oxides of nitrogen

The reference method for the measurement of nitrogen dioxide and oxides of nitrogen is that described in EN 14211:2005 "Ambient air quality – Standard method for the measurement of the concentration of nitrogen dioxide and nitrogen monoxide by chemiluminescence".

3. Reference method for the sampling and measurement of lead

The reference method for the sampling of lead is that described in Section A(4) of this Annex. The reference method for the measurement of lead is that described in EN 14902:2005 "Standard method for measurement of Pb/Cd/As/Ni in the PM10 fraction of suspended particulate matter".

4. Reference method for the sampling and measurement of PM10

The reference method for the sampling and measurement of PM10 is that described in EN 12341:1999 "Air Quality – Determination of the PM10 fraction of suspended particulate

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matter – Reference method and field test procedure to demonstrate reference equivalence of measurement methods".

5. Reference method for the sampling and measurement of PM2,5

The reference method for the sampling and measurement of PM2,5 is that described in EN 14907:2005 "Standard gravimetric measurement method for the determination of the PM2,5 mass fraction of suspended particulate matter".

6. Reference method for the sampling and measurement of benzene

The reference method for the measurement of benzene is that described in EN 14662:2005, parts 1, 2 and 3 "Ambient air quality – Standard method for measurement of benzene concentrations".

7. Reference method for the measurement of carbon monoxide

The reference method for the measurement of carbon monoxide is that described in EN 14626:2005 "Ambient air quality – Standard method for the measurement of the concentration of carbon monoxide by non-dispersive infrared spectroscopy".

8. Reference method for measurement of ozone

The reference method for the measurement of ozone is that described in EN 14625:2005 "Ambient air quality – Standard method for the measurement of the concentration of ozone by ultraviolet photometry".

B. DEMONSTRATION OF EQUIVALENCE

1. A Member State may use any other method which it can demonstrate gives results equivalent to any of the methods referred to in Section A or, in the case of particulate matter, any other method which the Member State concerned can demonstrate displays a consistent relationship to the reference method. In that event the results achieved by that method must be corrected to produce results equivalent to those that would have been achieved by using the reference method.

2. The Commission may require the Member States to prepare and submit a report on the demonstration of equivalence in accordance with paragraph 1.

3. When assessing the acceptability of the report mentioned in paragraph 2, the Commission will make reference to its guidance on the demonstration of equivalence (to be published). Where Member States have been using interim factors to approximate equivalence, the latter shall be confirmed and/or amended with reference to the Commission's guidance.

4. Member States should ensure that whenever appropriate, the correction is also applied retroactively to past measurement data in order to achieve better data comparability.

C. STANDARDISATION

For gaseous pollutants the volume must be standardised at a temperature of 293 K and an atmospheric pressure of 101,3 kPa. For particulate matter and substances to be analysed in

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particulate matter (e.g. lead) the sampling volume refers to ambient conditions in terms of temperature and atmospheric pressure at the date of measurements.

D. INTRODUCTION OF NEW EQUIPMENT

All new equipment purchased for implementation of this Directive must comply with the reference method or equivalent by …*.

All equipment used in fixed measurements must comply with the reference method or equivalent by …**.

E. MUTUAL RECOGNITION OF DATA

In carrying out the type approval to demonstrate that equipment meets the performance requirements of the reference methods listed in Section A, competent authorities and bodies designated pursuant to Article 3 shall accept test reports issued in other Member States by laboratories accredited to EN ISO 17025 for carrying out such testing.

ANNEX VII

OZONE TARGET VALUES AND LONG-TERM OBJECTIVES

A. Definitions and criteria

1. Definitions

AOT40 (expressed in (µg/m³)•hours) means the sum of the difference between hourly concentrations greater than 80 µg/m³ (= 40 parts per billion) and 80 µg/m³ over a given period using only the 1-hour values measured between 8:00 and 20:00 Central European Time (CET) each day.

2. Criteria

The following criteria shall be used for checking validity when aggregating data and calculating statistical parameters:

* OJ: Two years after the date of entry into force of this Directive.* * OJ: Five years after the date of entry into force of this Directive.

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Parameter Required proportion of valid data

1 hour values 75 % (i.e. 45 minutes)

8 hours values 75 % of values (i.e. 6 hours)

Maximum daily 8 hours mean from hourly running 8 hours 75 % of the hourly running 8 hours averages (i.e. 18 8-hourly averages per day)

AOT40 90 % of the 1 hour values over the time period defined for calculating the AOT40 value (1)

Annual mean 75 % of the 1 hour values over summer (April to September) and 75 % over winter (January to March, October to December) seasons separately

Number of exceedances and maximum values per month

90 % of the daily maximum 8 hours mean values (27 available daily values per month)90 % of the 1 hour values between 8:00 and 20:00 CET

Number of exceedances and maximum values per year five out of six months over the summer season (April to September)

(1) In cases where all possible measured data are not available, the following factor shall be used to calculate AOT40 values:

AOT40estimate = AOT40measured x total possible number of hours*

number of measured hourly values* being the number of hours within the time period of AOT40 definition, (i.e. 08:00 to 20:00 CET from 1

May to 31 July each year, for vegetation protection and from 1 April to 30 September each year for forest protection).

.

B. Target values

Objective Averaging period

Target value Date by which target value should be met (1)

Protection of human health

Maximum daily 8-hour mean (2)

120 µg/m3 not to be exceeded on more than 25 days per calendar year averaged over three years (3)

1.1.2010

Protection of vegetation

May to July AOT40 (calculated from 1 h values)18 000 µg/m3•h averaged over five years (3)

1.1.2010

(1) Compliance with target values will be assessed as of this date. That is, 2010 will be the first year the data for which is used in calculating compliance over the following 3 or 5 years, as appropriate.

(2) The maximum daily 8-hour mean concentration shall be selected by examining 8-hour running averages, calculated from hourly data and updated each hour. Each 8-hour average so calculated shall be assigned to the day on which it ends. i.e. the first calculation period for any one day will be the period from 17:00 on the previous day to 01:00 on that day; the last calculation period for any one day will be the period from 16:00 to 24:00 on the day.

(3) If the three or five year averages cannot be determined on the basis of a full and consecutive set of annual data, the minimum annual data required for checking compliance with the target values will be as follows:

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– for the target value for the protection of human health: valid data for one year;

– for the target value for the protection of vegetation: valid data for three years.

C. Long-term objectivesObjective Averaging period Long-term objective Date by which the

long-term objective should be met

Protection of human health

Maximum daily 8-hour mean within a calendar year

120 µg/m3 not defined

Protection of vegetation

May to July AOT40, (calculated from 1 h values) 6 000 µg/m3•h

not defined

ANNEX VIII

CRITERIA FOR CLASSIFYING AND LOCATING SAMPLING POINTS FOR ASSESSMENTS OF OZONE CONCENTRATIONS

The following apply to fixed measurements:

A. MACROSCALE SITING

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Type ofstation

Objectives of measurement Representativeness (1) Macroscale siting criteria

Urban Protection of human health:to assess the exposure of the urban population to ozone, i.e. where population density and ozone concentration are relatively high and representative of the exposure of the general population

A few km2 Away from the influence of local emissions such as traffic, petrol stations, etc.;vented locations where well mixed levels can be measured; locations such as residential and commercial areas of cities, parks (away from the trees), big streets or squares with very little or no traffic, open areas characteristic of educational, sports or recreation facilities

Suburban Protection of human health and vegetation:to assess the exposure of the population and vegetation located in the outskirts of the agglomeration, where the highest ozone levels, to which the population and vegetation are likely to be directly or indirectly exposed occur

Some tens of km2 At a certain distance from the area of maximum emissions, downwind following the main wind direction/directions during conditions favourable to ozone formation;where population, sensitive crops or natural ecosystems located in the outer fringe of an agglomeration are exposed to high ozone levels;where appropriate, some suburban stations also upwind of the area of maximum emissions, in order to determine the regional background levels of ozone

Rural Protection of human health and vegetation:to assess the exposure of population, crops and natural ecosystems to sub-regional scale ozone concentrations

Sub-regional levels(a few km2)

Stations can be located in small settlements and/or areas with natural ecosystems, forests or crops;representative for ozone away from the influence of immediate local emissions such as industrial installations and roads;at open area sites, but not on summits of higher mountains

Rural background

Protection of vegetation and human health:to assess the exposure of crops and naturalecosystems to regional-scale ozone concentrations as well as exposure of the population

Regional/national/continental levels(1 000 to 10 000 km2)

Station located in areas with lower population density, e.g. with natural ecosystems, forests, at a distance of at least 20 km from urban and industrial areas and away from local emissions;avoid locations which are subject to locally enhanced formation of ground-near inversion conditions, also summits of higher mountains;coastal sites with pronounced diurnal wind cycles of local character are not recommended.

(1) Sampling points should, where possible, be representative of similar locations not in their immediate vicinity.For rural and rural background stations the location shall, where appropriate, be coordinated with the monitoring requirements of Commission Regulation (EC) No 1737/2006 of 7 November 2006 laying down detailed rules for the implementation of Regulation (EC) No 2152/2003 of the European Parliament and of the Council concerning monitoring of forests and environmental interactions in the Community1.

B. MICROSCALE SITING

In so far as is practicable the procedure on microscale siting in Section C of Annex III shall be followed, ensuring also that the inlet probe is positioned well away from such sources as furnaces and incineration flues and more than 10 m from the nearest road, with distance increasing as a function of traffic intensity.

1 OJ L 334, 30.11.2006, p.1.

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C. DOCUMENTATION AND REVIEW OF SITE SELECTION

The procedures in Section D of Annex III shall be followed, applying proper screening and interpretation of the monitoring data in the context of the meteorological and photochemical processes affecting the ozone concentrations measured at the respective sites.

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ANNEX IX

CRITERIA FOR DETERMINING THE MINIMUM NUMBER OF SAMPLING POINTS FOR FIXED MEASUREMENT OF CONCENTRATIONS OF OZONE

A. MINIMUM NUMBER OF SAMPLING POINTS FOR FIXED CONTINUOUS MEASUREMENTS TO ASSESS COMPLIANCE WITH TARGET VALUES, LONG-TERM OBJECTIVES AND INFORMATION AND ALERT THRESHOLDS WHERE SUCH MEASUREMENTS ARE THE SOLE SOURCE OF INFORMATION

Population(× 1 000)

Agglomerations(urban and suburban) (1)

Other zones(suburban and rural) (1)

Rural background

< 250 1

1 station/50 000 km2 as an average density over all zones per country(2)

< 500 1 2

< 1 000 2 2

< 1 500 3 3

< 2 000 3 4

< 2 750 4 5

< 3 750 5 6

> 3 750 1 additional station per 2 million inhabitants

1 additional station per 2 million inhabitants

(1) At least 1 station in suburban areas, where the highest exposure of the population is likely to occur. In agglomerations at least 50 % of the stations shall be located in suburban areas.

(2) 1 station per 25 000 km2 for complex terrain is recommended.(2) 1 station per 25 000 km2 for complex terrain is recommended.

B. MINIMUM NUMBER OF SAMPLING POINTS FOR FIXED MEASUREMENTS FOR ZONES AND AGGLOMERATIONS ATTAINING THE LONG-TERM OBJECTIVES

The number of sampling points for ozone shall, in combination with other means of supplementary assessment such as air quality modelling and collocated nitrogen dioxide measurements, be sufficient to examine the trend of ozone pollution and check compliance with the long-term objectives. The number of stations located in agglomerations and other zones may be reduced to one-third of the number specified in Section A. Where information from fixed measurement stations is the sole source of information, at least one monitoring station shall be kept. If, in zones where there is supplementary assessment, the result of this is that a zone has no remaining station, coordination with the number of stations in neighbouring zones shall ensure adequate assessment of ozone concentrations against long-term objectives. The number of rural background stations shall be 1 per 100 000 km2.

ANNEX X

MEASUREMENTS OF OZONE PRECURSOR SUBSTANCES

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A. OBJECTIVES

The main objectives of such measurements are to analyse any trend in ozone precursors, to check the efficiency of emission reduction strategies, to check the consistency of emission inventories and to help attribute emission sources to observed pollution concentrations.

An additional aim is to support the understanding of ozone formation and precursor dispersion processes, as well as the application of photochemical models.

B. SUBSTANCES

Measurement of ozone precursor substances shall include at least nitrogen oxides (NO and NO2), and appropriate volatile organic compounds (VOC). A list of volatile organic compounds recommended for measurement is given below:

1-Butene Isoprene Ethyl benzene

Ethane Trans-2-Butene n-Hexane m+p-Xylene

Ethylene cis-2-Butene i-Hexane o-Xylene

Acetylene 1,3-Butadiene n-Heptane 1,2,4-Trimethylebenzene

Propane n-Pentane n-Octane 1,2,3- Trimethylebenzene

Propene i-Pentane i-Octane 1,3,5- Trimethylebenzene

n-Butane 1-Pentene Benzene Formaldehyde

i-Butane 2-Pentene Toluene Total non-methane hydrocarbons

C. SITING

Measurements shall be taken in particular in urban or suburban areas at any monitoring site set up in accordance with the requirements of this Directive and considered appropriate with regard to the monitoring objectives referred to in Section A.

ANNEX XI

LIMIT VALUES FOR THE PROTECTION OF HUMAN HEALTH

A. CRITERIA

Without prejudice to Annex I, the following criteria shall be used for checking validity when aggregating data and calculating statistical parameters:

Parameter Required proportion of valid data

1 hour values 75 % (i.e. 45 minutes)

8 hours values 75 % of values (i.e. 6 hours)

Maximum daily 8-hour mean 75 % of the hourly running 8-hour averages (i.e. 18 8-hour averages per day)

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24-hour values 75 % of the hourly averages (i.e. at least 18 hour values)

Annual mean 90 % (1) of the 1-hour values or (if not available) 24-hour values over the year

(1) The requirement for the calculation of annual mean do not include losses of data due to the regular calibration or the normal maintenance of the instrumentation.

B. LIMIT VALUES

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AveragingPeriod

Limit value Margin of tolerance Date by which limit value is

to be metSulphur dioxide

1 hour 350 µg/m3, not to be exceeded more than 24 times a calendar year

150 µg/ m3 (43%) –(1)

1 day 125 µg/m3, not to be exceeded more than 3 times a calendar year

None –(1)

Nitrogen dioxide

1 hour 200 µg/m3, not to be exceeded more than 18 times a calendar year

50 % on 19 July 1999, decreasing on 1 January 2001 and every 12 months thereafter by equal annual percentages to reach 0 % by 1 January 2010

1 January 2010

Calendar year 40 µg/m3 50 % on 19 July 1999, decreasing on 1 January 2001 and every 12 months thereafter by equal annual percentages to reach 0 % by 1 January 20101 January 2010

BenzeneCalendar year 5 µg/m3 5 µg/m3 (100 %) on

13 December 2000, decreasing on 1 January 2006 and every 12 months thereafter by 1 µg/m3 to reach 0 % by 1 January 2010

1 January 2010

Carbon monoxide

max. daily 8-hour mean(2)

10 mg/m3 60 % (1)

Lead

Calendar year 0,5 µg/m3(3) 100 % –(3)

PM10

1 day 50 µg/ m3, not to be exceeded more than 35times a calendar year

50 % –(1)

Calendar year 40 µg/m3 20 % –(1)

(1) Already in force since 1 January 2005(2) The maximum daily 8-hour mean concentration will be selected by examining 8-hour running

averages, calculated from hourly data and updated each hour. Each 8-hour average so calculated will be assigned to the day on which it ends i.e. the first calculation period for any one day will be the period from 17:00 on the previous day to 01:00 on that day; the last calculation period for any one day will be the period from 16:00 to 24:00 on that day.

(3) Already in force since 1 January 2005. Limit value to be met only by 1 January 2010 in the immediate vicinity of the specific industrial sources situated on sites contaminated by decades of industrial activities. In such cases, the limit value until 1 January 2010 will be 1,0 µg/m³. The area in which higher limit values apply must not extend further than 1000 m from such specific sources.

ANNEX XII

INFORMATION AND ALERT THRESHOLDS

A. ALERT THRESHOLDS FOR POLLUTANTS OTHER THAN OZONE

To be measured over three consecutive hours at locations representative of air quality over at least 100 km2 or an entire zone or agglomeration, whichever is the smaller.

Pollutant Alert threshold

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Sulphur dioxide 500 µg/m3

Nitrogen dioxide 400 µg/m3

B. INFORMATION AND ALERT THRESHOLDS FOR OZONEPurpose Averaging period

Threshold

Information 1 hour 180 µg/m3

Alert 1 hour (1) 240 µg/m3

(1) For the implementation of Article 24, the exceedance of the threshold is to be measured or predicted for three consecutive hours.

ANNEX XIII

CRITICAL LEVELS FOR THE PROTECTION OF VEGETATIONAveraging period Critical Level Margin of tolerance

Sulphur dioxideCalendar year and winter (1 October to 31 March)

20 µg/ m3 None

Oxides of nitrogenCalendar year 30 µg/m3 NOx None

ANNEX XIV

NATIONAL EXPOSURE REDUCTION TARGET, TARGET VALUE AND LIMIT VALUE FOR PM2,5

A. AVERAGE EXPOSURE INDICATOR

The Average Exposure Indicator expressed in µg/m3 (AEI) shall be based upon measurements in urban background locations in zones and agglomerations throughout the territory of a Member State. It should be assessed as a 3-calendar year running annual mean concentration averaged over all sampling points established pursuant to Section B of Annex V. The AEI for the reference year 2010 shall be the mean concentration of the years 2008, 2009 and 2010.

However, where data are not available for 2008, Member States may use the mean concentration of the years 2009 and 2010 or the mean concentration of the years 2009, 2010 and 2011 ▌. Member States making use of these possibilities shall communicate their decisions to the Commission by ....

The AEI for the year 2020 shall be the 3-year running mean concentration averaged over all those sampling points for the years 2018, 2019 and 2020. The AEI is used for the examination whether the national exposure reduction target is met.

The AEI for the year 2015 shall be the 3-year running mean concentration averaged over all those sampling points for the years 2013, 2014 and 2015. The AEI is used for the examination whether the exposure concentration obligation is met.

B. NATIONAL EXPOSURE REDUCTION TARGET

Exposure Reduction Target relative to the AEI in 2010 Year by Three months after the date of entry into force of this Directive.

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▌ which the ▌ exposure reduction

target should be met

▌

Initial concentration in µg/m3 Reduction target in percent 2020

▌

< 8.5=8.5 0 %= 8.5 – <13 10 %= 13 – <18 15 %= 18 – < 22 20 %>22 All appropriate measures to

achieve 18 μg/m3

Where the AEI in the reference year is 8.5 µg/m3 or less the exposure reduction target shall be zero. The reduction target shall be zero also in cases where the AEI reaches the level of 8.5 µg/m3 at any point of time during the period from 2010 to 2020 and is maintained at or below that level.

C. EXPOSURE CONCENTRATION OBLIGATIONExposure concentration

obligationDate by which the obligation value is to be met

20 µg/m3 2015

D. TARGET VALUE

Averaging Period Target value Date by which target value should be metCalendar year 25 µg/m3 1 January 2010

E. LIMIT VALUE

Averaging period

Limit Value Margin of tolerance Date by which limit value is to be met

STAGE 1Calendar year 25 µg/m3 20 % on …* , decreasing

on the next 1 January and every 12 months thereafter by equal annual percentages to reach 0 % by 1 January 2015

1 January 2015

STAGE 2 (1)

Calendar year 20 µg/m3 1 January 2020(1) Stage 2 - indicative limit value to be reviewed by the Commission in 2013 in the light of further information on health and environmental effects, technical feasibility and experience of the target value in Member States.

* the date of entry into force of this Directive.

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ANNEX XV

INFORMATION TO BE INCLUDED IN THE LOCAL, REGIONAL OR NATIONAL AIR QUALITY PLANS FOR IMPROVEMENT IN AMBIENT AIR

QUALITY

A. INFORMATION TO BE PROVIDED UNDER ARTICLE 23 (AIR QUALITY PLANS)

1. Localisation of excess pollution

(a) region;

(b) city (map);

(c) measuring station (map, geographical coordinates).

2. General information:

(a) type of zone (city, industrial or rural area);

(b) estimate of the polluted area (km2) and of the population exposed to the pollution;

(c) useful climatic data;

(d) relevant data on topography;

(e) sufficient information on the type of targets requiring protection in the zone.

3. Responsible authorities

Names and addresses of persons responsible for the development and implementation of improvement plans.

4. Nature and assessment of pollution:

(a) concentrations observed over previous years (before the implementation of the improvement measures);

(b) concentrations measured since the beginning of the project;

(c) techniques used for the assessment.

5. Origin of pollution

(a) list of the main emission sources responsible for pollution (map);

(b) total quantity of emissions from these sources (tonnes/year);

(c) information on pollution imported from other regions.

6. Analysis of the situation

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(a) details of those factors responsible for the exceedance (e.g. transport, including cross-border transport, formation of secondary pollutants in the atmosphere);

(b) details of possible measures for the improvement of air quality.

7. Details of those measures or projects for improvement which existed prior to …*, i.e:

(a) local, regional, national, international measures;

(b) observed effects of these measures.

8. Details of those measures or projects adopted with a view to reducing pollution following the entry into force of this Directive:

(a) listing and description of all the measures set out in the project;

(b) timetable for implementation;

(c) estimate of the improvement of air quality planned and of the expected time required to attain these objectives.

9. Details of the measures or projects planned or being researched for the long term.

10. List of the publications, documents, work, etc., used to supplement information required under this Annex.

B. INFORMATION TO BE PROVIDED UNDER ARTICLE 22(1)

1. All information as laid down in Section A.

2. Information concerning the status of implementation of the following Directives:

(1) Council Directive 70/220/EEC of 20 March 1970 on the approximation of the laws of the Member States on measures to be taken against air pollution by emissions from motor vehicles1;

(2) Directive 94/63/EC of the European Parliament and of the Council of 20 December 1994 on the control of volatile organic compound (VOC) emissions resulting from the storage of petrol and its distribution from terminals to service stations2;

(3) Council Directive 96/61/EC of 24 September 1996 concerning integrated pollution prevention and control3;

* OJ: Date of entry into force of this Directive.1 OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L

206, 15.8.2003, p. 29).2 OJ L 365, 31.12.1994, p. 24. Directive as amended by Regulation (EC) No 1882/2003 (OJ L 284,

31.10.2003, p. 1).3 OJ L 257, 10.10.1996, p. 26. Directive as last amended by Regulation (EC) No 166/2006 of the

European Parliament and of the Council (OJ L 33, 4.2.2006, p. 1).

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(4) Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery as amended1;

(5) Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuels2;

(6) Council Directive 1999/13/EC of 11 March 1999 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain activities and installations3;

(7) Council Directive 1999/32/EC of 26 April 1999 relating to a reduction in the sulphur content of certain liquid fuels4;

(8) Directive 2000/76/EC of the European Parliament and of the Council of 4 December 2000 on the incineration of waste5;

(9) Directive 2001/80/EC of the European Parliament and of the Council of 23 October 2001 on the limitation of emissions of certain pollutants into the air from large combustion plants;

(10) Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants;

(11) Directive 2004/42/EC of the European Parliament and of the Council of 21 April 2004 on the limitation of emissions of volatile organic compounds due to the use of organic solvents in certain paints and varnishes and vehicle refinishing products 6;

(12) Directive 2005/33/EC of the European Parliament and of the Council of 6 July 2005 amending Directive 1999/32/EC as regards the sulphur content of marine fuels7;

(13) Directive 2005/55/EC of the European Parliament and of the Council of 28 September 2005 on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles,

1 OJ L 59, 27.2.1998, p. 1. Directive as last amended by Directive 2006/105/EC.2 OJ L 350, 28.12.1998, p. 58. Directive as amended by Regulation (EC) No 1882/2003.3 OJ L 85, 29.3.1999, p. 1. Directive as last amended by Directive 2004/42/EC of the European

Parliament and of the Council (OJ L 143, 30.4.2004, p. 87).4 OJ L 121, 11.5.1999, p. 13. Directive as last amended by Directive 2005/33/EC of the European

Parliament and of the Council (OJ L 191, 22.7.2005, p. 59).5 OJ L 332 , 28.12.2000, p. 91.6 OJ L 143, 30.4.2004, p. 87.7 OJ L 191, 22.7.2005, p. 59.

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and the emission of gaseous pollutants from positive-ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles1;

(14) Directive 2006/32/EC of the European Parliament and of the Council of 5 April 2006 on energy end-use efficiency and energy services2.

3. Information on all air pollution abatement measures that have been considered at appropriate local, regional or national level for implementation in connection with the attainment of air quality objectives, including:

(a) reduction of emissions from stationary sources by ensuring that polluting small and medium sized stationary combustion sources (including for biomass) are fitted with emission control equipment or replaced;

(b) reduction of emissions from vehicles through retrofitting with emission control equipment. The use of economic incentives to accelerate take-up should be considered;

(c) procurement by public authorities, in line with the handbook on environmental public procurement, of road vehicles, fuels and combustion equipment to reduce emissions, including the purchase of:

– new vehicles, including low emission vehicles,

– cleaner vehicle transport services,

– low emission stationary combustion sources,

– low emission fuels for stationary and mobile sources;

(d) measures to limit transport emissions through traffic planning and management (including congestion pricing, differentiated parking fees or other economic incentives; establishing "low emission zones");

(e) measures to encourage a shift of transport towards less polluting modes;

(f) ensuring that low emission fuels are used in small, medium and large scale stationary sources and in mobile sources;

(g) measures to reduce air pollution through the permit system under Directive 96/61/EC, the national plans under Directive 2001/80/EC, and through the use of economic instruments such as taxes, charges or emission trading.

(h) where appropriate, measures to protect the health of children or other sensitive groups.

ANNEX XVI

PUBLIC INFORMATION

1 OJ L 275, 20.10.2005, p. 1. Directive as last amended by Commission Directive 2006/51/EC (OJ L 152, 7.6.2006, p. 11).

2 OJ L 114, 27.4.2006, p. 64.

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1. Member States shall ensure that up-to-date information on ambient concentrations of the pollutants covered by this Directive is routinely made available to the public.

2. Ambient concentrations provided shall be presented as average values according to the appropriate averaging period as laid down in Annex VII and Annexes XI to XIV. The information shall at least indicate any levels exceeding air quality objectives including limit values, target values, alert thresholds, information thresholds or long term objectives of the regulated pollutant. It shall also provide a short assessment in relation to the air quality objectives and appropriate information regarding effects on health, or, where appropriate, vegetation.

3. Information on ambient concentrations of sulphur dioxide, nitrogen dioxide, particulate matter (at least PM10), ozone and carbon monoxide shall be updated on at least a daily basis, and, wherever practicable, information shall be updated on an hourly basis. Information on ambient concentrations of lead and benzene, presented as an average value for the last 12 months, shall be updated on a three-monthly basis, and on a monthly basis, wherever practicable.

4. Member States shall ensure that timely information about actual or predicted exceedances of alert thresholds, and any information threshold is provided to the public. Details supplied shall include at least the following information:

(a) information on observed exceedance(s):

– location or area of the exceedance,

– type of threshold exceeded (information or alert),

– start time and duration of the exceedance,

– highest 1-hour concentration and in addition highest 8-hour mean concentration in the case of ozone;

(b) forecast for the following afternoon/day(s):

– geographical area of expected exceedances of information and/or alert threshold,

– expected changes in pollution (improvement, stabilisation or deterioration), together with the reasons for those changes;

(c) information on the type of population concerned, possible health effects and recommended behaviour:

– information on population groups at risk,

– description of likely symptoms,

– recommended precautions to be taken by the population concerned,

– where to find further information;

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(d) information on preventive action to reduce pollution and/or exposure to it: indication of main source sectors; recommendations for action to reduce emissions;

(e) in the case of predicted exceedances, Member State shall take steps to ensure that such details are supplied to the extent practicable.

ANNEX XVII

CORRELATION TABLE

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This Directive Directive 96/62/EC

Directive 1999/30/EC

Directive 2000/69/EC

Directive 2002/3/EC

Article 1 Article 1 Article 1 Article 1 Article 1Article 2(1) to (5)

Article 2(1) to (5)

- - -

Article 2(6) and (7)

- - - -

Article 2(8) Article 2(8) Article 2(7) - -Article 2(9) Article 2(6) - - Article 2(9)Article 2(10) Article 2(7) Article 2(6) - Article 2(11)Article 2(11) - - - Article 2(12)Article 2(12) and (13)

- Article 2(13) and (14)

Article 2(a) and (b)

-

Article 2(14) - - - Article 2(10)Article 2(15) and (16)






- -

Article 2(19), (20) and (21)

- - - -

Article 2(22) - Article 2(10) - -Article 2(23) and (24)

Article 6(5) - - -

Article 2(25) - - - Article 2(13)Article 3, with the exception of paragraph (1)(f)

Article 3 - - -

Article 3(1)(f) - - - -Article 4 Article 2(9) and

(10), Article 6(1)

- - -

Article 5 - Article 7(1) Article 5(1) -Article 6 (1) to (4)

Article 6 (1) to (4)

- - -

Article 6 (5) - - - -Article 7 - Article 7 (2) and

(3) with amendments

- Article 5(2) and (3) with amendments

Article 8 - Article 7(5) Article 5(5) -Article 9 - - - Article 9(1) first

and second subparagraphs

Article 10 - - - Article 9(1) to (3) with amendments

Article 11(1) - - - Article 9(4)Article 11(2) - - - -Article 12 Article 9 - - -Article 13(1) - Articles 3(1), Articles 3(1) and -

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4(1), 5(1) and 6 4Article 13(2) - Articles 3(2) and

4(2)- -

Article 13(3) - Article 5(5) - -Article 14 - Articles 3(1) and

4(1) with amendments

- -

Article 15 - - - -Article 16 - - - -Article 17(1) - - - Articles 3(1) and

4(1)Article 17(2) - - - Article 3(2) and

(3)Article 17(3) - - - Article 4(2)Article 18 - - - Article 5Article 19 Article 10 with

amendmentsArticle 8(3) - Article 6 with

amendmentsArticle 20 - Articles 3(4) and

5(4) with amendments

- -

Article 21 - - - -Article 22 - - - -Article 23 Article 8(1) to

(4) with amendments

- - -

Article 24 Article 7(3) with amendments

- - Article 7 with amendments

Article 25 Article 8(5) with amendments

- - Article 8 with amendments

Article 26 - Article 8 with amendments

Article 7 with amendments

Article 6 with amendments

Article 27 Article 11 with amendments

Article 5(2) second subparagraph

- Article 10 with amendments

Article 28(1) Article 12(1) with amendments

- - -

Article 28(2) Article 11 with amendments

- - -

Article 28(3) - - - -Article 28(4) - Annex IX with

amendments- -

Article 29 Article 12(2) - - -Article 30 - Article 11 Article 9 Article 14Article 31 - - - -Article 32 - - - -Article 33 Article 13 Article 12 Article 10 Article 15Article 34 Article 14 Article 13 Article 11 Article 17Article 35 Article 15 Article 14 Article 12 Article 18

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Annex I - Annex VIII with amendments

Annex VI Annex VII

Annex II - Annex V with amendments

Annex III

Annex III - Annex VI Annex IV -Annex IV - - - -Annex V - Annex VII with

amendmentsAnnex V -

Annex VI - Annex IX with amendments

Annex VII Annex VIII

Annex VII - - - Annex I, Annex III section II

Annex VIII - - - Annex IVAnnex IX - - - Annex VAnnex X - - - Annex VIAnnex XI - Annex I, section

I, Annex II, section I and Annex III (with amendments); Annex IV (unchanged)

Annex I, Annex II

-

Annex XII - Annex I, section II, Annex II, section II,

- Annex II, section I

Annex XIII - Annex I, section I, Annex II, section I

- -

Annex XIV - - - -Annex XV Section A

Annex IV - - -

Annex XV Section B

- - - -

Annex XVI - Article 8 Article 7 Article 6 with amendments

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DECLARATION BY THE COMMISSION ACCOMPANYING THE ADOPTION OF THE NEW DIRECTIVE ON AMBIENT AIR QUALITY AND

CLEANER AIR FOR EUROPE

The Commission takes note of the text adopted by the Council and the European Parliament for the Directive on ambient air quality and cleaner air for Europe. In particular, the Commission notes the importance attributed by the European Parliament and the Member States in Article 22(4) and Recital 16 of the Directive to Community measures for the abatement of air pollutant emissions at source.

The Commission recognises the need to reduce the emissions of harmful air pollutants if significant progress is to be delivered towards the objectives established in the 6th Environmental Action Programme. The Commission's communication on a Thematic Strategy on air pollution sets out a significant number of possible Community measures. Significant progress on these and other measures has been made since the adoption of the Strategy:

– The Council and Parliament have already adopted new legislation limiting the exhaust emissions of light duty vehicles;

– The Commission will propose new legislation to improve the effectiveness of Community industrial emissions legislation including intensive agricultural installations and measures to tackle smaller scale industrial combustion sources;

– The Commission will propose new legislation limiting the exhaust emissions of engines installed in heavy duty vehicles;

– In 2008 the Commission foresees new legislative proposals that would:

– further reduce the Member States' permitted national emissions of key pollutants;

– reduce emissions associated with refuelling of petrol cars at service stations;

– address the sulphur content of fuels including marine fuels;

– Preparatory work is also underway to investigate the feasibility of:

– improving the eco-design and reducing the emissions of domestic boilers and water heaters;

– reducing the solvent content of paints, varnishes and vehicle refinishing products;

– reducing the exhaust emissions of non-road mobile machinery and thereby maximise the benefit of lower sulphur non-road fuels already proposed by the Commission;

– The Commission also continues to push for substantial emissions reductions from ships at the International Maritime Organization and it is committed to bringing forward proposals for Community measures should the IMO fail to deliver sufficiently ambitious proposals as foreseen in 2008.

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The Commission is, however, committed to the aims of its Better Regulation initiative and the need for proposals to be underpinned by a comprehensive assessment of the impacts and benefits. In this regard and in accordance with the Treaty establishing the European Community, the Commission will continue to evaluate the need to bring forward new legislative proposals but reserves its right to decide if and when it would be appropriate to present any such proposal.

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P6_TA-PROV(2007)0597

The interoperability of the Community rail system (recast) ***I

European Parliament legislative resolution of 11 December 2007 on the proposal for a directive of the European Parliament and of the Council on the interoperability of the Community rail system (COM(2006)0783 – C6-0474/2006 – 2006/0273(COD))

(Codecision procedure: first reading)



– having regard to Article 251(2) and Articles 156 and 71 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0474/2006),




2. Calls on the Commission to reconsult Parliament if it intends to make substantial modifications to this proposal or replace it with a new proposal,


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P6-TC1-COD(2006)0273

Position of the European Parliament of 11 December 2007 in view of adoption of the Directive 2008/.../CE of the European Parliament and of the Council on the interoperability of the rail system in the Community (COM(2006)0783– C6-0474/2006 – 2006/0273 (COD))


Having regard to the Treaty establishing the European Community, and in particular Articles 156 and 71 thereof,

Having regard to the proposal from the Commission║,



Acting in accordance with the procedure referred to in Article 251 of the Treaty,

Whereas:

(1) Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system3 and Directive 2001/16/EC of the European Parliament and of the Council of 19 March 2001 on the interoperability of the trans-European conventional rail system4 were substantially amended in 2004. When introducing new amendments, it is appropriate to recast the Directives for the sake of clarity and bring their provisions together in a single instrument with a view to simplification.

(2) In order to enable citizens of the Union, economic operators and regional and local authorities to benefit to the full from the advantages deriving from the establishing of an area without internal frontiers, it is appropriate, in particular, to improve the interlinking and interoperability of the national rail networks as well as access thereto, implementing any measures that may prove necessary in the field of technical standardisation, as provided for in Article 155 of the Treaty.

(3) By signing the Protocol adopted in Kyoto on 12 December 1997 the European Union has undertaken to reduce its gas emissions. These objectives require an adjustment to the balance between the various modes of transport, and consequently an increase in the competitiveness of rail transport.

(4) The Council strategy for the integration of the environment and sustainable development into Community transport policy highlights the need to act to reduce the environmental impact of transport.

1 OJ C .2 OJ C .3 OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive 2004/50/EC of the European

Parliament and of the Council (OJ L 164, 30.4.2004, p. 114).4 OJ L 110, 20.4.2001, p. 1. Directive as last amended by Directive 2004/50/EC.

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(5) The commercial operation of trains throughout the rail network requires in particular excellent compatibility between the characteristics of the infrastructure and those of the vehicles, as well as efficient interconnection of the information and communication systems of the different infrastructure managers and railway undertakings . Performance levels, safety, quality of service and cost depend upon such compatibility and interconnection, as does, in particular, the interoperability of the rail system.

(6) Member States are responsible for ensuring compliance with the safety, health and consumer protection rules applying to the railway networks in general during the design, construction, putting into service and operation of those railways.

(7) There are major differences in the national regulations and internal rules and technical specifications which the railways apply, since they incorporate techniques that are specific to the national industries and prescribe specific dimensions and devices and special characteristics. This situation prevents trains from being able to run without hindrance throughout the Community network.

(8) Over the years, this situation has created very close links between the national railway industries and the national railways, to the detriment of the genuine opening-up of markets. In order to enhance their competitiveness at world level, these industries require an open, competitive European market.

(9) It is therefore appropriate to define basic essential requirements for the whole of the Community which will apply to its rail system.

(10) To achieve these objectives an initial measure was taken by the Council on 23 July 1996 with the adoption of Directive 96/48/EC concerning the interoperability of the trans-European high-speed rail system. The European Parliament and the Council subsequently adopted Directive 2001/16/EC on the interoperability of the trans-European conventional rail system.

(11) The entry into force of Directives 2001/12/EC of the European Parliament and of the Council of 26 February 2001 amending Council Directive 91/440/EEC on the development of the Community's railways, 2001/13/EC of the European Parliament and of the Council of 26 February 2001 amending Council Directive 95/18/EC on the licensing of railway undertakings and 2001/14/EC of the European Parliament and of the Council of 26 February 2001 on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification has an impact on the implementation of interoperability. As in the case of other transport modes, the extension of access rights must be accompanied by the requisite harmonisation measures. It is therefore necessary to implement interoperability on the whole network by extending progressively the geographical scope of Directive 2001/16/EC. It is also necessary to extend the legal basis of Directive 2001/16/EC to Article 71 of the Treaty, on which Directive 2001/12/EC is founded.

(12) The development of technical specifications for interoperability (TSIs) has shown the need to clarify the relation between the essential requirements ▌and the TSIs on the one hand, and the European standards and other documents of a normative nature on the other. In particular, a clear distinction should be drawn between the standards or parts of standards which must be made mandatory in order to achieve the objectives of this

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Directive, and the "harmonised" standards that have been developed in the spirit of the new approach to technical harmonisation and standardisation.

(13) As a rule, the European specifications are developed in the spirit of the new approach to technical harmonisation and standardisation. They enable a presumption to be made of conformity with certain essential requirements of this Directive, particularly in the case of interoperability constituents and interfaces. These European specifications, or the applicable parts thereof, are not mandatory and no explicit reference to these specifications may be made in the TSIs. References to these European specifications are published in the Official Journal of the European Union, and Member States publish the references to the national standards transposing the European standards.

(14) TSIs may in certain cases make an explicit reference to European standards or specifications where this is strictly necessary in order to achieve the objectives of this Directive. Such explicit reference has consequences which must be made clear; in particular, these European standards or specifications become mandatory from the moment the TSI is applicable.

(15) The TSI sets all the conditions with which an interoperability constituent must conform, and the procedure to be followed in assessing conformity. In addition, it is necessary to specify that every constituent must undergo the procedure for assessing conformity and suitability for the use indicated in the TSIs and have the corresponding certificate.

(16) When developing new TSIs the aim should always be to ensure compatibility with the existing authorised system. This will help to promote the competitiveness of rail and prevent unnecessary additional cost through the requirement of upgrading or renewal of existing authorised subsystems to ensure backward compatibility. In those exceptional cases where it will not be possible to ensure compatibility, the TSI may establish the framework necessary to decide whether the existing subsystem may need to be re-authorised and the corresponding deadlines.

(17) It is necessary for safety reasons to require Member States to assign an identification code to each vehicle placed in service. The vehicle should then be entered in a national vehicle register. The registers must be open to consultation by all Member States and by certain Community economic players. The registers should be consistent as regards the data format. They should therefore be covered by common operational and technical specifications.

(18) The procedure to be followed in the case of essential requirements applicable to a subsystem which have not yet been covered by detailed specifications in the corresponding TSI should be specified. In such case, the bodies responsible for the conformity assessment and verification procedures should be those already notified under Article 20 of Directives 96/48/EC and 2001/16/EC.

(19) The distinction between a high-speed rail system and a conventional rail system does not warrant two separate directives. The procedures for developing technical specifications for interoperability are the same for both systems, as are those for the certification of the interoperability constituents and the subsystems. The essential requirements are practically identical, as is the subdivision of the system into subsystems for which technical specifications have to be prepared. Moreover, since trains have to be able to

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move freely from the high-speed network to the conventional network, the technical specifications for the two systems overlap to a large extent. Work on developing the TSIs has shown that, for certain subsystems, a single TSI can serve for both systems1. It is therefore appropriate to combine Directives 96/48/EC and 2001/16/EC.

(20) Directive 2004/50/EC provided for the progressive extension of the scope of Directive 2001/16/EC as new TSIs were adopted or existing ones revised. When this Directive comes into force, its scope will cover conventional and high-speed European networks as defined in the Community guidelines for trans-European transport networks2, and the vehicles likely to travel on those networks. The scope will be progressively extended to the whole network and all vehicles, provided that an impact assessment shows the economic benefit of so doing.

(21) In view of the gradual approach to eliminating obstacles to the interoperability of the rail system and of the time consequently required for the adoption of all the ▌TSIs▌, steps should be taken to avoid a situation where Member States adopt new national rules or undertake projects that increase the heterogeneity of the present system.

(22) The adoption of a gradual approach satisfies the special needs of the objective of interoperability of the rail system, which is characterised by old national infrastructure and vehicles requiring heavy investment for adaptation or renewal, and particular care should be taken not to penalise rail economically vis-à-vis other modes of transport.

(23) In its Resolution of 10 March 1999 on the rail package the European Parliament asked that the progressive opening up of the rail sector go hand-in-hand with the fastest and most effective possible technical harmonisation measures.

(24) The Council meeting on 6 October 1999 asked the Commission to propose a strategy on improving the interoperability of rail transport and reducing bottlenecks with a view to eliminating technical, administrative and economic obstacles to the interoperability of networks without delay while guaranteeing a high level of safety as well as personnel training and qualifications.

(25) Pursuant to Council Directive 91/440/EEC of 29 July 1991 on the development of the Community's railways3, railway companies must have increased access to Member States' rail networks, which in turn requires the interoperability of infrastructure, equipment, rolling stock and systems of management and operation, including those staff qualifications and hygiene and safety conditions at work required for the operation and maintenance of the subsystems in question and for the implementation of each TSI. However, it is not the aim of this Directive, directly or indirectly, to harmonise working conditions in the rail sector.

1 See the conclusions of the Commission progress report for the period 2000 to 2005 (COM(2006)0660) final to the Council and the European Parliament adopted on 6 November 2006.

2 TEN Guidelines 1996 - Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the trans-European transport network.

3 OJ L 237, 24.8.1991, p. 25.

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(26) In view of the extent and complexity of the rail system, it has proved necessary, for practical reasons, to break this system down into the following subsystems: infrastructure, control-command and signalling, energy, rolling stock, operation and traffic management, maintenance, telematics applications for passenger and freight services. For each of these subsystems the essential requirements must be specified and the technical specifications determined for the whole of the Community, particularly in respect of constituents and interfaces, in order to meet these essential requirements. The same system is broken down into fixed and mobile assets: on one hand, the network, composed of the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the system; on the other hand, all vehicles travelling on this network. Therefore, for the purpose of this Directive, a vehicle is composed of one subsystem ("rolling stock") and where applicable more parts of other subsystems (mainly the onboard part of the "control-command and signalling" subsystem and the onboard part of the "energy" subsystem").

(27) Implementation of the provisions on the interoperability of the rail system should not create unjustified barriers in cost-benefit terms to the preservation of the existing rail network of each Member State, but must endeavour to retain the objective of interoperability.

(28) The technical specifications for interoperability also have an impact on the conditions of use of rail transport by users, and it is therefore necessary to consult these users on aspects concerning them.

(29) Each Member State concerned should be allowed not to apply certain technical specifications for interoperability in special cases, provided that there are procedures to ensure that these derogations are justified. Article 155 of the Treaty requires Community activities in the field of interoperability to take account of the potential economic viability of projects.

(30) The drawing up of TSIs and their application to the rail system should not impede technological innovation, which should be directed towards improving economic performance.

(31) Advantage should be taken of the interoperability of the rail system, particularly in the case of freight, to bring about the conditions for greater interoperability between modes of transport.

(32) To comply with the appropriate provisions on procurement procedures in the rail sector and in particular Directive 93/38/EEC1, the contracting entities should include technical specifications in the general documents or in the terms and conditions for each contract. To this end it is necessary to build up a body of European specifications in order to serve as references for these technical specifications.

(33) An international system of standardisation capable of generating standards which are actually used by those involved in international trade and which meet the requirements of Community policy would be in the Community's interest. The European standardisation

1 Council Directive 93/38/EEC of 14 June 1993 coordinating the procurement procedures of entities operating in the water, energy, transport and telecommunications sectors (OJ L 199, 9.8.1993, p. 84). Directive as last amended by Directive 98/4/EC (OJ L 101, 1.4.1998, p. 1).

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bodies must therefore continue their cooperation with the international standardisation bodies.

(34) The contracting entities are to define the further requirements needed to complete European specifications or other standards. These specifications should meet the essential requirements that have been harmonised at Community level and which the rail system must satisfy.

(35) The procedures governing the assessment of conformity or of suitability of use of constituents should be based on the use of the modules covered by Decision 93/465/EEC1. As far as possible and in order to promote industrial development, it is appropriate to draw up the procedures involving a system of quality assurance.

(36) Conformity of constituents is mainly linked to their area of use in order to guarantee the interoperability of the system and not only to their free movement on the Community market. The suitability for use of the most critical constituents as regards safety, availability or system economy should be assessed. It is therefore not necessary for a manufacturer to affix the CE marking to constituents that are now subject to the provisions of this Directive. On the basis of the assessment of conformity and/or suitability for use, the manufacturer's declaration of conformity should be sufficient.

(37) That does not affect the obligation on manufacturers to affix the CE marking to certain components in order to certify their compliance with other Community provisions relating to them.

(38) When a TSI comes into force, a number of interoperability constituents are already on the market. A transition period should be provided for so that these constituents can be integrated into a subsystem even if they do not strictly conform to the said TSI.

(39) The subsystems constituting the rail system should be subjected to a verification procedure. This verification must enable the authorities responsible for authorising their placing into service to be certain that, at the design, construction and putting into service stages, the result is in line with the regulations and technical and operational provisions in force. It must also enable manufacturers to be able to count upon equality of treatment whatever the country. It is therefore necessary to lay down one or more modules defining the principles and conditions applying to "EC" verification of subsystems.

(40) After a subsystem is placed in service, care should be taken to ensure that it is operated and maintained in accordance with the essential requirements relating to it. Under Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the Community's railways (Railway Safety Directive)2, responsibility for meeting these requirements lies, for their respective subsystems, with the infrastructure manager or the railway undertaking Member States can check compliance with these requirements when granting safety certificates and safety approvals pursuant to Articles 10 and 11 of the Railway Safety Directive.

1 Council Decision 93/465/EEC of 22 July 1993 concerning the modules for the various phases of the conformity assessment procedures and the rules for the affixing and use of the CE conformity marking, which are intended to be used in the technical harmonisation directives (OJ L 220, 30.8.1993, p. 23).

2 OJ L 164, 30.4.2004, p. 44.

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(41) As far as vehicles are concerned, the procedure of placing in service ▌should be clarified taking into account the new definition of the "vehicle" which is composed of one or more subsystems. In addition, as the current version of the Interoperability Directives deal with new and upgraded subsystems and the current version of the Safety Directive deal with in-use vehicles, all provisions regarding authorisations for placing in service of vehicles should be integrated in this Directive. Furthermore, with a view to facilitating the placing in service of vehicles and reducing the administrative burden, a procedure for authorisation of vehicle types should be added. In order to facilitate this procedure and help identifying vehicle types, a European Register of Authorised Types of vehicles should be set up and maintained by the European Railway Agency.

(42) Experience has shown that the implementation of such a procedure at national level is often complicated and subject to national requirements that are different and lacking in transparency, or are even repetitive. Consequently, this procedure poses a major obstacle to the creation of new railway undertakings, particularly in the freight sector. Steps should therefore be taken to clarify and simplify the procedures for authorising vehicles. Firstly the general principle that one authorisation is sufficient for the whole Community rail network should be established. Secondly the procedure for authorising vehicles which are TSI conform should be simpler and quicker than in the case of non TSI conform. Thirdly the principle of mutual recognition should be applied as far as possible: when a vehicle has already been placed in service in one Member States, other Member States should not invoke national rules for imposing unnecessary requirements and redundant verifications, unless these are strictly necessary for verifying technical compatibility of the vehicle with the relevant network. To this end national rules should be classified and compared according to a check-list in order to determine to which extend national rules can be declared as equivalent in terms of requirements, performances and safety. Fourthly the principle of legal certainty of the outcome of the procedure should be pursued. To this end in the absence of a decision of a national safety authority in the prescribed time limits an applicant should be authorised to place in service a vehicle. Such an authorisation would only be possible if the vehicle has already been authorised in another Member State. In addition the use of such a vehicle would only be possible by a railway undertaking or by an infrastructure manager duly certified according to the railway safety directive, and under their full responsibility.

(43) The authorisation procedures for TSI conform and non TSI conform vehicles are different. There may be cases where the choice of the procedure is not straigthforward. Vehicles which come within the scope of TSI conform vehicles should be those vehicles where all the relevant TSIs have entered into force, including at least the TSI on rolling stock. This would mean that a significant part of the essential requirements has been laid down. For example, until such a time that the conventional TSI on locomotives has entered into force, then locomotives come within scope of non TSI conform vehicles even though they might comply with other relevant TSIs in force at the moment of their placing in service.

(44) If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in a TSI, they are identified in an Annex to the TSI as "open points" .When a TSI conform vehicle has already been authorised in one Member

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State, additional authorisations should only consider those open points that relate to the technical compatibility between the vehicle and the network.

(45) The list of parameters to be checked in conjunction with the placing in service of non TSI conform vehicles is a key element in order to achieve interoperability of railway systems, in particular with regard to existing vehicles. This list takes into account experience across a limited number of networks. Therefore it is necessary that the European Railway Agency reviews the parameters in Annex VIa and makes the recommendations it considers appropriate to the Commission

(46) The "EC" verification procedure should be based on TSIs. These TSIs are subject to the provisions of Article 18 of Directive 93/38/EEC. The notified bodies responsible for examining the procedures for conformity assessment and suitability for the use of constituents, together with the procedure for the assessment of subsystems must, in particular in the absence of any European specification, coordinate their decisions as closely as possible.

(47) The notified bodies should be structured in such a way as to meet the criteria which must apply to this type of body in all sectors of the new approach to technical harmonisation and conformity verification, especially criteria relating to independence and competence .


(49) In particular, the Commission should be authorised to adopt and update the TSIs. Since these measures are general in scope and are designed to supplement this Directive by adding new, non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

(50) When, on imperative grounds of urgency, the normal time-limits for the regulatory procedure with scrutiny cannot be complied with, the Commission should be able to have recourse to the urgency procedure provided for in Article 5a(6) of Decision 1999/468/EC for the adoption of measures designed to amend non-essential elements of this Directive by supplementing it with TSIs or amendments thereto.

(51) TSI will be revised at regular intervals. However, when critical errors are discovered, an ad hoc rapid procedure should be set up in such a way that a provisional corrigendum is first agreed in the context of the Committee and then published by ERA. This will allow an earlier use of this corrigendum by all stakeholders, including industry, notified bodies and authorities, pending a formal revision of the TSI by the Commission. In order to avoid confusion with official "corrigenda" of the Commission, the term "Technical Opinion" will be used. This procedure is in line with the mandate adopted by the Commission on 13 July 2007 (Commission Decision C (2007) 3371 of 13 July 2007 concerning a framework mandate to the European Railway Agency for the performance of certain activities under Directives 96/48/EC and 2001/16/EC)

1 OJ L 184, 17.7.1999, p. 23.

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(52) The definition of the "keeper" should be as close as possible to the definition used in the 1999 COTIF Convention. Many entities can be identified as a keeper of a vehicle, such as the owner, a company making business out of a fleet of wagons, a company leasing vehicles to a railway undertaking, a railway undertaking, an infrastructure manager using vehicles for maintaining its infrastructure. These entities have the control over the vehicle with a view to its use as a mean of transport by the railway undertakings and the infrastructure managers. In order to avoid any doubt, the keeper should be clearly identified in the National Vehicle Register (NVR) referred to in Article 23b of this Directive.

(53) Interoperability within the rail system is Community-wide in scale. No individual Member State is in a position to take the action needed in order to achieve this interoperability. In accordance with the principle of subsidiarity, the objectives of the proposed action cannot be sufficiently achieved by the Member States and can therefore by reason of the scale or effects of the proposed action be better achieved by the Community.

(54) In accordance with point 34 of the Interinstitutional agreement on better law-making, Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and make them public1.

(55) The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directives. The obligation to transpose the provisions which are unchanged arises under the earlier Directives.

(56) Article 14 of Directive 2004/49/EC and Directives 96/48/EC and 2001/16/EC should therefore be repealed.


CHAPTER ONE

GENERAL PROVISIONS

Article 1

Purpose and scope

1. This Directive sets out to establish the conditions to be met to achieve interoperability within the Community ▌rail system in a manner compatible with the provisions of Directive 2004/49/EC on safety on the Community's railways . These conditions concern the design, construction, placing in service, upgrading, renewal, operation and maintenance of the parts of this system ▌as well as the professional qualifications and health and safety conditions of the staff who contribute to its operation and maintenance. ▌

1 OJ C 321, 31.12.2003, p. 1.

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2. The pursuit of this objective must lead to the definition of an optimal level of technical harmonisation and make it possible to:

(a) facilitate, improve and develop international rail transport services within the European Union and with third countries;

(b) contribute to the progressive creation of the internal market in equipment and services for the construction, renewal, upgrading and operation of the ▌rail system within the Community ;

(c) contribute to the interoperability of the ▌rail system within the Community .

3. Member States may exclude from the measures they adopt in implementation of this Directive:

(a) metros, trams and other light rail systems;

(b) networks that are functionally separate from the rest of the railway system and intended only for the operation of local, urban or suburban passenger services, as well as railway undertakings operating solely on these networks;

(c) privately owned railway infrastructure and vehicles exclusively used on such infrastructure that exist solely for use by the owner for its own freight operations.

(d) infrastructure and vehicles reserved for a strictly local, historical or touristic use.

4. The scope of the TSIs shall be progressively extended in accordance with Article 6b to the whole rail system, including track access to terminals and main port facilities serving or potentially serving more than one user, ▌without prejudice to the derogations to the application of TSIs as listed in Article 7.

▌

Article 2

Definitions

For the purposes of this Directive:

(a) "trans-European rail system" means the ▌trans-European ▌conventional ▌and ▌high speed rail systems as set out in Annex I, point 1 and 2, respectively;

(b) "interoperability" means the ability of the rail system to allow the safe and uninterrupted movement of trains which accomplish the required levels of performance for these lines. This ability rests on all the regulatory, technical and operational conditions which must be met in order to satisfy the essential requirements;

(c) "vehicle" means a railway vehicle suitable to circulate on its own wheels on railway lines, with or without traction. A vehicle is composed of one or more structural and functional subsystems or parts of such subsystems.

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(d) "subsystems" means the result of the division of the rail system, as shown in Annex II. These subsystems, for which essential requirements must be laid down, are structural and functional;

(e) "interoperability constituents" means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem upon which the interoperability of the rail system depends directly or indirectly. The concept of a "constituent" covers both tangible objects and intangible objects such as software;

(f) "essential requirements" means all the conditions set out in Annex III which must be met by the rail system, the subsystems, and the interoperability constituents including interfaces;

(g) "European specification" means a common technical specification, a European technical approval or a national standard transposing a European standard, as defined in Annex XXI of Directive 2004/17/EC ;

(h) "technical specifications for interoperability", ▌referred to as "TSIs", means the specifications adopted in accordance with this Directive by which each subsystem or part subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system;

(i) "notified bodies" means the bodies which are responsible for assessing the conformity or suitability for use of the interoperability constituents or for appraising the "EC" procedure for verification of the subsystems;

(j) "basic parameters" means any regulatory, technical or operational condition which is critical to interoperability and is specified in the relevant TSIs;

(k) "specific case" means any part of the rail system which needs special provisions in the TSIs, either temporary or definitive, because of geographical, topographical or urban environment constraints or those affecting compatibility with the existing system. This may include in particular railway lines and networks isolated from the rest of the Community, the loading gauge, the track gauge or space between the tracks and vehicles strictly intended for local, regional or historical use, as well as vehicles originating from or destined for third countries▌;

(l) "upgrading" means any major modification work on a subsystem or part subsystem which improves the overall performance of the subsystem;

(m) "renewal" means any major substitution work on a subsystem or part subsystem which does not change the overall performance of the subsystem;

(n) "existing rail system" means the structure composed of lines and fixed installations of the existing rail system plus the vehicles of all categories and origin travelling on that infrastructure;

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(o) "substitution in the framework of maintenance" means any replacement of components by parts of identical function and performance in the framework of preventive or corrective maintenance;

(p) "placing in service" means all the operations by which a subsystem or a vehicle is put into its design operating state;

(q) "contracting entity" means any entity, whether public or private, which orders the design and/or construction or the renewal or upgrading of a subsystem▌.This entity may be a railway undertaking, an infrastructure manager or a keeper, or the concession holder responsible for carrying out a project;

(r) "keeper" means the person or entity that, being the owner of a vehicle or having the right to use it, exploits the vehicle ▌as a means of transport and is registered as such in the National Vehicle Register (NVR) referred to in Article 23b of this Directive;

(s) "project at an advanced stage of development" means any project ▌whose planning/construction stage has reached a point where a change in the technical specifications would be unacceptable to the Member State concerned . Such an impediment may be legal, contractual, economic, financial, social or environmental in nature and must be duly substantiated;

(t) "harmonised standard" means any European standard adopted by one of the European standardisation bodies listed in Annex I to Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations1 in connection with a mandate by the Commission drawn up in accordance with the procedure referred to in Article 6(3) of the said Directive, which, by itself or together with other standards, provides a solution as regards compliance with a legal provision;

(u) "national safety authority" means "safety authority" as defined in Article 3(g) of Directive 2004/49/EC;

(v) "type" means a vehicle type defining the basic design characteristics of the vehicle as covered by a single type-examination certificate described in module B of Decision 93/465/EEC;

(w) "series" means a number of identical vehicles of a design type;

(x) "agency" means the European Railway Agency.as established by Regulation(EC) No 881/20042.

Article 3

Overall compatibility

1 OJ L 204, 21.7.1998, p. 37. Directive as last amended by the 2003 Act of accession.2 Regulation (EC) No 881/2004 of the European Parliament and of the Council of 29 April 2004

establishing a European railway agency (Agency Regulation) (OJ L 164, 30.4.2004, p. 1).

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1. This Directive applies to the provisions concerning, for each subsystem, the interoperability constituents, the interfaces and procedures as well as the conditions of overall compatibility of the rail system required to achieve its interoperability.

2. The provisions of this Directive shall apply without prejudice to any other relevant Community provisions. However, in the case of interoperability constituents, including interfaces, compliance with the essential requirements of this Directive may require the use of individual European specifications drawn up for that purpose.

Article 4

Essential requirements

1. The rail system, subsystems and interoperability constituents including interfaces shall meet the relevant essential requirements.

2. The further technical specifications referred to in Article 34 of Directive 2004/17/EC which are necessary to complete European specifications or other standards in use within the Community must not conflict with the essential requirements.

CHAPTER II

TECHNICAL SPECIFICATIONS FOR INTEROPERABILITY

Article 5

Content of the TSIs

1. Each of the subsystems shall be covered by one TSI. Where necessary, a subsystem may be covered by several TSIs and one TSI may cover several subsystems. The decision to develop or to revise a TSI and the choice of its technical and geographical scope requires a mandate in accordance with Article 6(1).

2. Subsystems shall comply with the TSIs in force at the time of their placing in service, upgrading or renewal, in accordance with this Directive; this compliance shall be permanently maintained while each subsystem is in use.

3. To the extent necessary in order to achieve the objectives referred to in Article 1, each TSI shall:

(a) indicate its intended scope (part of network or vehicles referred to in Annex I: subsystem or part of subsystem referred to in Annex II);

(b) lay down essential requirements for each subsystem concerned and its interfaces vis-à-vis other subsystems;

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(c) establish the functional and technical specifications to be met by the subsystem and its interfaces vis-à-vis other subsystems. If need be, these specifications may vary according to the use of the subsystem, for example according to the categories of line, hub and/or vehicles provided for in Annex I;

(d) determine the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the rail system;

(e) state, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents, on the one hand, or the "EC" verification of the subsystems, on the other hand. These procedures shall be based on the modules defined in Decision 93/465/EEC;

(f) indicate the strategy for implementing the TSIs. In particular, it is necessary to specify the stages to be completed in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSIs shall be the norm;

(g) indicate, for the staff concerned, the professional qualifications and health and safety conditions at work required for the operation and maintenance of the above subsystem, as well as for the implementation of the TSIs.

4. Each TSI shall be drawn up on the basis of an examination of an existing subsystem and indicate a target subsystem that may be obtained gradually within a reasonable time-scale. Accordingly, the gradual adoption of the TSIs and compliance therewith will help gradually to achieve the interoperability of the rail system.

5. The TSIs shall retain, in an appropriate manner, the compatibility of the existing rail system of each Member State. With this objective, provision may be made for specific cases for each TSI, with regard to both network and vehicles; special attention must be given to the loading gauge, the track gauge or space between the tracks and vehicles originating from or destined for third countries. For each specific case, the TSIs shall stipulate the implementing rules of the elements of the TSIs indicated in paragraphs 3(c) to (g).

6. If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in a TSI, they shall be clearly identified in an Annex to the TSI as "open points". Article 16(3) shall apply to these aspects.

7. The TSIs shall not be an impediment to decisions by the Member States concerning the use of infrastructures for the movement of vehicles not covered by the TSIs.

8. TSIs may make an explicit, clearly identified reference to European or international standards or specifications or technical documents published by the Agency where this is strictly necessary in order to achieve the objectives of this Directive. In such case, these standards or specifications (or the relevant parts) or technical documents shall be regarded as annexes to the TSI concerned and shall become mandatory from the moment the TSI is applicable. In the absence of such standards or specifications or technical documents and pending their development, reference may be made to other clearly

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identified normative documents; in such case, this shall concern documents that are easily accessible and in the public domain.

Article 6

Adoption, review and publication

1. Draft TSIs and subsequent draft amendments to TSIs shall be drafted by the Agency under a mandate from the Commission in accordance with the procedure set out in Article 21(3). They shall be drafted in accordance with Articles 3 and 12 of Regulation (EC) No 881/2004▌ and in cooperation with the working parties mentioned in those Articles.

The measures designed to amend non-essential elements of this Directive by supplementing it with TSIs or amendments thereto shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 21(4).

On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 21(4a).

2. The Agency shall be responsible for preparing the review and updating of TSIs and making any recommendations to the Commission in order to take account of developments in technology or social requirements. The Commission shall inform the Committee referred to in Article 21 about such recommendations.

3. Each draft TSI shall be drawn up in two stages.

First of all, the Agency shall identify the basic parameters for the TSI as well as the interfaces with the other subsystems and any other specific cases that may be necessary. The most viable alternative solutions accompanied by technical and economic justification shall be put forward for each of these parameters and interfaces.

The Agency shall then draw up the draft TSI on the basis of these basic parameters. Where appropriate, the Agency shall take account of technical progress, of standardisation work already carried out, of working parties already in place and of acknowledged research work. An overall assessment of the estimated costs and benefits of the implementation of the TSIs shall be attached to the draft TSI; this assessment shall indicate the likely impact for all the operators and economic agents involved.

4. The drafting, adoption and review of each TSI (including the basic parameters) shall take account of the estimated costs and benefits of all the technical solutions considered, together with the interfaces between them, so as to establish and implement the most viable solutions. The Member States shall participate in this assessment by providing the requisite data.

5. The Committee referred to in Article 21 shall be kept regularly informed of the preparatory work on the TSIs. During this work the Commission may, at the request of the Committee, formulate any terms of reference or useful recommendations concerning the design of the TSIs and the cost-benefit analysis. In particular, the Commission may,

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at the request of a Member State, require that alternative solutions be examined and that the assessment of the cost and benefits of these alternative solutions be set out in the report annexed to the draft TSI.

6. On the adoption of each TSI, the date of entry into force of that TSI shall be established in accordance with the procedure set out in Article 21(4). Where different subsystems have to be placed in service simultaneously for reasons of technical compatibility, the dates of entry into force of the corresponding TSIs shall be the same.

7. The drafting, adoption and review of the TSIs shall take account of the opinion of users, as regards the characteristics which have a direct impact on the conditions in which they use the subsystems. To that end the Agency shall consult associations and bodies representing users during the drafting and review phases of the TSIs. They shall enclose with the draft TSI a report on the results of this consultation.

The list of associations and bodies to be consulted shall be drawn up by the Commission, after consulting the Committee in accordance with the procedure referred to in Article 21(2), and may be re-examined and updated at the request of a Member State or on the initiative of the Commission.

8. The drafting, adoption and review of the TSIs shall take account of the opinion of the social partners as regards the conditions referred to in Article 5(3)(g).

To this end, the social partners shall be consulted before the draft TSI is submitted, for adoption or review, to the Committee referred to in Article 21.

The social partners shall be consulted in the context of the Sectoral Dialogue Committee set up in accordance with Commission Decision 98/500/EC1. The social partners shall issue their opinion within three months.

9. When revision of a TSI leads to a change of requirements, the new TSI version shall ensure compatibility with subsystems already placed in service according to former TSI versions.

In case a new authorisation or renewal or upgrading of these subsystems are needed for duly justified safety or interoperability reasons, corresponding deadlines shall be fixed either in the TSI or, as appropriate, by the Member States.

10. The TSIs shall be published by the Commission in the Official Journal of the European Union.

Article 7

Deficiencies of TSIs

1. If, after adoption of a TSI it appears that it does not fully meet the essential requirements, the Committee referred to in Article 21 may be consulted at the request of a Member State or upon the initiative of the Commission.

1 OJ L 225, 12.8.1998, p. 27.

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The Commission may request a technical opinion from the Agency. The Commission , with the involvement of the Committee, shall analyse the technical opinion.

2. If the TSI needs to be amended because of a minor error and this does not justify an immediate revision of the TSI, the Commission may recommend that the technical opinion is used pending the review of the TSI in accordance with Article 6(1) ; if such is the case, the Agency shall publish the technical opinion.

3. If the TSI needs to be amended because of an important or critical error, the revision procedure referred to in Article 6(1) shall be applied immediately.

Article 8

Extension of the scope of the TSIs

1. The Commission shall adopt, following the procedure set out in Article 21 (3), one or more mandates aiming at the development of new TSIs and/or the review of TSIs already adopted with a view to covering the lines and vehicles not yet covered.

2. The first such mandate shall indicate a first group of new TSIs and/or amendments to TSIs to be adopted by January 2012, without prejudice to Article 5(5) as regards the possibility of providing for specific cases and without prejudice to Article 7 allowing for derogations in particular circumstances. This first mandate shall be drawn up on the basis of a recommendation from the Agency with a view to determining the new TSIs to be developed and/or the existing ones to be amended in the light of the expected cost-effectiveness of each proposed measure and on the principle of proportionality of measures taken at Community level. To this end, appropriate consideration shall be given to Annex I point 4 and the necessary balance between, on one hand, the objectives of uninterrupted movement of trains and of technical harmonisation, and, on the other hand, the trans-European, national, regional or local level of traffic considered.

3. Until such time as the extension of the scope of the TSIs to cover the whole of the rail network takes effect:

(a) authorisations for placing in service

- of vehicles and on-board control-command and signalling subsystems to be used at least partially on the part of the network that does not yet fall within the scope of the TSIs, in respect of that part of the network,

- of infrastructure, energy and trackside control-command and signalling subsystems on the parts of the network that do not yet fall within the scope of the TSIs,

shall be granted in accordance with the national rules referred to in Article 8 of Directive 2004/49/EC; or, where applicable, Article 16(3) of this Directive;

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(b) authorisations for placing in service vehicles to be sometimes used on the part of the network that does not yet fall within the scope of the TSIs, in respect of that part of the network, shall be issued in accordance with Articles 18a2 to 19 of this Directive and the national rules referred to in Article 8 of Directive 2004/49/EC, or, where applicable, article 16(3) of this directive.

4. A Member State need not apply the new or revised TSIs adopted in accordance with paragraph 2 in the case of projects at an advanced stage of development or subject to a contract in the course of performance when the relevant group of TSIs are published.

Article 9

Derogations

1. In the absence of relevant specific cases, a Member State need not apply one or more TSIs▌ in accordance with this Article in the following cases

(a) for a proposed new subsystem , for the renewal or upgrading of an existing subsystem , or for any element referred to Article 1(1) at an advanced stage of development or the subject of a contract in course of performance when these TSIs are published;

(b) for any project concerning the renewal or upgrading of an existing subsystem where the loading gauge, track gauge, space between the tracks, or electrification voltage in these TSIs is not compatible with those of the existing subsystem ;

(c) for a proposed new subsystem or for the proposed renewal or upgrading of an existing subsystem in the territory of that Member State when its rail network is separated or isolated by the sea or separated as a result of special geographical conditions from the rail network of the rest of the Community;

(d) for any proposed renewal, extension or upgrading of an existing subsystem , when the application of these TSIs would compromise the economic viability of the project and/or the compatibility of the rail system in the Member State;

(e) where, following an accident or a natural disaster, the conditions for the rapid restoration of the network do not economically or technically allow for partial or total application of the relevant TSIs;

(f) for vehicles from or going to third countries the track gauge of which is different from that of the main rail network within the Community.

2. In all cases, the Member State concerned shall notify to the Commission a file containing the information set out in Annex VIII. The Commission shall analyse the measures proposed by the Member State and shall inform the Committee referred to in Article 21.

3. In the case referred to in paragraph 1(a), within one year of entry into force of each TSI each Member State shall notify the Commission a list of projects that are within its territory and in an advanced stage of development.

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4. In the cases referred to in paragraph 1(a), (c) and (e), the Commission shall check that the file is in conformity and shall inform the Member States of the results of its analysis. ▌Where necessary, a recommendation shall be drawn up concerning the specifications to be applied. The Member State may apply the alternative provisions without delay.

5. In the cases referred to in paragraph 1(b), (d) and (f), the Commission shall decide, in accordance with the procedure provided for in Article 21 (3), if the derogation request is accepted . Nevertheless, in the case referred to in paragraph 1(b) the Commission's decision shall not cover the loading gauge and the track gauge. The Commission shall give its decision within six months of the presentation of the request supported by the complete file. In the absence of such a decision the request shall be deemed to have been accepted. . Pending the Commission's decision, in the case referred to in paragraph 1(f), a Member State may ▌apply the alternative provisions.

6. All Member States shall be informed of the results of the analyses and of the outcome of the procedure referred to in paragraphs 4 and 5.

CHAPTER III

INTEROPERABILITY CONSTITUENTS

Article 10

Placing on the market of interoperability constituents

1. Member States shall take all necessary steps to ensure that interoperability constituents:

(a) are placed on the market only if they enable interoperability to be achieved within the rail system while at the same time meeting the essential requirements;

(b) are used in their area of use as intended and are suitably installed and maintained.

These provisions shall not obstruct the placing on the market of these constituents for other applications.

2. Member States may not, in their territory and on grounds concerning this Directive, prohibit, restrict or hinder the placing on the market of interoperability constituents for use in the rail system where they comply with this Directive. In particular, they may not require checks which have already been carried out as part of the procedure of "EC" declaration of conformity or suitability for use, the components of which are set out in Annex IV.

▌

Article 11

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Conformity or suitability for use

1. Member States shall consider as complying with the essential requirements of this Directive applying to them those interoperability constituents which bear the "EC" declaration of conformity or suitability for use.

2. All interoperability constituents shall be subject to the procedure for assessing conformity and suitability for the use indicated in the respective TSI and shall be accompanied by the corresponding certificate.

3. Member States shall consider that an interoperability constituent meets the essential requirements if it complies with the conditions laid down by the corresponding TSI or the corresponding European specifications developed to comply with these conditions.

4. Spare parts for subsystems that are already placed in service when the corresponding TSI enters into force may be installed in these subsystems without having to undergo the procedure referred to in paragraph 2.

5. TSIs may provide for a period of transition for rail products identified by these TSIs as interoperability constituents which have already been placed on the market when the TSIs enter into force. ▌Such constituents must satisfy the requirements of Article 10(1).

Article 12

Non-compliance of European specifications with essential requirements

Where it appears to a Member State or the Commission that European specifications used directly or indirectly to achieve the objectives of this Directive do not meet the essential requirements, the Committee referred to in Article 21 shall be informed and the Commission shall adopt the most appropriate measure, i.e.

partial or total withdrawal of the specifications concerned from the publications containing them, or their amendment, after consultation, where European standards are involved, of the Committee set up under Directive 98/34/EC, or

review of the TSI in accordance with Article 7.

Article 13

Procedure for "EC" declaration of conformity or suitability for use

1. In order to establish the "EC" declaration of conformity or suitability for use of an interoperability constituent, the manufacturer or his authorised representative established in the Community shall apply the provisions laid down by the relevant TSIs.

2. Where the corresponding TSI so requires, assessment of the conformity or suitability for use of an interoperability constituent shall be carried out by the notified body with

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which the manufacturer or his authorised representative established in the Community has lodged the application.

3. Where interoperability constituents are the subject of other Community directives covering other aspects, the "EC" declaration of conformity or suitability for use shall, in such instances, state that the interoperability constituents also meet the requirements of those other directives.

4. Where neither the manufacturer nor his authorised representative established in the Community has met the obligations arising out of paragraphs 1 and 3, those obligations shall be incumbent on any person who places interoperability constituents on the market. The same obligations shall apply to whomsoever assembles interoperability constituents or parts of interoperability constituents having diverse origins or manufactures interoperability constituents for his own use, for the purposes of this Directive.

5. Without prejudice to the provisions of Article 13:

(a) in each instance where the Member State finds that the "EC" declaration of conformity has been drawn up improperly, the manufacturer or his authorised representative established in the Community shall be required, if necessary, to restore the interoperability constituent to a state of conformity and to terminate the infringement under the conditions laid down by that Member State;

(b) where non-conformity persists, the Member State shall take all appropriate steps to restrict or prohibit the placing on the market of the interoperability constituent at issue, or to ensure that it is withdrawn from the market in accordance with the procedures provided for in Article 13.

Article 14

Non-compliance of interoperability constituents with essential requirements

1. Where a Member State finds that an interoperability constituent covered by the "EC" declaration of conformity or suitability for use and placed on the market is unlikely, when used as intended, to meet the essential requirements, it shall take all necessary steps to restrict its field of application, prohibit its use or withdraw it from the market. The Member States shall forthwith inform the Commission of the measures taken and give the reasons for its decision, stating in particular whether failure to conform is due to:

(a) failure to meet the essential requirements;

(b) incorrect application of European specifications where application of such specifications is relied upon;

(c) inadequacy of European specifications.

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2. The Commission shall consult the parties concerned as quickly as possible. Where, following that consultation, the Commission establishes that the measure is justified it shall forthwith inform the Member State that has taken the initiative as well as the other Member States thereof. Where, after that consultation, the Commission establishes that the measure is unjustified it shall forthwith inform the Member State that has taken the initiative and the manufacturer or his authorised representative established within the Community thereof. Where the decision referred to in paragraph 1 is justified by the existence of a gap in European specifications, the procedure defined in Article 11 shall apply.

3. Where an interoperability constituent bearing the "EC" declaration of conformity fails to comply, the competent Member State shall take appropriate measures against whomsoever has drawn up the declaration and shall inform the Commission and the other Member States thereof.

4. The Commission shall ensure that the Member States are kept informed of the course and results of that procedure.

CHAPTER IV

SUBSYSTEMS

Article 15

Procedure for placing in service

1. Without prejudice to Chapter V, each Member State shall authorise the placing in service of those structural subsystems constituting the rail system which are located or operated in its territory.

To this end, Member States shall take all appropriate steps to ensure that these subsystems may be placed in service only if they are designed, constructed and installed in such a way as to meet the essential requirements concerning them when integrated into the rail system. In particular, they shall check

- the technical compatibility of these subsystems with the system into which they are being integrated;

▌- the safe integration of these subsystems ▌in accordance with the Articles 4(3) and 6 (3) of Directive 2004/49/EC.

2. Each Member State shall check before these subsystems, are placed in service that they comply, where applicable, with the relevant TSI provisions on operation and maintenance.

3. After these subsystems have been placed in service, the check shall be carried out :

(a) for infrastructures, in the context of granting and supervision of safety authorisations under Article 11 of ▌Directive 2004/49/EC .

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(b) for vehicles, in the context of granting and supervision of safety certificates under Article 10 of Directive 2004/49/EC

To that end, the assessment and verification procedures laid down in the respective structural and functional TSIs shall be used.▌

Article 16

Free movement of subsystems

Without prejudice to the provisions of Article 14(1), Member States may not, in their territory and on grounds concerning this Directive, prohibit, restrict or hinder the construction, placing in service and operating of structural subsystems constituting the rail system which meet the essential requirements. In particular, they may not require checks which have already been carried out:

- either as part of the procedure leading to the "EC" declaration of verification, the components of which are set out in Annex V;

- or in other Member States, before or after the entry into force of this Directive, with a view to verifying compliance with identical requirements under identical operation conditions.

Article 17

Conformity with TSIs and national rules

1. Member States shall consider as being interoperable and meeting the essential requirements concerning them, those structural subsystems constituting the rail system which are covered by the "EC" declaration of verification.

2. Verification of the interoperability, in accordance with the essential requirements, of a structural subsystem constituting the rail system shall be established by reference to TSIs where they exist.

3. Member States shall draw up , for each subsystem, a list of the technical rules in use for implementing the essential requirements and notify this list to the Commission when:

- no relevant TSI exists,

- a derogation has been notified under Article 7 or ,

- a specific case requires the application of technical rules not included in the relevant TSI, .

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This list shall be notified either:

- each time the list of technical rules that, pursuant to Article 16(3) of Directive 96/48/EC and Article 16(3) of Directive 2001/16/EC had to be notified by 30 April 2005, is changed, or

- after the derogation has been notified, or

- after publication of the TSI concerned .

On that occasion, Member States shall also designate the bodies responsible for carrying out, in the case of these technical regulations, the verification procedure referred to in Article 17.

The Commission shall communicate this information to the Agency, which shall publish it.Member States shall make available the full text of the notified rules upon request of the Commission. In order to prevent further barriers from being created, and with a view to the taking forward the classification of national rules as per Article 19, the Commission shall monitor the introduction of new rules by Member States. If the Commission considers that the new rule constitutes a means of arbitrary discrimination or a disguised restriction on rail transport operations between Member States, a decision, addressed to the Member State concerned, shall be adopted in accordance with the procedure referred to in Article 21(3).

As regards rules and restrictions of a strictly local nature, Member States may choose not to notify these as provided for in this paragraph. In such a case, Member States shall refer to such rules and restrictions in the infrastructure registers referred to in Article 24.

Member States shall ensure binding technical rules are published and made available to all infrastructure managers, railway undertakings, applicants for authorisations of placing in service in clear language that can be understood by the parties concerned.

Article 18

Procedure for establishing the "EC" declaration of verification

1. In order to establish the "EC" declaration of verification, the applicant shall invite the notified body that it has selected for that purpose to apply the "EC" verification procedure referred to in Annex VI. The applicant may be the contracting entity or the manufacturer , or their authorised representative within the Community.

2. The task of the notified body responsible for the "EC" verification of a subsystem shall begin at the design stage and cover the entire manufacturing period through to the acceptance stage before the subsystem is put into service. It shall also cover verification of the interfaces of the subsystem in question with the system into which it is incorporated, based on the information available in the relevant TSI and in the registers provided for in Articles 23c and 24.

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3. The notified body shall be responsible for compiling the technical file that has to accompany the "EC" declaration of verification. This technical file must contain all the necessary documents relating to the characteristics of the subsystem and, where appropriate, all the documents certifying conformity of the interoperability constituents. It should also contain all the elements relating to the conditions and limits of use and to the instructions concerning servicing, constant or routine monitoring, adjustment and maintenance.

4. The notified body may issue intermediate statement verifications to cover certain stages of the verification procedure or certain parts of the subsystem. In such a case, the procedure set out in Annex VI shall apply.

5. If the relevant TSIs allow, the notified body may issue certificates of conformity for a series of subsystems or certain parts of those subsystems.

Article 19

Non-compliance of subsystems with essential requirements

1. Where a Member State finds that a structural subsystem covered by the "EC" declaration of verification accompanied by the technical file does not fully comply with this Directive and in particular does not meet the essential requirements, it may request that additional checks be carried out.

2. The Member State making the request shall forthwith inform the Commission of any additional checks requested and set out the substantiating reasons therefor. The Commission shall consult the interested parties.

3. The Member State making the request shall state whether the failure to fully comply with this Directive is due to:

(a) non-compliance with the essential requirements or a TSI , or incorrect application of a TSI. In such a case, the Commission shall immediately inform the Member State where the person who drew up the "EC" declaration of verification in error resides and shall ask that Member State to take the appropriate measures;

(b) inadequacy of a TSI. In such a case, the procedure for amending the TSI as referred to in Article 6(a) shall apply.

Article 20

Placing in service of existing subsystems after renewal or upgrading

1. In the event of renewal or upgrading, the contracting entity or the manufacturer shall send the Member State concerned a file describing the project. The Member State shall examine this file and, taking account of the implementation strategy indicated in the

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applicable TSI, shall decide whether the size of the works means that a new authorisation for placing in service within the meaning of this Directive is needed.

Such new authorisation for placing in service shall be required whenever the overall safety level of the subsystem concerned may be adversely affected by the works envisaged. If a new authorisation is needed, the Member State shall decide to what extent the TSIs need to be applied to the project.

The Member State shall take its decision not later than four months after submission of the complete file by the applicant.

2. When a new authorisation is required and if the TSI is not fully applied, the Member States shall notify the following information to the Commission:

- the reason why the TSI(s) is/are not fully applied;

- the technical characteristics applying instead of the TSI;

- the bodies responsible for applying, in the case of those characteristics, the verification procedure referred to in Article 17.

3. The Commission shall communicate the information referred to in paragraph 2 to the Agency, which shall publish it.

CHAPTER V

VEHICLES

Article 21

Authorisation of placing in service of vehicles

1. Before being used on a network, a vehicle shall be authorised to be placed in service by the national safety authority which is competent for this network, unless otherwise provided for in this Chapter.

2. A TSI conform vehicle shall be authorised according to Articles 18 b or 18b2.

3. A non TSI conform vehicle shall be authorised according to Article 18 c or 18 d.

4. A vehicle which is conform to an authorised type shall be authorised according to Article 18e.

5. An authorisation granted by one Member State shall be valid in all the other Member States, without prejudice to the provisions of Articles 18b2 and 18d concerning additional authorisations. Member States shall clarify by adopting specific national rules or through national provisions implementing this directive if additional authorisations are needed in accordance with the relevant provisions of Article 18b2 in

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the case of TSI conform vehicles or Article 18d in the case of non TSI conform vehicles.

6. All applications for an authorisation to place in service shall be subject of a decision by the competent national safety authority, pursuant to Articles 18b and 18b2 or Articles 18c and 18d. The authorisation to place in service may stipulate conditions of use and other restrictions.

7. Any decision by a competent national safety authority refusing the placing in service of a railway vehicle shall be duly substantiated. The applicant may within a period of one month as from receipt of the negative decision request from the competent national safety authority that the decision be reviewed for duly justified reasons. The national safety authority shall then have two months starting from receipt of the appeal to confirm or reverse its decision. If the negative decision is confirmed, the applicant may request from the appeal body designated by the competent Member State under Article 17(3) of the Railway Safety Directive that the decision be reviewed for duly justified reasons. Member states may designate their Regulatory Body set up in accordance with Article 30 of Directive 2001/14/EC for the purpose of this appeal procedure.

8. In the absence of a decision, referred to in Article18b2(7) and 18d(5), by a competent national safety authority within the prescribed time limits, the placing in service of the rail vehicle in question shall be deemed to have been authorised after a period of three months starting at the end of these time limits. The authorisations gained as a result of this paragraph are only valid on the network for which the competent national safety authority did not react within the prescribed limits.

9. A national safety authority who intends to revoke an authorisation of placing in service granted by itself or an authorisation enjoyed by the applicant under paragraph 4d shall use the procedure of revision of safety certificates referred to in Article 10(5) of the Railway Safety Directive or, where applicable, the procedure of revision of safety authorisations referred to in Article 11(2) of the said directive.

10. In the case of an appeal procedure, the competent appeal body referred to in paragraph 4c may request from the Agency an opinion which, in such a case, shall be issued within one month of the request being filed and notified to the applicant, to the competent appeal body and to the competent national safety authority refusing to grant authorisation.

11. In the case of vehicles running from/to one Member State to/from a third country, on a network whose track gauge is different from that of the main rail network within the Community and for which a derogation may be granted in accordance with Article 7(5) or which are subject to specific cases, the national rules referred to in Articles 18 b and 18 c may include international agreements insofar as they are compatible with Community legislation.

12. Authorisations for placing in service which have been granted before the entry into force of this Directive, including authorisations delivered under international agreements, in particular RIC and RIV, shall remain valid in accordance with the

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conditions under which the authorisations have been granted. This provision takes precedence over Articles 18b, 18b2, 18c and 18d.

13. Member States may issue authorisations to place in service a series of vehicles. To that end, the national safety authorities shall notify the applicant of the procedure to be followed.

14. The authorisations for placing in service delivered in accordance with this Article are without prejudice to other conditions imposed on railway undertakings and infrastructure managers, for operating such vehicles on the relevant network, pursuant to Articles 9, 10 and 11 of the Railway Safety Directive.

Article 22

First authorisation of placing in service of TSI conform vehicles

1. This Article shall apply to vehicles which are in conformity with all the relevant TSIs which are in force at the moment of placing in service , provided that a significant part of the essential requirements has been laid down in these TSIs and that the relevant TSI on rolling stock have entered into force and are applicable.

2. The first authorisation shall be given by a National Safety Authority as follows:

(a) In the case all the structural subsystems of a vehicle have been authorised in conformity with the provisions of Chapter IV , the authorisation shall be granted without further checks .

(b) In the case of vehicles bearing all necessary "EC" declarations of verification as provided for in Article 17 , the criteria which a national safety authority may check with a view to issuing an authorisation for placing in service may concern only:

- technical compatibility between the vehicle's relevant subsystems and their safe integration according to article 14 (1)

- technical compatibility between the vehicle and the network concerned;

- the national rules applicable to the open points

- the national rules applicable to the specific cases duly identified in the relevant TSIs;

Article 23

Additional authorisations for placing in service of TSI conform vehicles

1. Vehicles in complete conformity with TSIs, covering all aspects of the relevant subsystems without specific cases and without open points strictly related to technical

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compatibility between vehicle and network, shall not need any additional authorisation for placing in service as long as they run on TSI conform networks in the other Member States or at the conditions specified in the corresponding TSIs.

2. In the case of vehicles placed in service in accordance with Article 18b but not referred to in paragraph 1 , Member States shall decide if additional authorisations are necessary on their territory. In this case, paragraphs 3 to 7 are applicable.

3. The applicant shall submit to the national safety authority a file on the vehicle or type of vehicle and the intended use on the network. The file shall contain the following information:

(a) documentary evidence that the placing in service of the vehicle has been authorised in another Member State in accordance with Article 18b;

(b) a copy of the technical file as referred to in Annex VI. This includes, in case of vehicles equipped with data recorders, information on the data collection procedure, permitting read out and evaluation, as long as this information is not harmonised by the corresponding TSI.

(c) the records that show the vehicle’s history of maintenance and, where applicable, technical modifications undertaken after the authorisation;

(d) evidence on technical and operational characteristics that shows that the vehicle is compatible with the infrastructures and fixed installations (including climate conditions, energy supply system, signalling and control command system, track gauge and infrastructure gauges, maximum permitted axle load and other constraints of the network).

4. The criteria which a national safety authority checks may concern only:

- technical compatibility between the vehicle and the network concerned including the national rules applicable to the open points needed to ensure such compatibility;

- the national rules applicable to the specific cases duly identified in the relevant TSIs.

5. The national safety authority may ask for additional information to be supplied, for risk analyses to be carried out in accordance with Article 6(3)(a) of Directive 2004/49/EC or for tests to be conducted on the network in order to verify the criteria referred to in paragraph 4. However, after the adoption of the reference document referred to in Article 19 of this Directive, the national safety authority may only carry out such verification on the basis of the national rules relating to Group B or C featuring in this document

6. The national safety authority shall define, after consultation of the applicant, the scope and content of the additional information, the risk analyses or the tests requested. The infrastructure manager, in consultation with the applicant, shall make every effort to ensure that any tests can take place within three months of the applicant's

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request. Where appropriate, the national safety authority shall take measures so that the tests can take place.

7. All applications for an authorisation to place in service submitted in accordance with this Article shall be the subject of a decision by the national safety authority, to be taken as soon as possible and not later than:

(a) two months after submission of the file referred to in paragraph 3;

(b) where applicable, one month after provision of any additional information requested by the national safety authority;

(c) where applicable, one month after provision of the results of any tests requested by the national safety authority.

Article 24

First authorisation of placing in service of non TSI conform vehicles

1. This Article shall apply to vehicles which are not in conformity with all the relevant TSIs which are in force at the moment of placing in service , including vehicles subject to derogations, or when a significant part of the essential requirements has not been laid down in one or more TSIs .

2. The first authorisation shall be given by a National Safety Authority as follows:

- for the technical aspects covered by a TSI, if any, the "EC" verification procedure of Chapter IV shall apply;

- for the other technical aspects, national rules as notified under Article 16(3) of this Directive and under Article 8 of the Railway Safety Directive shall apply.

This first authorisation is only valid on the network of the Member State issuing it.

Article 25

Additional authorisations of placing in service of non TSI conform vehicles

1. In the case of vehicles that have been authorised to be placed in service in one Member State in accordance with Article 18a2(6) or Article 18c, other Member States may decide in accordance with this Article if additional authorisations to place in service are necessary on their territory.

2. The applicant shall submit to the national safety authority a technical file on the vehicle or type of vehicle together with details of planned use on the network. The file shall contain the following information:

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(a) documentary evidence that the placing in service of the vehicle has been authorised in another Member State together with documentation on the procedure followed in order to show that the vehicle complied with the safety requirements in force, including, where applicable, information on derogations enjoyed or granted in accordance with Article 7;

(b) the technical data, the maintenance programme and the operational characteristics. This includes, in case of vehicles equipped with data recorders, information on the data collection procedure, permitting read out and evaluation as provided for in Article 20(2)(c) of the Rail Safety Directive ;

(c) the records that show the vehicle’s history of operation, maintenance and, where applicable, technical modifications undertaken after the authorisation;

(d) evidence on technical and operational characteristics that shows that the vehicle is compatible with the infrastructures and fixed installations (including climate conditions, energy supply system, signalling and control command system, track gauge and infrastructure gauges, maximum permitted axle load and other constraints of the network).

3. The information referred to in paragraph 2(a) and (b) cannot be called into question by the national safety authority, save where the latter is able to demonstrate without prejudice to Article 15 the existence of a substantial safety risk. After the adoption of the reference document referred to in Article 19, the national safety authority may not invoke in this regard any Group A rule listed in this document.

4. The national safety authority may ask for additional information to be supplied, for risk analyses to be carried out in accordance with Article 6(3)(a) of Directive 2004/49/EC or for tests to be conducted on the network in order to verify that the information referred to in paragraph 2(c) and (d) complies with the national rules in force as notified to the Commission pursuant to Article 8 of the Railway Safety Directive or to Article 16 of this Directive. However, after the adoption of the reference document referred to in Article 19 of this Directive, the national safety authority may only carry out such verification on the basis of the national rules relating to Group B or C featuring in this document.The national safety authority shall define, after consultation of the applicant, the scope and content of the additional information, the risk analyses or the tests requested. The infrastructure manager, in consultation with the applicant, shall make every effort to ensure that any tests can take place within three months of the applicant's request. Where appropriate, the national safety authority shall take measures so that the tests can take place.

5. All applications for an authorisation to place in service submitted in accordance with this Article shall be the subject of a decision by the national safety authority, to be taken as soon as possible and not later than:

(a) four months after submission of the technical dossier referred to in paragraph 2;

(b) where applicable, two months after provision of the additional information or risk analyses requested by the national safety authority pursuant to paragraph 4;

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(c) where applicable, two months after provision of the results of the tests requested by the national safety authority pursuant to paragraph 4;

Article 26

Authorisation of types of vehicles

1. Member States may issue authorisations of types of vehicles.

2. However, if Member States authorise a vehicle, they shall at the same time authorise the type of vehicle.

3. A vehicle conform to a type already authorised in a Member State shall be authorised by this Member State on the basis of a declaration of conformity to this type submitted by the applicant without further checks. However, in case the relevant provisions in TSIs and national rules on the basis of which a type of vehicle was authorised changed, Member States shall decide if authorisations of type already granted remain valid or need to be renewed. The criteria which a national safety authority checks in case of a renewed authorisation of type may only concern the changed rules. The renewal of the type authorisation does not affect authorisations of vehicles already granted on the basis of previously authorised types.

4. The model of declaration of conformity to the type shall be adopted by the Commission within one year after entry into force of this Directive on the basis of draft by the Agency and in accordance with the procedure of Article 21.3.

5. The declaration of conformity to the type shall be established in accordance with:

(a) for the TSI conform vehicles, the verification procedures of the relevant TSIs;

(b) for the TSI non conform vehicles, the verification procedures as defined in modules D or E of Decision 93/465/EEC. Where appropriate, the Commission may adopt an ad hoc verification procedure in accordance with the procedure of Article 21(3).

6. The applicant may ask for a type authorisation in several Member States at the same time. In this case, national safety authorities shall cooperate in view of simplifying the procedure and minimising administrative efforts.

7. Type authorisations shall be registered in the European Register of Authorised Types as referred to in Article 23c. This register shall specify the Member State or Member States in which a type of vehicle is authorised.

Article 27

Classification of national rules

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1. In order to facilitate the procedure for authorising the placing in service of vehicles referred to in Article 18d , the national rules shall be classified pursuant to Annex VIa .

2. Without prejudice to Article 22(3), at the latest six months after the entry into force of this Directive, the Agency shall review the parameters in section 1 of Annex VI a and make the recommendations it considers appropriate to the Commission.

3. The Agency shall draw up a recommendation for a reference document pursuant to Article 8a of Regulation (EC) No 881/2004. The national safety authorities shall cooperate with the Agency in this task.

4. On the basis of the Agency’s recommendation and in accordance with the procedure described in Article 21(3), the Commission shall adopt the reference document as well as any decision to update it .

CHAPTER VI

NOTIFIED BODIES

Article 28

Notified bodies

1. Member States shall notify to the Commission and the other Member States the bodies responsible for carrying out the procedure for the assessment of conformity or suitability for use referred to in Article 13 and the verification procedure referred to in Article 17, indicating each body's area of responsibility, and the identification numbers obtained in advance from the Commission. The Commission shall publish in the Official Journal of the European Union the list of bodies, their identification numbers and areas of responsibility, and shall keep the list updated.

2. Member States shall apply the criteria provided for in Annex VII for the assessment of the bodies to be notified. Bodies meeting the assessment criteria provided for in the relevant European standards shall be deemed to meet the said criteria.

3. A Member State shall withdraw approval from a body which no longer meets the criteria referred to in Annex VII. It shall forthwith inform the Commission and the other Member States thereof.

4. Should a Member State or the Commission consider that a body notified by another Member State does not meet the ▌criteria referred to in Annex VII , the Commission shall consult the parties concerned ▌.The Commission shall inform the latter Member State ▌of any changes that are necessary for the notified body to retain the status conferred upon it.

5. The Commission shall set up a notified bodies coordination group (hereinafter referred to as the coordination group) which shall discuss any matter relating to the application of the procedures for assessing conformity or suitability for the use referred to in Article 13

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and the verification procedure referred to in Article 17, or to application of the relevant TSIs. Member States' representatives may take part in the work of the coordination group as observers.

The Commission and the observers shall inform the committee referred to in Article 21 of the work carried out in the framework of this coordination group. The Commission, when appropriate, will propose the measures needed to remedy the problems. Where necessary, coordination of the notified bodies shall be implemented in accordance with Article 22(4).

6. The first of the reports referred to in Article 28 shall also assess the implementation of the criteria specified in Annex VII, and, if necessary, propose appropriate measures.

CHAPTER VII

COMMITTEE AND WORK PROGRAMME

Article 29

Committee

1. The Commission shall be assisted by the Committee established by Article 21 of Directive 96/48/EC (hereinafter referred to as "the Committee").

2. Where reference is made to this paragraph, Article 3 and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.




▌

5. Where reference is made to this paragraph, Article 5a(1), (2), (4) and (6) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

Article 30

Complementary tasks

1. The Commission may submit to the Committee any matter relating to the implementation of this Directive. If necessary, the Commission shall adopt an

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implementing recommendation in accordance with the procedure referred to in Article 21(2).

2. The ▌Committee may discuss any matter relating to the interoperability of the rail system, including questions relating to interoperability between the ▌rail system within the Community and the rail system of third countries.

3. The measures designed to amend non-essential elements of this Directive, relating to the adaptation of the Annexes II to VIII shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 21(4)

4. Should it prove necessary, the Committee may set up working parties to assist it in carrying out its tasks, in particular with a view to coordinating the notified bodies.

Article 31

Work programme

1. The Commission shall draw up a work programme taking account of the extension of the scope provided for in Article 6b , of the amendment of the TSIs provided for in Article 6(1) and of the other tasks entrusted to it by this Directive. The Commission shall keep the Committee fully informed on and involved in the drawing up and updating of the programme.

2. The work programme shall consist of the following stages:

(a) development on the basis of a draft established by the Agency of a representative architecture of the Community rail system, based on the list of subsystems (Annex II), to guarantee consistency between TSIs; this architecture must include in particular the various constituents of this system and their interfaces and act as a reference framework for defining the areas of use of each TSI;

(b) development of a model structure for developing TSIs;

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(c) development of a method of cost-benefit analysis of the solutions set out in the TSIs;

(d) adoption of the mandates needed to draw up the TSIs;

(e) identification of the basic parameters for each TSI;

(f) approval of draft standardisation programmes;

(g) management of the transition period between the date of entry into force of Directive 2004/50/EC of the European Parliament and of the Council of 29 April 2004 amending Council Directive 96/48/EC on the interoperability of the trans-European high-speed rail system and Directive 2001/16/EC of the European Parliament and of the Council on the interoperability of the trans-European conventional rail system1 and publication of the TSIs, including the adoption of the reference system mentioned in Article 25.

CHAPTER VIII

REGISTERS OF NETWORK AND VEHICLES

Article 32

Vehicle numbering system

1. Any vehicle placed in service in the Community rail system shall carry an European vehicle number (EVN) assigned when the first authorisation of placing in service was issued.

2. The first autorisation's applicant is also responsible for marking the vehicle in question with the EVN assigned to it.

3. The EVN shall be specified in the TSI on operation and traffic management.

4. A vehicle shall be assigned an EVN only once, unless otherwise specified in the TSI on operation and traffic management.

5. Notwithstanding paragraph 1, in the case of vehicles operated or intended to be operated from or to third countries the track gauge of which is different from that of the main rail network within the Community, Member States may accept vehicles clearly identified according to a different coding system.

1 OJ L 164, 30.4.2004, p. 114.

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Article 33

National vehicle registers

1. Each Member State shall keep a register of the rail vehicles authorised in its territory. This register shall meet the following criteria:

(a) the register shall comply with the common specifications defined in paragraph 2;

(b) the register shall be kept and updated by a body independent of any railway undertaking;

(c) the register shall be accessible to the safety authorities and investigating bodies designated in Articles 16 and 21 of Directive 2004/49/EC ; it shall also be made accessible, in response to any legitimate request, to the regulatory bodies designated in Article 30 of Directive 2001/14/EC of the European Parliament and of the Council of 26 February 2001 on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification1, and to the Agency, to the railway undertaking and to the infrastructure managers as well as those persons/organisations registering vehicles or identified in the register .

2. The common specifications for the register shall be adopted in accordance with the procedure set out in Article 21(3), on the basis of the draft specifications prepared by the Agency. These draft specifications shall include: content, data format, functional and technical architecture, operating mode, including arrangement for exchange of data , rules for data input and consultation. For each vehicle, the register shall contain at least the following information:

(a) the EVN

(a) references to the EC declaration of verification and the issuing body;

(b) references to the European register of authorised types of vehicles mentioned in Article 23c ;

(c) identification of the owner of the vehicle and the keeper ;

(d) any restrictions on how the vehicle may be used;

(e) entity in charge of maintenance.

3. The registration holder shall immediately declare any modification to the data entered in the national vehicle register, the destruction of a vehicle or its decision to no longer register a vehicle, to the authority of any Member State where the vehicle has been authorised.

1 OJ L 75, 15.3.2001, p. 29. Directive as amended by Directive 2002/844/EC (OJ L 289, 26.10.2002, p. 30).

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4. As long as Member States' NVRs are not linked, each Member State shall update its register with the modifications made by another Member State in its own register, for the data it is concerned.

5. In the case of vehicles placed in service for the first time in a third country and authorised in a Member State for placing in service on its territory, this Member State shall ensure that the data listed in paragraph 2 (c), (d) and (e) can be retrieved through the national vehicle register. Data referred to in paragraph 2 (e) may be substituted by safety critical data relating to the maintenance schedule.

Article 34

European register of authorised types of vehicles

1. The Agency shall set up and keep a register of types of rail vehicles authorised by the Member States for placing in service on the European Community’s rail network. This register shall meet the following criteria:

(a) the register is public and accessible to all electronically;

(b) this register complies with the common specifications defined in paragraph 4;

(c) this register is linked with all NVRs.

2. This register shall include the following details for each type of vehicle:

(a) the technical characteristics of the type of vehicle, as defined in the relevant TSIs;

(b) the manufacturer’s name;

(c) the dates, references and issuing Member States of the successive authorisations for this type of vehicle, including any restrictions or withdrawals.

3. When an authorisation of type is granted, modified, suspended or withdrawn in a Member State, the national safety authority of this Member State shall inform the Agency, so that the latter may update the register.

4. The common specifications for the register shall be adopted in accordance with the procedure set out in Article 21(3), on the basis of the draft specifications prepared by the Agency. These draft specifications shall include: content, data format, functional and technical architecture, operating mode, and rules for data input and consultation.

Article 35

Register of infrastructure

1. Each Member State shall ensure that a register of infrastructure is published and updated on the basis of the revision cycle referred to in paragraph 2. This register shall indicate

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the main features of each subsystem or part subsystem involved (e.g. the basic parameters) and their correlation with the features laid down by the applicable TSIs. To that end, each TSI shall indicate precisely which information must be included in the register of infrastructure▌.

2.▌ The Agency shall prepare ▌draft specifications on the register referred to in this Article regarding the presentation and format of the register, its revision cycle and instructions for use , taking into account an appropriate transition period for infrastructures ▌placed in service before the entry into force of this Directive. The Commission shall adopt the specifications in accordance with the procedure referred to in Article 21(3).

CHAPTER IX

TRANSITIONAL PROVISIONS

Article 36

Draft reference systems

1. The Agency shall develop, in accordance with Articles 3 and 12 of Regulation (EC) No 881/2004, on the basis of the information notified by the Member States under Article 16(3), technical documents from the profession and the texts of the relevant international agreements, a draft reference system of technical rules ensuring the current degree of interoperability of the networks and vehicles that will be brought within the scope of this Directive as defined in Article 1. If necessary, the Commission shall adopt the reference system in accordance with the procedure referred to in Article 21(3).

2. Following adoption of the abovementioned reference system, Member States shall inform the Commission of their intention to adopt any national provision or of the development of any project in their territory which diverges from the reference system.

CHAPTER X

FINAL PROVISIONS

Article 37

Motivation

Any decision taken pursuant to this Directive concerning the assessment of conformity or suitability for use of interoperability constituents, the checking of subsystems constituting the rail system and any decision taken pursuant to Articles 6(a), 11, and 18 shall set out in detail the reasons on which it is based. It shall be notified as soon as possible to the party concerned, together with an indication of the remedies available under the laws in force in the Member State concerned and of the time limits allowed for the exercise of such remedies.

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Article 38

Transposition

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with Articles 1, 2 (points a-b-b(1)-f-g-j-k-n-p-q to x ), 4(2), 5(5), (5a), (7), 6(1), (2), (8a) and (9), 6a, 6b, 7, 10(4), 11, 14, 15, 16(3), 17(1), (2), (4) and (5), 18(3) , 18a, 18a2, 18b, 18b2, 18c, 18d, 18e, 19, 20(4) and (6), 23a, 23b, 23c, 24, and Annexes I to VIII not later than 24 months after the entry into force of this Directive. They shall forthwith communicate to the Commission the text of those provisions ▌.

When Member States adopt these measures , they shall contain a reference to this Directive or shall be accompanied by such ▌reference at the time of their official publication. The methods of making such reference shall be laid down by Member States. 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.

2. The obligations for transposition and implementation of Chapters IV, V, VII and VIII of this Directive shall not apply to Cyprus and Malta for as long as no railway system is established within their territory.

However, as soon as a public or private entity submits an official application to build a railway line in view of its operation by one or more railway undertakings, the Member States concerned shall put in place legislation to implement the Chapters referred to in previous subparagraph within one year from the receipt of the application.

Article 39

Reports and information

1. Every three years and for the first time three years after entry into force of this Directive the Commission shall report to the European Parliament and the Council on the progress made towards achieving interoperability of the rail system. That report shall also include an analysis of the cases set out in Article 7.

2. The Commission shall publish within 5 years from the entry into force of this Directive, a report including an analysis of the application of chapter V and of the improvements in the cross-acceptance of railway vehicles in the Community in terms of length and costs of the procedures for the applicants. Where appropriate, the report shall also assess the impact of various options for the further simplifying of procedures relating to the authorisation of vehicles. In this case several options concerning the cooperation between national safety authorities and the Agency shall be analysed. 3. The Agency shall develop and regularly update a tool capable of providing, at the request of a Member State or the Commission, a chart of the interoperability level of the rail system. That tool shall use the information available in the registers provided for in Article 24.

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Article 40

Repeal

Directives 96/48/EC and 2001/16/EC shall be repealed with effect from 24 months after the entry into force of this Directive , without prejudice to the obligations of the Member States concerning the time limits for transposition into national law and application of the said Directives.

References to the repealed Directives shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex X.

Article 14 of Directive 2004/49/EC is repealed at the moment of entry into force of this Directive.

Article 41

Entry into force

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

Articles , 2 ( points c, d, e, i, l, m, o ), 3, 4(1) , 5(1), (2), (3), (4) and (6) , 6(3),(4), (5), (6), (7) and(8) , 8, ,10(1) ,10(2) and (3) , 12, 13, 15, 16(1) and (2), 17(3), 18(1) and (2), 20, (1), (2), (3) and (5), 21, 22, 23, and 25 to 31 shall apply from the above date of entry into force.

Article 42

Addressees


Done at ...,

For the European Parliament For the CouncilThe President The President

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ANNEX I

SCOPE

1. TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

1.1. NETWORK

The network of the trans-European conventional rail system will be that on the lines of the trans-European transport network identified in Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the trans-European transport network1 or listed in any update to the same Decision as a result of the revision provided for in Article 21 of that Decision.

For the purposes of this Directive, this network may be subdivided into the following categories:

- lines intended for passenger services;

- lines intended for mixed traffic (passengers and freight);

- lines specially designed or upgraded for freight services;

- passenger hubs;

- freight hubs, including intermodal terminals;

- lines connecting the abovementioned elements.

This network includes traffic management, tracking, and navigation systems: technical installations for data processing and telecommunications intended for long-distance passenger services and freight services on the network in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

1.2. VEHICLES

The trans-European conventional rail system shall comprise all the vehicles likely to travel on all or part of the trans-European conventional rail network, including:

- self-propelling thermal or electric trains;

- thermal or electric traction units;

- passenger carriages;

- freight wagons, including vehicles designed to carry lorries.

1 OJ L 228, 09.9.1996, p. 1. Decision as amended by Decision No 1346/2001/EC (OJ L 185, 6.7.2001, p. 1).

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Mobile railway infrastructure construction and maintenance equipment may be included ▌.

Each of the above categories may be subdivided into:

- vehicles for international use;

- vehicles for national use.

2. TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

2.1. NETWORK

The network of the trans-European high-speed rail system shall be that of the lines of the trans-European transport network identified in Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the trans-European transport network1 or listed in any update of that Decision as a result of the revision provided for in Article 21 of that Decision.

The high-speed lines shall comprise:

- specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h,

- specially upgraded high-speed lines equipped for speeds of the order of 200 km/h,

- specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning constraints, on which the speed must be adapted to each case. This category also includes interconnecting lines between the high-speed and conventional networks, lines through stations, accesses to terminals, depots, etc. travelled at conventional speed by "high-speed" rolling stock.

This network includes traffic management, tracking, and navigation systems, technical installations for data processing and telecommunications intended for ▌services on these lines in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

2.2. VEHICLES

The trans-European high speed rail system shall comprise vehicles designed to operate:

- either at speeds of at least 250 km/h on lines specially built for high speeds, while enabling operation at speeds exceeding 300 km/h in appropriate circumstances,

1 OJ L 228, 09.9.1996, p. 1. Decision as amended by Decision No 1346/2001/EC (OJ L 185, 6.7.2001, p. 1).

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- or at speeds of the order of 200 km/h on the lines of section 2.1 , where compatible with the performance levels of these lines.

In addition, vehicles designed to operate with a maximum speed lower than 200 km/h which are likely to travel on all or part of the trans-European high speed network, where compatible with the performance levels of this network, shall fulfil the requirements ensuring safe operation on this network. To this end, the TSIs for conventional vehicles shall also specify requirements for safe operation of conventional vehicles on High-speed networks.

3. COMPATIBILITY OF THE RAILWAY SYSTEM

The quality of rail services in Europe depends, inter alia, on excellent compatibility between the characteristics of the network (in the broadest sense, i.e. the fixed parts of all the subsystems concerned) and those of the vehicles (including the onboard components of all the subsystems concerned). Performance levels, safety, quality of service and cost depend upon that compatibility.

4. EXTENSION OF THE SCOPE

4.1. Subcategories of network and vehicles

The scope of the TSIs shall be progressively extended to the whole rail system as referred to in Article 1(4). In order to deliver interoperability cost-effectively further subcategories of all categories of network and vehicles mentioned in this Annex will, where necessary, be developed. If necessary, the functional and technical specifications mentioned in Article 5(3) may vary according to the subcategory.

4.2. Cost safeguards

The cost-benefit analysis of the proposed measures will take into consideration, among others, the following:

- cost of the proposed measure,

- benefits to interoperability of an extension of the scope to particular subcategories of networks and vehicles,

- reduction of capital costs and charges due to economies of scale and better utilisation of vehicles,

- reduction of investment and maintenance/operating costs due to increased competition between manufacturers and maintenance companies,

- environmental benefits, due to technical improvements of the rail system,

- increase of safety in operation.

In addition, this assessment will indicate the likely impact for all the operators and economic agents involved.

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ANNEX II

SUBSYSTEMS

1. LIST OF SUBSYSTEMS

For the purposes of this Directive, the system constituting the rail system may be broken down into the following two subsystems, either:

(a) structural areas:

- infrastructure;

- energy;

- control and command and signalling;

- rolling stock;

(b) operational areas:

- traffic operation and management ,

- maintenance;

- telematics applications for passenger and freight services.

2. DESCRIPTION OF THE SUBSYSTEMS

For each subsystem or part of a subsystem, the list of constituents and aspects relating to interoperability is proposed by the Agency at the time of drawing up the relevant draft TSI.

Without prejudging the choice of aspects and constituents relating to interoperability or the order in which they will be made subject to TSIs, the subsystems include, in particular:

2.1. Infrastructure:

The track, points, engineering structures (bridges, tunnels, etc.), associated station infrastructure (platforms, zones of access, including the needs of persons with reduced mobility, etc.), safety and protective equipment.

2.2. Energy

The electrification system , including overhead lines. and on board-part of the electric consumptions measuring equipment.

2.3. Control and command and signalling

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All the equipment necessary to ensure safety and to command and control movements of trains authorised to travel on the network.

2.4. Operation and traffic management

The procedures and related equipment enabling a coherent operation of the different structural subsystems, both during normal and degraded operation, including in particular training and train driving, traffic planning and management.

The professional qualifications which may be required for carrying out cross-border services.

2.5. Telematics applications:

In accordance with Annex I, this subsystem comprises two elements:

(a) applications for passenger services, including systems providing passengers with information before and during the journey, reservation and payment systems, luggage management and management of connections between trains and with other modes of transport;

(b) applications for freight services, including information systems (real-time monitoring of freight and trains), marshalling and allocation systems, reservation, payment and invoicing systems, management of connections with other modes of transport and production of electronic accompanying documents.

2.6. Rolling stock

Structure, command and control system for all train equipment, current-collection devices traction and energy conversion units, braking, coupling and running gear (bogies, axles, etc.) and suspension, doors, man/machine interfaces (driver, on-board staff and passengers, including the needs of persons with reduced mobility), passive or active safety devices and requisites for the health of passengers and on-board staff.

2.7. Maintenance

The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required.

ANNEX III

ESSENTIAL REQUIREMENTS

1. GENERAL REQUIREMENTS

1.1. Safety

1.1.1. The design, construction or assembly, maintenance and monitoring of safety-critical components, and more particularly of the components involved in train movements must

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be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations.

1.1.2. The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorized speed. The parameters of brake equipment must guarantee the maximum authorised speed and stopping in the given brake distance

1.1.3. The components used must withstand any normal or exceptional stresses that have been specified during their period in service. The safety repercussions of any accidental failures must be limited by appropriate means.

1.1.4. The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire.

1.1.5. Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the health and safety of users if used foreseeably in a manner not in accordance with the posted instructions.

1.2. Reliability and availability

The monitoring and maintenance of fixed or movable components that are involved in train movements must be organized, carried out and quantified in such a manner as to maintain their operation under the intended conditions.

1.3. Health

1.3.1. Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructures.

1.3.2. Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous fumes or gases, particularly in the event of fire.

1.4. Environmental protection

1.4.1. The environmental impact of establishment and operation of the rail system must be assessed and taken into account at the design stage of the system in accordance with the Community provisions in force.

1.4.2. The materials used in the trains and infrastructures must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire.

1.4.3. The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.

1.4.4. Operation of the rail system must respect existing regulations on noise pollution.

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1.4.5. Operation of the rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance.

1.5. Technical compatibility

The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those of the trains to be used on the rail system.

If compliance with these characteristics proves difficult on certain sections of the network, temporary solutions, which ensure compatibility in the future, may be implemented.

2. REQUIREMENTS SPECIFIC TO EACH SUBSYSTEM

2.1. Infrastructure

2.1.1. Safety

Appropriate steps must be taken to prevent access to or undesirable intrusions into installations.

Steps must be taken to limit the dangers to which persons are exposed, particularly when trains pass through stations.

Infrastructure to which the public has access must be designed and made in such a way as to limit any human safety hazards (stability, fire, access, evacuation, platforms, etc.).

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels and viaducts.

2.2. Energy

2.2.1. Safety

Operation of the energy-supply systems must not impair the safety either of trains or of persons (users, operating staff, trackside dwellers and third parties).

2.2.2. Environmental protection

The functioning of the electrical or thermal energy-supply systems must not interfere with the environment beyond the specified limits.

2.2.3. Technical compatibility

The electricity/thermal energy supply systems used must:

- enable trains to achieve the specified performance levels;

- in the case of electricity energy supply systems, be compatible with the collection

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devices fitted to the trains.

2.3. Control and command and signalling

2.3.1. Safety

The control and command and signalling installations and procedures used must enable trains to travel with a level of safety which corresponds to the objectives set for the network. The control and command and signalling systems should continue to provide for safe passage of trains permitted to run under degraded conditions.


All new infrastructure and all new rolling stock manufactured or developed after adoption of compatible control and command and signalling systems must be tailored to use of those systems.

The control and command and signalling equipment installed in the train drivers' cabs must permit normal operation, under the specified conditions, throughout the rail system.

2.4. Rolling stock

2.4.1. Safety

The rolling-stock structures and those of the links between vehicles must be designed in such a way as to protect the passenger and driving compartments in the event of collision or derailment.

The electrical equipment must not impair the safety and functioning of the control and command and signalling installations.

The braking techniques and the stresses exerted must be compatible with the design of the tracks, engineering structures and signalling systems.

Steps must be taken to prevent access to electrically-live constituents in order not to endanger the safety of persons.

In the event of danger devices must enable passengers to inform the driver and accompanying staff to contact him.

The access doors must incorporate an opening and closing system which guarantees passenger safety.

Emergency exits must be provided and indicated.

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

An emergency lighting system having a sufficient intensity and duration is an absolute requirement on board trains.

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Trains must be equipped with a public address system which provides a means of communication to the public from on-board staff▌.

2.4.2. Reliability and availability

The design of the vital equipment and the running, traction and braking equipment and also the control and command system must, in a specific degraded situation, be such as to enable the train to continue without adverse consequences for the equipment remaining in service.


The electrical equipment must be compatible with the operation of the control and command and signalling installations.

In the case of electric traction, the characteristics of the current-collection devices must be such as to enable trains to travel under the energy-supply systems for the rail system.

The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to operate, taking account of relevant climatic conditions.

2.4.4. Controls

Trains must be equipped with a recording device. The data collected by this device and the processing of the information must be harmonised.

2.5. Maintenance

2.5.1. Health and safety

The technical installations and the procedures used in the centres must ensure the safe operation of the subsystem and not constitute a danger to health and safety.

2.5.2. Environmental protection

The technical installations and the procedures used in the maintenance centres must not exceed the permissible levels of nuisance with regard to the surrounding environment.


The maintenance installations for conventional rolling stock must be such as to enable safety, health and comfort operations to be carried out on all stock for which they have been designed.

2.6. Operation and traffic management

2.6.1. Safety

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Alignment of the network operating rules and the qualifications of drivers and on-board staff and of the staff in the control centres must be such as to ensure safe operation, bearing in mind the different requirements of cross-border and domestic services.

The maintenance operations and intervals, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of safety.


The maintenance operations and periods, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of system reliability and availability.


Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers must be such as to ensure operating efficiency on the rail system, bearing in mind the different requirements of cross-border and domestic services.

2.7. Telematics applications for freight and passengers


The essential requirements for telematics applications guarantee a minimum quality of service for passengers and carriers of goods, particularly in terms of technical compatibility.

Steps must be taken to ensure:

– that the databases, software and data communication protocols are developed in a manner allowing maximum data interchange between different applications and operators, excluding confidential commercial data;

– easy access to the information for users.


The methods of use, management, updating and maintenance of these databases, software and data communication protocols must guarantee the efficiency of these systems and the quality of the service.

2.7.3. Health

The interfaces between these systems and users must comply with the minimum rules on ergonomics and health protection.

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2.7.4. Safety

Suitable levels of integrity and dependability must be provided for the storage or transmission of safety-related information.

ANNEX IV

CONFORMITY AND SUITABILITY FOR USE OF INTEROPERABILITY CONSTITUENTS

1. INTEROPERABILITY CONSTITUENTS

The "EC" declaration applies to the interoperability constituents involved in the interoperability of the rail system, as referred to in Article 3. These interoperability constituents may be:

1.1. Multiple-use constituents

These are constituents that are not specific to the railway system and which may be used as such in other areas.

1.2. Multiple-use constituents having specific characteristics

These are constituents which are not, as such, specific to the railway system, but which must display specific performance levels when used for railway purposes.

1.3. Specific constituents

These are constituents that are specific to railway applications.

2. SCOPE

The "EC" declaration covers:

- either the assessment by a notified body or bodies of the intrinsic conformity of an interoperability constituent, considered in isolation, to the technical specifications to be met;

- or the assessment/judgement by a notified body or bodies of the suitability for use of an interoperability constituent, considered within its railway environment and, in particular in cases where the interfaces are involved, in relation to the technical specifications, particularly those of a functional nature, which are to be checked.

The assessment procedures implemented by the notified bodies at the design and production stages will draw upon the modules defined in Decision 93/465/EEC, in accordance with the conditions referred to in the TSIs.

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3. CONTENTS OF THE "EC" DECLARATION

The "EC" declaration of conformity or of suitability for use and the accompanying documents must be dated and signed.

That declaration must be written in the same language as the instructions and must contain the following:

- the Directive references;

- name and address of the manufacturer or its authorized representative established within the Community (give trade name and full address; in the case of the authorised representative, also give the trade name of the manufacturer▌);

- description of interoperability constituent (make, type, etc.);

- description of the procedure followed in order to declare conformity or suitability for use (Article 13);

- all the relevant descriptions met by the interoperability constituent and, in particular, its conditions of use;

- name and address of the notified body or bodies involved in the procedure followed in respect of conformity or suitability for use and date of examination certificate together with, where appropriate, the duration and conditions of validity of the certificate;

- where appropriate, reference to the European specifications;

- identification of the signatory empowered to enter into commitments on behalf of the manufacturer or of the manufacturer's authorised representative established within the Community.

ANNEX V

DECLARATION OF VERIFICATION OF SUBSYSTEMS

The "EC" declaration of verification and the accompanying documents must be dated and signed.

That declaration must be written in the same language as the technical file and must contain the following:

- the Directive references;

- name and address of the contracting entity or the manufacturer , or its authorized representative established within the Community (give trade name and full address; in the case of the authorised representative, also give the trade name of the contracting entity or the manufacturer);

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- a brief description of the subsystem;

- name and address of the notified body which conducted the "EC" verification referred to in Article 17;

- the references of the documents contained in the technical file;

- all the relevant temporary or definitive provisions to be complied with by the subsystems and in particular, where appropriate, any operating restrictions or conditions;

- if temporary: duration of validity of the "EC" declaration;

- identity of the signatory.

ANNEX VI

VERIFICATION PROCEDURE FOR SUBSYSTEMS

1. INTRODUCTION

"EC" verification is the procedure whereby a notified body checks and certifies▌ that the subsystem:

- complies with the Directive;

- complies with the other regulations deriving from the Treaty, and may be put into operation.

2. STAGES

The subsystem is checked at each of the following stages:

- overall design;

- production: construction of subsystem, including, in particular, civil-engineering activities, manufacturing, constituent assembly, overall adjustment;

- final testing of the subsystem.

For the design stage (including the type tests) and for the production stage the applicant may apply for an assessment as a first step.

In this case, this assessment leads or these assessments lead to one or more intermediate statement verifications (ISV) issued by the Notified Body chosen by the applicant. This one in turn draws up an "EC declaration of intermediate subsystem conformity" for the relevant stages.

3. CERTIFICATE

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The notified body responsible for "EC" verification assesses the design and production of the subsystem and draws up the certificate of verification intended for the applicant, which in turn draws up the "EC" declaration of verification intended for the supervisory authority in the Member State in which the subsystem is located and/or operates.

If available, the Notified Body takes into account the "Intermediate Statements of Verification", and, in order to issue the "EC" certificate of verification, it:

- checks that the subsystem:

- is covered by relevant design and production ISVs, if the applicant has asked the Notified Body for these two phases, or

- corresponds as produced to all aspects covered by the design ISV delivered to the applicant, if it has asked the Notified Body only for the design phase,

- verifies that they cover correctly the requirement of the TSI and assesses the design and production elements that are not covered by the design and/or production ISV(s).

4. TECHNICAL FILE

The technical file accompanying the declaration of verification must be made up as follows:

- for infrastructure: engineering-structure plans, approval records for excavations and reinforcement, testing and inspection reports on concrete , etc.,

- for the other subsystems: general and detailed drawings in line with execution, electrical and hydraulic diagrams, control-circuit diagrams, description of data-processing and automatic systems, operating and maintenance manuals, etc.,

- list of interoperability constituents, as referred to in Article 3, incorporated into the subsystem,

- copies of the "EC" declarations of conformity or suitability for use with which the abovementioned constituents must be provided in accordance with Article 13 of the Directive accompanied, where appropriate, by the corresponding calculation notes and a copy of the records of the tests and examinations carried out by the notified bodies on the basis of the common technical specifications ,

- if available, the intermediate statement(s) of verification (ISV) and, in such a case, the "EC" declaration(s) of intermediate subsystem conformity, that accompany the "EC" certificate of verification, including the result of verification by the Notified Body of their validity,

- certificate from the notified body responsible for "EC" verification, accompanied by corresponding calculation notes and countersigned by itself, stating that the project complies with this Directive and mentioning any reservations recorded during performance of the activities and not withdrawn; the certificate should also be accompanied by the inspection and audit reports drawn up by the same body in connection with its task, as specified in sections 5.3 and 5.4.

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5. MONITORING

5.1. The aim of "EC" monitoring is to ensure that the obligations deriving from the technical file have been met during production of the subsystem.

5.2. The notified body responsible for checking production must have permanent access to building sites, production workshops, storage areas and, where appropriate, prefabrication or testing facilities and, more generally, to all premises which it considers necessary for its task. The applicant must send it or have sent to it all the documents needed for that purpose and, in particular, the implementation plans and technical documentation concerning the subsystem.

5.3. The notified body responsible for checking implementation must periodically carry out audits in order to confirm compliance with the Directive. It must provide those responsible for implementation with an audit report. It may require to be present at certain stages of the building operations.

5.4. In addition, the notified body may pay unexpected visits to the worksite or to the production workshops. At the time of such visits the notified body may conduct complete or partial audits. It must provide those responsible for implementation with an inspection report and, if appropriate, an audit report.

5.5. With a view to deliver the "EC" declaration of suitability for use referred to in Annex IV section 2, the notified body shall be able to monitor a subsystem on which an interoperability constituent is mounted in order to assess, where the corresponding TSI so requires, its suitability for use in its intended railway environment.

6. SUBMISSION

The complete file referred to in paragraph 4 must be lodged with the applicant in support of the ISV certificate, if available, issued by the notified body responsible for this or in support of the certificate of conformity issued by the notified body responsible for verification of the subsystem in working order. The file must be attached to the ISV declaration and/or to the "EC" declaration of verification which the applicant sends to the supervisory authority in the Member State concerned.

A copy of the file must be kept by the applicant throughout the service life of the subsystem. It must be sent to any other Member States which so request.

7. PUBLICATION

Each notified body must periodically publish relevant information concerning:

- requests for "EC" verification received;

- ISVs issued or refused;

- certificates of verification issued or refused;

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- certificates of conformity refused.

8. LANGUAGE

The files and correspondence relating to the "EC" verification procedures must be written in an official language of the Member State in which the applicant is established or in a language accepted by the applicant.

ANNEX VIa (ex Annex to the Safety Directive modification)

Parameters to be checked in conjunction with the placing in service of non TSI conform vehicles and the classification of the national rules

1. LIST OF PARAMETERS

(1) Background information

- Information relating to the national legal framework in force

- special national conditions

- maintenance book

- operational log book

(2) Interfaces to Infrastructure

- pantographs

- on-board supply equipment and electromagnetic compatibility impact

- loading gauge

- miscellaneous safety equipment, e.g. control and command, track-to-train communication systems

(3) Rolling stock characteristics

- vehicle dynamics

- vehicle superstructure

- draw and buffer gear

- bogie and running gear

- wheel set / wheel set bearing

- brake equipment

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- technical systems requiring monitoring; e.g. compressed air system

- front / side windows

- doors

- devices for passing

- control systems (software)

- drinking water and wastewater systems

- environmental protection

- fire protection

- health and safety in the workplace

- tank and tank wagons

- pressure discharge containers

- load securing

- marking

- welding techniques

2. CLASSIFICATION OF THE RULES

The national rules relating to the parameters identified above shall be attributed to one of the following three groups. Rules and restrictions of a strictly local nature are not involved; their verification involves checks to be put in place by mutual agreement between the railway undertakings and the infrastructure managers.

Group A

Group A covers:

- international standards,

- national rules deemed to be equivalent, in railway safety terms, to national rules of other Member States.

Group B

Group B covers all rules that do not fall within the scope of Group A or Group C, or that it has not yet been possible to classify in one of these groups.

Group C

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Group C covers rules that are strictly necessary and are associated with technical infrastructure characteristics, in order to ensure safe and interoperable use in the network concerned (e.g. the loading gauge).

ANNEX VIII

MINIMUM CRITERIA WHICH MUST BE TAKEN INTO ACCOUNT BY THE MEMBER STATES WHEN NOTIFYING BODIES

1. The body, its Director and the staff responsible for carrying out the checking operations may not become involved either directly or as authorized representatives in the design, manufacture, construction, marketing or maintenance of the interoperability constituents or subsystems or in their use. This does not exclude the possibility of an exchange of technical information between the manufacturer ▌and that body.

2. The body and the staff responsible for the checks must carry out the checks with the greatest possible professional integrity and the greatest possible technical competence and must be free of any pressure and incentive, in particular of a financial type, which could affect their judgement or the results of their inspection, in particular from persons or groups of persons affected by the results of the checks.

In particular, the body and the staff responsible for the checks must be functionally independent of the authorities designated to issue authorisations for placing in service in the framework of this Directive, licences in the framework of Council Directive 95/18/EC of 19 June 1995 on the licensing of railway undertakings1 and safety certificates in the framework of Directive 2004/49/EC, and of the bodies in charge of investigations in the event of accidents.

3. The body must employ staff and possess the means required to perform adequately the technical and administrative tasks linked with the checks; it should also have access to the equipment needed for exceptional checks.

4. The staff responsible for the checks must possess:

- proper technical and vocational training;

- a satisfactory knowledge of the requirements relating to the checks that they carry out and sufficient practice in those checks;

- the ability to draw up the certificates, records and reports which constitute the formal record of the inspections conducted.

5. The independence of the staff responsible for inspections must be guaranteed. No official must be remunerated either on the basis of the number of inspections performed or of the results of those inspections.

6. The body must take out civil liability insurance unless that liability is covered by the State under national law or unless the checks are carried out directly by that Member State.1 OJ L 143, 27.6.1995, p. 70. Directive as amended by Directive 2001/13/EC of the European

Parliament and of the Council (OJ L 75, 15.3.2001, p. 26).

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7. The staff of the body are bound by professional secrecy with regard to everything they learn in the performance of their duties (with the exception of the competent administrative authorities and accident investigation bodies in the State where they perform those activities as well as accident investigation bodies responsible for the investigation of accidents caused by the failure of the interoperability constituents or subsystems checked ) in pursuance of this Directive or any provision of national law implementing the Directive.

ANNEX IX

FILE FOR SUBMITTING A DEROGATION

When submitting a request for a derogation, Member States must supply the following documents:

(a) A formal letter communicating the proposed derogation to the Commission

(b) A file, annexed to the letter, comprising at least:

- a description of the work, goods and services subject to the derogation, specifying the key dates, the geographical location and the operational and technical area;

- a precise reference to the TSIs (or their parts) for which a derogation is requested;

- a precise reference to and details of the alternative provisions which will be applied;

- for requests made under Article 7(a), justification of the advanced stage of development of the project;

- justification of the derogation, including the main reasons of a technical, economic, commercial, operational and/or administrative nature;

- any other information justifying the request for a derogation;

- a description of the measures that the Member State proposes to take in order to promote the final interoperability of the project. In the case of a minor derogation, this description is not required.

Documentation must be supplied in paper form and as electronic files, so that it can be distributed among the members of the Committee.

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ANNEX X

Part A

Directives repealed together with their amendments(referred to in Article 29)

Council Directive 96/48/EC

(OJ L 235, 17.9.1996, p. 6)

Directive 2001/16/EC of the European Parliament and of the Council

(OJ L 110, 20.4.2001, p. 1)

Regulation (EC) No 1882/2003 of the European Parliament and of the Council

(OJ L 284, 31.10.2003, p. 1)

Only point 60 of Annex III

Directive 2004/50/EC of the European Parliament and of the Council

(OJ L 164, 30.4.2004)

Part B

Time limits for transposition into national law(referred to in Article 29)

Directive Deadline for transposition

96/48/EC 9 April 19992001/16/EC 20 April 20032004/50/EC 30 April 2006

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ANNEX XI

CORRELATION TABLE

Directive 96/48/EC Directive 2001/16/EC This Directive

Article 1(1) Article 1(1) Article 1(1)Article 1(2) Article 1(2) Article 1(2)- Article 1(3) Article 1(3)Article 2, introductory words Article 2, introductory words Article 2, introductory wordsArticle 2(a) to (l) Article 2(a) to (l) Article 2(a) to (l)Article 2(n) Article 2(m) Article 2(m)Article 2(o) Article 2(n) Article 2(n)Article 2(m) Article 2(o) Article 2(o)Article 2(p) Article 2(p) Article 2(p)- - Article 2(q), (r) and (s)Articles 3, 4 and 5 Articles 3, 4 and 5 Articles 3, 4 and 5Article 6(1) to (8) Article 6(1) to (8) Article 6(1) to (8)- - Article 6(9)Articles 7 to 9 Articles 7 to 9 Articles 7 to 9Article 10(1) to (3) Article 10(1) to (3) Article 10(1) to (3)- Article 10(6) Article 10(4)- - Article 10(5)Articles 11 to 13 Articles 11 to 13 Articles 11 to 13Article 14(1) to (5) Article 14(1) to (5) Article 14(1) to (5)- - Article 14(6) to (9)Articles 15 and 16 Articles 15 and 16 Articles 15 and 16Article 17 Article 17 Article 17(1) and (2)- - Article 17(3)Article 18(1) to (3) Article 18(1) to (3) Article 18(1) to (3)- - Article 18(4) and (5)Articles 19 and 20 Articles 19 and 20 Articles 19 and 20Article 21(1) to (4) Article 21(1) to (4) Article 21(1) to (4)Article 21a(1) Article 22 Article 22Article 21a(2) Article 21a Article 21(5)Article 21b - -Article 21c Article 21b Article 21(6)Article 22 Article 26 Article 26Article 22a Article 24 Article 24(1) and (2)- - Article 24(3)- Article 23 Article 23- Article 25 Article 25Article 23 Article 27 Article 27Article 24 Article 28 Article 28Article 25 Article 29 Article 29Article 26 Article 30 Article 30Annexes I to VII Annexes I to VII Annexes I to VII- - Annexes VIII to X

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P6_TA-PROV(2007)0598

CAP: common rules for direct support schemes and certain support schemes for farmers and support for rural development *

European Parliament legislative resolution of 11 December 2007 on the proposal for a Council regulation amending Regulation (EC) No 1782/2003 establishing common rules for direct support schemes under the common agricultural policy and establishing certain support schemes for farmers and Regulation (EC) No 1698/2005 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) (COM(2007)0484 – C6-0283/2007 – 2007/0177(CNS))




– having regard to Article 37, paragraph 2, third subparagraph, of the EC Treaty, pursuant to which the Council consulted Parliament (C6-0283/2007),


– having regard to the report of the Committee on Agriculture and Rural Development (A6-0470/2007),


2. Calls on the Commission to alter its proposal accordingly, pursuant to Article 250 (2) of the EC Treaty,






(1a) Cross-compliance has already proven

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to be a very important instrument under the reformed Common Agricultural Policy as regards justifying expenditure. Cross-compliance does not impose new obligations on farmers, nor does it entitle them to new payments following their compliance. It simply establishes a link between direct payments made to farmers and the public services they render to society as a whole by complying with Community legislation in the field of environment, food safety and animal welfare. The requirements of Community legislation are generally very strict compared to standards which apply elsewhere in the rest of the world.

Amendment 2RECITAL 1 B (new)

(1b) Given the value the EU places on these high standards, the reformed Common Agricultural Policy has effectively transformed the first pillar of the policy into a de facto rural development policy, as farmers are being rewarded for supplying public services, rather than receiving unconditional payments linked to production. To meet the objectives of the cross-compliance system, the full understanding of the system and co-operation of farmers are required - something which is currently lacking, because of the fear which the regime has generated at farm level. A better informed farm sector would find compliance easier. However, understanding the details of 18 specific EU Directives and Regulations presents huge problems not just for farmers, but also Member State competent authorities.

Amendment 3RECITAL 1 C (new)

(1c) Cross-compliance has linked the payment of support to farmers to complying with 18 different EU Directives and Regulations. By its very nature, the

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monitoring of cross-compliance is complex. The system of cross-compliance requires that those carrying out the checks have a full understanding of farming and are familiar with the different sectors of farming. Adequate training for those carrying out inspection of farmers' activities is vital. In addition, inspectors should have the discretion to take into account un-seasonal and sudden factors which mitigate against full compliance - due to no fault of the farmer.

Amendment 4RECITAL 1 D (new)

(1d) The cross-compliance system and/or the Common Agricultural Policy will probably require further adjustment in the future, as currently the level of payments does not always seem to be in balance with the compliance efforts made by the farmers concerned, because payments still depend to a large extent on historic spending. In particular animal welfare legislation is obviously most burdensome for livestock farmers, which is not reflected in the level of their payments. However, if imported products met the same animal welfare standards, then there would be no need to compensate farmers for their compliance with Community legislation in this field. The Commission should therefore strive for recognition of the non-trade concerns as import criteria within the World Trade Organisation negotiations.

Amendment 5RECITAL 1 E (new)

(1e) Continuous effort should be put into the simplification, improvement and harmonisation of the cross-compliance system. Therefore the Commission should present a report on the application of the cross-compliance system every two years.

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Amendment 6 RECITAL 1 F (new)

(1f) Reduced administrative burdens, harmonised checks, amalgamation of checks, including within the European institutions, and timely payments would increase the overall support among farmers for the cross-compliance system and so increase the effectiveness of the policy.

Amendment 7RECITAL 1 G (new)

(1g) In the spirit of wanting to promote compliance, advance notice is essential. It is also required to assist farmers, many of whom are part-time operators, to prepare for inspections. Unannounced checks have no real place in the system, as they contribute to a disproportionate but valid sense of fear among farmers about the overall cross-compliance regime. Where "deliberate and serious fraud" is suspected, other means of attack, including Member State domestic law, should be used. When unannounced checks are carried out they should be done on the basis of good intelligence of the competent authority that a serious problem exists in a given farm. At the same time the effectiveness of the on-the-spot checks should not be jeopardised.

Amendment 8 RECITAL 1 H (new)

(1h) In order to limit the burden on farmers, Member States and the European institutions should be encouraged to keep both the number of on-the-spot checks and the number of controlling agencies to a minimum, without prejudice to the provisions of Commission Regulation (EC) No 796/2004 of 21 April 2004 laying down detailed rules for the implementation of cross-compliance, modulation and the integrated administration and control system provided for in Council Regulation (EC) No 1782/20031. Member States should

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therefore be allowed to perform the minimum control percentage at the level of the paying agency. Further, Member States and the European institutions should be encouraged to take additional measures to limit the number of persons carrying out the controls, to ensure that they are properly trained and to limit the period during which an on-the-spot check may be carried out on a particular farm to a maximum of one day. The Commission should assist Member States in meeting the requirements for integrated sample selections. Sample selection for on-the-spot checks should be carried out independently from specific minimum control percentages as provided for under the specific legislation falling within the scope of cross-compliance._______________________1 OJ L 141, 30.4.2004, p. 18. Regulation as last amended by Regulation (EC) No 972/2007 (OJ L 216, 21.8.2007, p. 3).

Amendment 9 RECITAL 1 I (new)

(1i) Administrative and on-the-spot checks as set out in Regulation (EC) No 796/2004 are conducted in such a way as to ensure effective verification of compliance with the terms under which aids are granted, and of the requirements and standards relevant for cross-compliance. These need to be made complementary under the existing integrated administration and control system, in order to prevent duplication and enable all the checks to be conducted in a single visit.

Amendment 10RECITAL 1 J (new)

(1j) Member States should ensure that farmers are not punished twice (reduction or exclusion of payments, as well as a fine following non-compliance with the

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relevant national legislation) for the same case of non-compliance.

Amendment 11 RECITAL 1 K (new)

(1k) The reductions in payments applicable in cases of non-compliance with cross-compliance rules, obligations and requirements differ, depending on whether non-compliance is deemed an intentional act or the result of negligence. In the same way, those reductions should be proportionate to the importance of the sphere of activity concerned by the non-compliance at the farm holding, particularly where this is a mixed crop and stock farming holding.

Amendment 12 RECITAL 2

(2) Article 44(3) of Council Regulation (EC) No 1782/2003 provides that farmers shall keep at their disposal for a period of at least 10 months the parcels corresponding to the eligible hectare. Experience shows that this condition risks putting high constraints on the functioning of the land market and creates significant administrative workload for the farmers and the administrative services. A reduction of the time period would not jeopardise the management of the cross-compliance obligations. On the other hand, it is also necessary to establish a date where the parcels should be at the farmer's disposal to avoid double claims for the same land. Therefore it would be appropriate to establish that farmers shall have the parcels at their disposal on the 15 June of the year of submission of the aid application. The same rule should also be applied for the Member States applying the single area payment scheme. It would be also appropriate to set up the rules as regards the responsibilities under cross-compliance in case of transfer of land.

(2) Article 44(3) of Council Regulation (EC) No 1782/2003 provides that farmers shall keep at their disposal for a period of at least 10 months the parcels corresponding to the eligible hectare. Experience shows that this condition risks putting high constraints on the functioning of the land market and creates significant administrative workload for the farmers and the administrative services. A reduction of the time period would not jeopardise the management of the cross-compliance obligations. On the other hand, it is also necessary to establish a date where the parcels should be at the farmer's disposal to avoid double claims for the same land. Therefore it would be appropriate to establish that farmers shall have the parcels at their disposal on the latest date for submission applicable in the Member State concerned of the year of submission of the aid application. The same rule should also be applied for the Member States applying the single area payment scheme. It would be also appropriate to set up the rules as regards the responsibilities under cross-compliance in case of transfer of land.

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Amendment 13 RECITAL 7 A (new)

(7a) In his single application, the farmer declares, inter alia, the area he is using for agricultural purposes, the scheme or schemes in question and his payment entitlements, and attests that he is aware of the conditions attached to the granting of the aid in question. Those conditions should correspond not only to the aid eligibility criteria but also to the criteria on public health, animal and plant health, animal welfare and respect for the environment on which payment of that aid is conditional. By that attestation, the farmer would undertake to comply with those various conditions, and contract to abide by them.

Amendment 14 ARTICLE 1, POINT -1 (new)

Article 4, paragraph 2, subparagraph 1 a (new) (Regulation (EC) No 1782/2003)

(- 1) In Article 4, paragraph 2, the following subparagraph is added:

“In the case of directives, the Commission shall ensure that the statutory management requirements in the areas referred to in paragraph 1 are transposed in a harmonised manner in each Member State.”

Amendment 15ARTICLE 1, POINT 1, POINT (A)

Article 6, paragraph 1 (Regulation (EC) No 1782/2003)

(a) Paragraph (1) is replaced by the following:

"1. Where the statutory management requirements or good agricultural and environmental conditions are not complied with in a given calendar year (hereinafter 'the calendar year concerned'), the total amount of direct payments to be granted, after application of Articles 10 and 11 to the farmer who submitted an application in

deleted

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the calendar year concerned, shall be reduced or cancelled in accordance with the detailed rules laid down under Article 7.

Subject to paragraph 2, the farmer who submitted an aid application shall be held liable unless he can show that the non-compliance in question is neither the result of an action or omission directly attributable:

(a) to himself, or

(b) in case where the agricultural land has been transferred during the calendar year concerned,

- to the transferee where the transferral has taken place between the date referred to in Article 44(3) and 1 January of the following calendar year;

- to the transferor, where the transferral has taken place between 1 January of the calendar year concerned and the date referred to in Article 44(3)."

Amendment 31ARTICLE 1, POINT 1, POINT (B)

Article 6, paragraph 3, subparagraph 1 (Regulation (EC) No 1782/2003)

3. Notwithstanding paragraph 1 and pursuant to the conditions laid down in the detailed rules referred to in Article 7(1), Member States may decide not to apply a reduction amounting to EUR 50 or less per farmer and per calendar year.

3. Notwithstanding paragraph 1 and pursuant to the conditions laid down in the detailed rules referred to in Article 7(1), Member States may decide not to apply a reduction amounting to EUR 100 or less per farmer and per calendar year.



Any finding of non-compliance shall nevertheless be subject to a specific follow-up by the competent authority. Any such findings, the follow-up measures and the remedial action to be taken shall be notified to the farmer.

Any finding of non-compliance shall nevertheless be subject to a specific follow-up in the risk analysis by the competent authority. Any such findings, the follow-up measures and the remedial action to be taken shall be notified to the farmer. This subparagraph shall not apply where the

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farmer has taken immediate remedial action putting an end to the non-compliance found.

Amendment 18ARTICLE 1, POINT 2


Any finding of minor non-compliance shall nevertheless be subject to a specific follow-up by the competent authority. Any such finding, the follow-up measures and the remedial action to be taken shall be notified to the farmer. This subparagraph shall not apply where the farmer has taken immediate remedial action putting an end to the non-compliance found".

deleted

Amendment 19ARTICLE 1, POINT 2 A (new)

Article 7, paragraph 4, subparagraph 1 a (new) (Regulation (EC) No 1782/2003)

(2a) In Article 7(4) the following subparagraph is added:

"In any case, in the new Member States, the percentage of reduction referred to in Article 6(1) shall take into account the relevant percentage of the schedule of increments applicable in a given year in accordance with Article 143a.”

Amendment 20ARTICLE 1, POINT 2 B (new)

Article 7, paragraph 4 a (new) (Regulation (EC) No 1782/2003)

(2b) In Article 7, the following paragraph is added:

"4a. Where a reduction or exclusion of payments is being applied following non-compliance registered during an on-the-spot check as referred to in Article 25, no fine shall be imposed under the corresponding national legislation for the same case of non-compliance.

Where a fine has been imposed following

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non-compliance with national legislation, no reduction or exclusion of payments shall be imposed for the same case of non-compliance."

Amendment 21ARTICLE 1, POINT 2 C (new)

Article 8 (Regulation (EC) No 1782/2003)

(2c) Article 8 is replaced by the following:

"Article 8

Review

By 31 December 2007 at the latest, and every two years thereafter, the Commission shall submit a report on the application of the cross-compliance system accompanied, if necessary, by appropriate proposals notably with a view to:

– amending the list of statutory management requirements set out in Annex III,

– simplifying, deregulating and improving the legislation under the list of statutory management requirements, special attention being paid to legislation concerning nitrates,

– simplifying, improving and harmonising the control systems in place, taking into account the opportunities offered by the development of indicators and bottleneck-based controls, controls already performed under private certification schemes, controls already performed under national legislation implementing the statutory management requirements, and information and communication technology,

The reports shall also contain an estimate of the total costs of control under the cross-compliance system of the year

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preceding the year in which the report will be published."

Amendment 22 ARTICLE 1, POINT 2 D (new)

Article 18, paragraph 1, point (e) (Regulation (EC) No 1782/2003)

(2d) In Article 18(1), point (e) is replaced by the following:

"(e) an integrated control system that comprises verification of eligibility conditions and of the requirements in terms of cross-compliance,”

Amendment 23ARTICLE 1, POINT 2 E (new)

Article 25 (Regulation (EC) No 1782/2003)

(2e) Article 25 is replaced by the following:

"Article 25

Controls on cross-compliance

1. Member States shall carry out on-the-spot checks to verify whether the farmer complies with the obligations referred to in Chapter 1. These controls shall take place within a period of not more than one day for a particular farm.

2. Member States may make use of their existing administration and control systems to verify compliance with the statutory management requirements and good agricultural and environmental conditions referred to in Chapter 1.However, Member States shall endeavour to limit the number of controlling agencies and the number of persons carrying out the on-the-spot checks on a particular farm.

These systems, and notably the system for identification and registration of animals set up in accordance with Directive 92/102/EEC, Regulation (EC) No 1782/2003, Regulation (EC) No 1760/2000 and Regulation (EC) No 21/2004, shall be

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compatible, within the meaning of Article 26 of this Regulation, with the integrated system.

3. Member States shall endeavour to plan controls in such a way that farms which can best be controlled in a particular period during the year, due to seasonal reasons, are indeed controlled in that particular period. However, if the controlling agency could not control a particular statutory management requirement, or a part thereof, or good agricultural and environmental conditions during an on-the-spot check, due to seasonal reasons, those requirements and conditions shall be deemed to be met."

Justification

Point 3 is added to the rapporteur's initial proposal. If Member States were obliged to carry out repetitive controls, in case certain requirements or conditions could not be checked due to seasonal reasons, this would lead to an unacceptable increase in the costs of control of the Member States.

Amendment 24 ARTICLE 1, POINT 3

Article 44, paragraph 3 (Regulation (EC) No 1782/2003)

Except in case of force majeure or exceptional circumstances, these parcels shall be at the farmer's disposal on the 15 June of the year of submission of the aid application.

Except in case of force majeure or exceptional circumstances, these parcels shall be at the farmer's disposal on the latest date for submission applicable in the Member State concerned of the year of submission of the aid application.

Amendment 25ARTICLE 1, POINT 5, POINT (A)

Article 143 b, paragraph 5, subparagraph 1, new sentence (Regulation (EC) No 1782/2003)

Except in case of force majeure or exceptional circumstances, these parcels shall be at the farmer's disposal on the 15 June of the year of submission of the aid application.

Except in case of force majeure or exceptional circumstances, these parcels shall be at the farmer's disposal on the latest date for submission applicable in the Member State concerned of the year of submission of the aid application.

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Article 143 b, paragraph 6, subparagraph 3 (Regulation (EC) No 1782/2003)

As from 1 January 2005 and until 31 December 2008 the application of Articles 3, 4, 6, 7 and 9 shall be optional for the new Member States insofar as those provisions relate to statutory management requirements. As from 1 January 2009 a farmer receiving payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III according to the following timetable:

As from 1 January 2005 and until 31 December 2008 the application of Articles 3, 4, 6, 7 and 9 shall be optional for the new Member States insofar as those provisions relate to statutory management requirements. As from 1 January 2009 a farmer receiving payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III according to the following timetable:

(a) requirements referred to in point A shall

apply from 1 January 2009;



(b) requirements referred to in point B shall




(c) requirements referred to in point C shall

apply from 1 January 2011.



However, for Bulgaria and Romania, the

application of Articles 3, 4, 6, 7 and 9 shall

be optional until 31 December 2011 insofar

as those provisions relate to statutory

management requirements. As from

1 January 2012 a farmer receiving

payments under the single area payment

scheme shall respect the statutory

management requirements referred to in

Annex III according to the following

timetable:

However, for Bulgaria and Romania, the

application of Articles 3, 4, 6, 7 and 9 shall

be optional until 31 December 2011 insofar

as those provisions relate to statutory

management requirements. As from

1 January 2012 a farmer receiving

payments under the single area payment

scheme shall respect the statutory

management requirements referred to in

Annex III according to the following

timetable:









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New Member States may apply this option

also in the case where they decide to

terminate the application of the single area

payment scheme before the end of the

period of application provided for in

paragraph 9.

New Member States may apply this option

also in the case where they decide to

terminate the application of the single area

payment scheme before the end of the

period of application provided for in

paragraph 9.

Amendment 27ARTICLE 1, POINT 5, POINT (C)

Article 143 b, paragraph 9, first sentence (Regulation (EC) No 1782/2003)

For any new Member States the single area payment scheme shall be available for a period of application until the end of 2010.

For any new Member States the single area payment scheme shall be available for a period of application until the end of 2013.

Amendment 28ARTICLE 1, POINT 5 A (new)

Article 145, point (m) (Regulation (EC) No 1782/2003)

(5a) In Article 145, point (m) is replaced by the following:

"(m) rules on the administrative and on-the-spot checks and the checks by remote sensing. In the case of controls pursuant to Title II Chapter 1 the rules laid down shall provide for regular and sufficient advance notice of on-the-spot checks where this does not jeopardise the actual goal of the controls. The rules shall also provide for incentives for Member States to put in place a system of well-functioning and coherent controls;"

Amendment 29ARTICLE 2


The derogation provided for in the first subparagraph shall apply until 31 December 2008. As from 1 January 2009 a farmer receiving

The derogation provided for in the first subparagraph shall apply until 31 December 2008. As from 1 January 2009 a farmer receiving

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payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III of Regulation (EC) No 1782/2003 according to the following timetable:

payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III of Regulation (EC) No 1782/2003 according to the following timetable:

(a) requirements referred to in point A shall apply from1 January 2009;

(a) requirements referred to in point A shall apply from1 January 2009;

(b) requirements referred to in point B shall apply from 1 January 2010;


(c) requirements referred to in point C shall apply from 1 January 2011.


However, for Bulgaria and Romania, the application of Articles 3, 4, 6, 7 and 9 of Regulation (EC) No 1782/2003 shall be optional until 31 December 2011 insofar as those provisions relate to statutory management requirements. As from 1 January 2012 a farmer receiving payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III of Regulation (EC) No 1782/2003 according to the following timetable:

However, for Bulgaria and Romania, the application of Articles 3, 4, 6, 7 and 9 of Regulation (EC) No 1782/2003 shall be optional until 31 December 2011 insofar as those provisions relate to statutory management requirements. As from 1 January 2012 a farmer receiving payments under the single area payment scheme shall respect the statutory management requirements referred to in Annex III of Regulation (EC) No 1782/2003 according to the following timetable:

(a) requirements referred to in point A shall apply from 1 January 2012;

(a) requirements referred to in point A shall apply from 1 January 2012;





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P6_TA-PROV(2007)0599

Origin marking

Declaration of the European Parliament on origin marking


– having regard to its resolution of 6 July 2006 on origin marking1,


A. whereas the European Union attaches the utmost importance to transparency for the benefit of consumers, and whereas information on the origin of goods is vital in that respect,

B. whereas the number of cases of misleading and fraudulent indications of origin on goods imported into the Union is increasing, potentially jeopardising consumer safety,

C. whereas the Lisbon Agenda aims at strengthening the EU's economy by improving the global competitiveness of EU industry,

D. whereas a number of the EU's major trading partners, such as the United States, Japan and Canada, have introduced mandatory origin-marking requirements,

1. Emphasises once again the right of European consumers to immediate access to information about their purchases; stresses that fraudulent indications concerning product origin are, like any kind of fraud, unacceptable; believes that a level playing field with the EU's trading partners must be guaranteed, in line with a fair trade agenda;

2. Fully supports the Commission’s proposal for a Council regulation on the indication of the country of origin of certain products imported from third countries;

3. Calls on the Member States to adopt the regulation without delay, in the interests of consumers, industry and competitiveness in the EU;

4. Instructs its President to forward this declaration, together with the names of the signatories, to the Council, the Commission and the governments and parliaments of the Member States.

1 OJ C 303 E, 13.12.2006, p. 881.

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List of signatories

Vittorio Agnoletto, Vincenzo Aita, Gabriele Albertini, Alexander Alvaro, Roberta Alma Anastase, Georgs Andrejevs, Alfonso Andria, Roberta Angelilli, Alfredo Antoniozzi, Kader Arif, Stavros Arnaoutakis, Alexandru Athanasiu, Robert Atkins, Elspeth Attwooll, Jean-Pierre Audy, Inés Ayala Sender, Liam Aylward, Pilar Ayuso, Peter Baco, Maria Badia i Cutchet, Mariela Velichkova Baeva, Tiberiu Bărbuleţiu, Enrique Barón Crespo, Alessandro Battilocchio, Katerina Batzeli, Jean Marie Beaupuy, Irena Belohorská, Jean-Luc Bennahmias, Monika Beňová, Sergio Berlato, Giovanni Berlinguer, Slavi Binev, Šarūnas Birutis, Guy Bono, Vito Bonsignore, Mario Borghezio, Josep Borrell Fontelles, Umberto Bossi, Costas Botopoulos, Jean-Louis Bourlanges, Sharon Bowles, Emine Bozkurt, Iles Braghetto, Mihael Brejc, Hiltrud Breyer, André Brie, Elmar Brok, Renato Brunetta, Danutė Budreikaitė, Wolfgang Bulfon, Cristian Silviu Buşoi, Philippe Busquin, Simon Busuttil, Jerzy Buzek, Milan Cabrnoch, Joan Calabuig Rull, Mogens N.J. Camre, Marco Cappato, Carlos Carnero González, Giorgio Carollo, David Casa, Paulo Casaca, Michael Cashman, Carlo Casini, Françoise Castex, Giuseppe Castiglione, Pilar del Castillo Vera, Giusto Catania, Jean-Marie Cavada, Jorgo Chatzimarkakis, Giulietto Chiesa, Desislav Chukolov, Silvia Ciornei, Luigi Cocilovo, Carlos Coelho, Daniel Cohn-Bendit, Richard Corbett, Giovanna Corda, Thierry Cornillet, Fausto Correia, Paolo Costa, Paul Marie Coûteaux, Michael Cramer, Brian Crowley, Ryszard Czarnecki, Joseph Daul, Antonio De Blasio, Arūnas Degutis, Panayiotis Demetriou, Gianni De Michelis, Gérard Deprez, Proinsias De Rossa, Marielle De Sarnez, Marie-Hélène Descamps, Nirj Deva, Christine De Veyrac, Agustín Díaz de Mera García Consuegra, Jolanta Dičkutė, Gintaras Didžiokas, Alexandra Dobolyi, Brigitte Douay, Mojca Drčar Murko, Bárbara Dührkop Dührkop, Andrew Duff, Cristian Dumitrescu, Michl Ebner, Maria da Assunção Esteves, Edite Estrela, Harald Ettl, Jill Evans, Carlo Fatuzzo, Claudio Fava, Szabolcs Fazakas, Emanuel Jardim Fernandes, Fernando Fernández Martín, Francesco Ferrari, Anne Ferreira, Elisa Ferreira, Ilda Figueiredo, Alessandro Foglietta, Hanna Foltyn-Kubicka, Nicole Fontaine, Janelly Fourtou, Carmen Fraga Estévez, Armando França, Monica Frassoni, Ingo Friedrich, Michael Gahler, Kinga Gál, Milan Gaľa, Gerardo Galeote, Ovidiu Victor Ganţ, Vicente Miguel Garcés Ramón, Giuseppe Gargani, Salvador Garriga Polledo, Patrick Gaubert, Jean-Paul Gauzès, Jas Gawronski, Bronisław Geremek, Lidia Joanna Geringer de Oedenberg, Claire Gibault, Maciej Marian Giertych, Béla Glattfelder, Gian Paolo Gobbo, Robert Goebbels, Lutz Goepel, Ana Maria Gomes, Donata Gottardi, Genowefa Grabowska, Vasco Graça Moura, Luis de Grandes Pascual, Louis Grech, Nathalie Griesbeck, Lissy Gröner, Elly de Groen-Kouwenhoven, Mathieu Grosch, Françoise Grossetête, Lilli Gruber, Ignasi Guardans Cambó, Ambroise Guellec, Umberto Guidoni, Zita Gurmai, Catherine Guy-Quint, Fiona Hall, David Hammerstein, Benoît Hamon, Małgorzata Handzlik, Malcolm Harbour, Marian Harkin, Joel Hasse Ferreira, Satu Hassi, Adeline Hazan, Eduard Raul Hellvig, Jacky Hénin, Edit Herczog, Luis Herrero-Tejedor, Jim Higgins, Stephen Hughes, Jana Hybášková, Filiz Hakaeva Hyusmenova, Sophia in 't Veld, Marie Anne Isler Béguin, Carlos José Iturgaiz Angulo, Anneli Jäätteenmäki, Mieczysław Edmund Janowski, Lívia Járóka, Georg Jarzembowski, Rumiana Jeleva, Romana Jordan Cizelj, Ona Juknevičienė, Jelko Kacin, Gisela Kallenbach, Othmar Karas, Sylvia-Yvonne Kaufmann, Metin Kazak, Atilla Béla Ladislau Kelemen, Evgeni Kirilov, Timothy Kirkhope, Ewa Klamt, Dieter-Lebrecht Koch, Silvana Koch-Mehrin, Sándor Kónya-Hamar, Miloš Koterec, Sergej Kozlík, Guntars Krasts, Wolfgang Kreissl-Dörfler, Ģirts Valdis Kristovskis, Wiesław Stefan Kuc, Barbara Kudrycka, Jan Jerzy Kułakowski, Sepp Kusstatscher, Zbigniew Krzysztof Kuźmiuk, André Laignel, Alain Lamassoure, Stavros Lambrinidis, Anne Laperrouze, Romano Maria La Russa, Vincenzo Lavarra, Henrik Lax, Roselyne Lefrançois, Bernard Lehideux, Klaus-Heiner Lehne, Jörg Leichtfried, Katalin Lévai, Janusz Lewandowski, Bogusław Liberadzki, Marcin Libicki, Marie-Noëlle Lienemann, Alain Lipietz, Pia Elda Locatelli, Raffaele Lombardo, Antonio López-

280 /PE 399.759

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Istúriz White, Andrea Losco, Patrick Louis, Caroline Lucas, Sarah Ludford, Astrid Lulling, Elizabeth Lynne, Marusya Ivanova Lyubcheva, Mairead McGuinness, Edward McMillan-Scott, Jamila Madeira, Eugenijus Maldeikis, Toine Manders, Vladimír Maňka, Thomas Mann, Mario Mantovani, Marian-Jean Marinescu, Sérgio Marques, Maria Martens, Jean-Claude Martinez, Miguel Angel Martínez Martínez, Jan Tadeusz Masiel, Antonio Masip Hidalgo, Ana Mato Adrover, Marios Matsakis, Maria Matsouka, Mario Mauro, Manolis Mavrommatis, Hans-Peter Mayer, Manuel Medina Ortega, Erik Meijer, Íñigo Méndez de Vigo, Emilio Menéndez del Valle, Willy Meyer Pleite, Dan Mihalache, Francisco José Millán Mon, Nickolay Mladenov, Javier Moreno Sánchez, Luisa Morgantini, Philippe Morillon, Elisabeth Morin, Jan Mulder, Roberto Musacchio, Cristiana Muscardini, Joseph Muscat, Francesco Musotto, Alessandra Mussolini, Sebastiano (Nello) Musumeci, Pasqualina Napoletano, Hartmut Nassauer, Robert Navarro, Bill Newton Dunn, Angelika Niebler, Achille Occhetto, Péter Olajos, Jan Olbrycht, Seán Ó Neachtain, Gérard Onesta, Ria Oomen-Ruijten, Josu Ortuondo Larrea, Miroslav Ouzký, Siiri Oviir, Reino Paasilinna, Doris Pack, Justas Vincas Paleckis, Marie Panayotopoulos-Cassiotou, Vladko Todorov Panayotov, Marco Pannella, Pier Antonio Panzeri, Atanas Paparizov, Georgios Papastamkos, Aldo Patriciello, Maria Petre, João de Deus Pinheiro, Józef Pinior, Umberto Pirilli, Lapo Pistelli, Gianni Pittella, Zita Pleštinská, Guido Podestà, Radu Podgorean, Zdzisław Zbigniew Podkański, Hans-Gert Pöttering, Samuli Pohjamo, Bernard Poignant, Adriana Poli Bortone, José Javier Pomés Ruiz, Pierre Pribetich, Vittorio Prodi, Jacek Protasiewicz, Bilyana Ilieva Raeva, Miloslav Ransdorf, José Ribeiro e Castro, Teresa Riera Madurell, Frédérique Ries, Karin Riis-Jørgensen, Giovanni Rivera, Marco Rizzo, Michel Rocard, Zuzana Roithová, Luca Romagnoli, Raül Romeva i Rueda, Wojciech Roszkowski, Dagmar Roth-Behrendt, Mechtild Rothe, Libor Rouček, Heide Rühle, Leopold Józef Rutowicz, Eoin Ryan, Guido Sacconi, Tokia Saïfi, Katrin Saks, José Ignacio Salafranca Sánchez-Neyra, María Isabel Salinas García, Antolín Sánchez Presedo, Manuel António dos Santos, Amalia Sartori, Jacek Saryusz-Wolski, Luciana Sbarbati, Christel Schaldemose, Frithjof Schmidt, Olle Schmidt, Pál Schmitt, György Schöpflin, Elisabeth Schroedter, Andreas Schwab, Inger Segelström, Adrian Severin, Czesław Adam Siekierski, José Albino Silva Peneda, Marek Siwiec, Alyn Smith, Renate Sommer, Bogusław Sonik, María Sornosa Martínez, Sérgio Sousa Pinto, Jean Spautz, Francesco Enrico Speroni, Bart Staes, Margarita Starkevičiūtė, Gabriele Stauner, Dirk Sterckx, Dimitar Stoyanov, Daniel Strož, Robert Sturdy, Margie Sudre, László Surján, Gianluca Susta, Hannes Swoboda, Károly Ferenc Szabó, József Szájer, Konrad Szymański, Csaba Sándor Tabajdi, Antonio Tajani, Charles Tannock, Andres Tarand, Salvatore Tatarella, Britta Thomsen, Marianne Thyssen, Silvia-Adriana Ţicău, Radu Ţîrle, Patrizia Toia, Ewa Tomaszewska, Jacques Toubon, Antonios Trakatellis, Catherine Trautmann, Claude Turmes, Vladimir Urutchev, Nikolaos Vakalis, Adina-Ioana Vălean, Elena Valenciano Martínez-Orozco, Johan Van Hecke, Anne Van Lancker, Ioannis Varvitsiotis, Yannick Vaugrenard, Armando Veneto, Riccardo Ventre, Donato Tommaso Veraldi, Marcello Vernola, Alejo Vidal-Quadras, Kristian Vigenin, Oldřich Vlasák, Dominique Vlasto, Johannes Voggenhuber, Diana Wallis, Graham Watson, Manfred Weber, Karl von Wogau, Janusz Wojciechowski, Corien Wortmann-Kool, Luis Yañez-Barnuevo García, Anna Záborská, Jan Zahradil, Zbigniew Zaleski, Mauro Zani, Andrzej Tomasz Zapałowski, Tatjana Ždanoka, Dushana Zdravkova, Roberts Zīle, Gabriele Zimmer, Nicola Zingaretti, Tadeusz Zwiefka

PE 399.759\ 281

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Documents

Inhaltsverzeichnis - European Parliament€¦ · Web viewCommittee on Industry, Research and Energy PE 391.955 European Parliament legislative resolution of 11 December 2007 on the